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NASA NTRS2006

Transforming Our SMEX Organization by Way of Innovation, Standardization, and Automation

NASA's Small Explorer (SMEX) Flight Operations Team (FOT) is currently tackling the challenge of supporting ground operations for several satellites that have surpassed their designed lifetime and have a dwindling budget. At Goddard Space Flight Center (GSFC), these missions are presently being reengineered into a fleet-oriented ground system. When complete, this ground system will provide command and control of four SMEX missions, and will demonstrate fleet automation and control concepts as a pathfinder for additional mission integrations. A goal of this reengineering effort is to demonstrate new ground-system technologies that show promise of supporting longer mission lifecycles and simplifying component integration. In pursuit of this goal, the SMEX organization has had to examine standardization, innovation, and automation. A core technology being demonstrated in this effort is the GSFC Mission Services Evolution Center (GMSEC) architecture. The GMSEC architecture focuses on providing standard interfaces for ground system applications to promote application interoperability. Building around commercial Message Oriented Middleware and providing a common messaging standard allows GMSEC to provide the capabilities necessary to support integration of new software components into existing missions and increase the level of interaction within the system. For SMS, GMSEC has become the technology platform to transform flight operations with the innovation and automation necessary to reduce operational costs. The automation technologies supported in SMEX are built upon capabilities provided by the GMSEC architecture that allows the FOT to further reduce the involvement of the console, operator. Initially, SMEX is automating only routine operations, such as safety and health monitoring, basic commanding, and system recovery. The operational concepts being developed here will reduce the need for staffed passes and are a necessity for future fleet management. As this project continues to evolve, additional innovations beyond GMSEC and automation have, and will continue to be developed. The team developed techniques for migrating ground systems of existing on-orbit assets. The tools necessary to monitor and control software failures were integrated and tailored for operational environments. All this was done with a focus of extending fleet operations to mission beyond SMU. The result of this work is the foundation for a broader fleet-capable ground system that will include several missions supported by the Space Science Mission Operations Project.

Madden, Maureen↗

NASA NTRS2017

Requirements for an Integrated UAS CNS Architecture

The National Aeronautics and Space Administration (NASA) Glenn Research Center (GRC) is investigating revolutionary and advanced universal, reliable, always available, cyber secure and affordable Communication, Navigation, Surveillance (CNS) options for all altitudes of UAS operations. In Spring 2015, NASA issued a Call for Proposals under NASA Research Announcements (NRA) NNH15ZEA001N, Amendment 7 Subtopic 2.4. Boeing was selected to conduct a study with the objective to determine the most promising candidate technologies for Unmanned Air Systems (UAS) air-to-air and air-to-ground data exchange and analyze their suitability in a post-NextGen NAS environment. The overall objectives are to develop UAS CNS requirements and then develop architectures that satisfy the requirements for UAS in both controlled and uncontrolled air space. This contract is funded under NASAs Aeronautics Research Mission Directorates (ARMD) Aviation Operations and Safety Program (AOSP) Safe Autonomous Systems Operations (SASO) project and proposes technologies for the Unmanned Air Systems Traffic Management (UTM) service. Communications, Navigation and Surveillance (CNS) requirements must be developed in order to establish a CNS architecture supporting Unmanned Air Systems integration in the National Air Space (UAS in the NAS). These requirements must address cybersecurity, future communications, satellite-based navigation APNT, and scalable surveillance and situational awareness. CNS integration, consolidation and miniaturization requirements are also important to support the explosive growth in small UAS deployment. Air Traffic Management (ATM) must also be accommodated to support critical Command and Control (C2) for Air Traffic Controllers (ATC). This document therefore presents UAS CNS requirements that will guide the architecture.

Templin, Fred↗

NASA NTRS2016

Component Control System for a Vehicle

A vehicle includes a chassis, a modular component, and a central operating system. The modular component is supported by the chassis. The central operating system includes a component control system, a primary master controller, and a secondary master controller. The component control system is configured for controlling the modular component. The primary and secondary master controllers are in operative communication with the component control system. The primary and secondary master controllers are configured to simultaneously transmit commands to the component control system. The component control system is configured to accept commands from the secondary master controller only when a fault occurs in the primary master controller.

Fraser-Chanpong, Nathan↗

NASA NTRS1991

Expert system decision support for low-cost launch vehicle operations

Progress in assessing the feasibility, benefits, and risks associated with AI expert systems applied to low cost expendable launch vehicle systems is described. Part one identified potential application areas in vehicle operations and on-board functions, assessed measures of cost benefit, and identified key technologies to aid in the implementation of decision support systems in this environment. Part two of the program began the development of prototypes to demonstrate real-time vehicle checkout with controller and diagnostic/analysis intelligent systems and to gather true measures of cost savings vs. conventional software, verification and validation requirements, and maintainability improvement. The main objective of the expert advanced development projects was to provide a robust intelligent system for control/analysis that must be performed within a specified real-time window in order to meet the demands of the given application. The efforts to develop the two prototypes are described. Prime emphasis was on a controller expert system to show real-time performance in a cryogenic propellant loading application and safety validation implementation of this system experimentally, using commercial-off-the-shelf software tools and object oriented programming techniques. This smart ground support equipment prototype is based in C with imbedded expert system rules written in the CLIPS protocol. The relational database, ORACLE, provides non-real-time data support. The second demonstration develops the vehicle/ground intelligent automation concept, from phase one, to show cooperation between multiple expert systems. This automated test conductor (ATC) prototype utilizes a knowledge-bus approach for intelligent information processing by use of virtual sensors and blackboards to solve complex problems. It incorporates distributed processing of real-time data and object-oriented techniques for command, configuration control, and auto-code generation.

Szatkowski, G. P.↗

NASA NTRS2016

Tailoring NIST Security Controls for the Ground System: Selection and Implementation -- Recommendations for Information System Owners

The National Aeronautics and Space Administration (NASA) invests millions of dollars in spacecraft and ground system development, and in mission operations in the pursuit of scientific knowledge of the universe. In recent years, NASA sent a probe to Mars to study the Red Planet's upper atmosphere, obtained high resolution images of Pluto, and it is currently preparing to find new exoplanets, rendezvous with an asteroid, and bring a sample of the asteroid back to Earth for analysis. The success of these missions is enabled by mission assurance. In turn, mission assurance is backed by information assurance. The information systems supporting NASA missions must be reliable as well as secure. NASA - like every other U.S. Federal Government agency - is required to manage the security of its information systems according to federal mandates, the most prominent being the Federal Information Security Management Act (FISMA) of 2002 and the legislative updates that followed it. Like the management of enterprise information technology (IT), federal information security management takes a "one-size fits all" approach for protecting IT systems. While this approach works for most organizations, it does not effectively translate into security of highly specialized systems such as those supporting NASA missions. These systems include command and control (C&C) systems, spacecraft and instrument simulators, and other elements comprising the ground segment. They must be carefully configured, monitored and maintained, sometimes for several years past the missions' initially planned life expectancy, to ensure the ground system is protected and remains operational without any compromise of its confidentiality, integrity and availability. Enterprise policies, processes, procedures and products, if not effectively tailored to meet mission requirements, may not offer the needed security for protecting the information system, and they may even become disruptive to mission operations. Certain protective measures for the general enterprise may not be as efficient within the ground segment. This is what the authors have concluded through observations and analysis of patterns identified from the various security assessments performed on NASA missions such as MAVEN, OSIRIS-REx, New Horizons and TESS, to name a few. The security audits confirmed that the framework for managing information system security developed by the National Institute of Standards and Technology (NIST) for the federal government, and adopted by NASA, is indeed effective. However, the selection of the technical, operational and management security controls offered by the NIST model - and how they are implemented - does not always fit the nature and the environment where the ground system operates in even though there is no apparent impact on mission success. The authors observed that unfit controls, that is, controls that are not necessarily applicable or sufficiently effective in protecting the mission systems, are often selected to facilitate compliance with security requirements and organizational expectations even if the selected controls offer minimum or non-existent protection. This paper identifies some of the standard security controls that can in fact protect the ground system, and which of them offer little or no benefit at all. It offers multiple scenarios from real security audits in which the controls are not effective without, of course, disclosing any sensitive information about the missions assessed. In addition to selection and implementation of controls, the paper also discusses potential impact of recent legislation such as the Federal Information Security Modernization Act (FISMA) of 2014 - aimed at the enterprise - on the ground system, and offers other recommendations to Information System Owners (ISOs).

GOVERNANCE↗

NASA NTRS2013

Data Mining for Understanding and Improving Decision-making Affecting Ground Delay Programs

Weather↗

NASA NTRS2014

Autonomous Real Time Requirements Tracing

One of the more challenging aspects of software development is the ability to verify and validate the functional software requirements dictated by the Software Requirements Specification (SRS) and the Software Detail Design (SDD). Insuring the software has achieved the intended requirements is the responsibility of the Software Quality team and the Software Test team. The utilization of Timeliner-TLX(sup TM) Auto-Procedures for relocating ground operations positions to ISS automated on-board operations has begun the transition that would be required for manned deep space missions with minimal crew requirements. This transition also moves the auto-procedures from the procedure realm into the flight software arena and as such the operational requirements and testing will be more structured and rigorous. The autoprocedures would be required to meet NASA software standards as specified in the Software Safety Standard (NASASTD- 8719), the Software Engineering Requirements (NPR 7150), the Software Assurance Standard (NASA-STD-8739) and also the Human Rating Requirements (NPR-8705). The Autonomous Fluid Transfer System (AFTS) test-bed utilizes the Timeliner-TLX(sup TM) Language for development of autonomous command and control software. The Timeliner- TLX(sup TM) system has the unique feature of providing the current line of the statement in execution during real-time execution of the software. The feature of execution line number internal reporting unlocks the capability of monitoring the execution autonomously by use of a companion Timeliner-TLX(sup TM) sequence as the line number reporting is embedded inside the Timeliner-TLX(sup TM) execution engine. This negates I/O processing of this type data as the line number status of executing sequences is built-in as a function reference. This paper will outline the design and capabilities of the AFTS Autonomous Requirements Tracker, which traces and logs SRS requirements as they are being met during real-time execution of the targeted system. It is envisioned that real time requirements tracing will greatly assist the movement of autoprocedures to flight software enhancing the software assurance of auto-procedures and also their acceptance as reliable commanders

Plattsmier, George I.↗

NASA NTRS2010

Use of Dynamic Models and Operational Architecture to Solve Complex Navy Challenges

The United States Navy established 8 Maritime Operations Centers (MOC) to enhance the command and control of forces at the operational level of warfare. Each MOC is a headquarters manned by qualified joint operational-level staffs, and enabled by globally interoperable C41 systems. To assess and refine MOC staffing, equipment, and schedules, a dynamic software model was developed. The model leverages pre-existing operational process architecture, joint military task lists that define activities and their precedence relations, as well as Navy documents that specify manning and roles per activity. The software model serves as a "computational wind-tunnel" in which to test a MOC on a mission, and to refine its structure, staffing, processes, and schedules. More generally, the model supports resource allocation decisions concerning Doctrine, Organization, Training, Material, Leadership, Personnel and Facilities (DOTMLPF) at MOCs around the world. A rapid prototype effort efficiently produced this software in less than five months, using an integrated process team consisting of MOC military and civilian staff, modeling experts, and software developers. The work reported here was conducted for Commander, United States Fleet Forces Command in Norfolk, Virginia, code N5-0LW (Operational Level of War) that facilitates the identification, consolidation, and prioritization of MOC capabilities requirements, and implementation and delivery of MOC solutions.

Grande, Darby↗

NASA NTRS2014

Autonomous Real Time Requirements Tracing

One of the more challenging aspects of software development is the ability to verify and validate the functional software requirements dictated by the Software Requirements Specification (SRS) and the Software Detail Design (SDD). Insuring the software has achieved the intended requirements is the responsibility of the Software Quality team and the Software Test team. The utilization of Timeliner-TLX(sup TM) Auto- Procedures for relocating ground operations positions to ISS automated on-board operations has begun the transition that would be required for manned deep space missions with minimal crew requirements. This transition also moves the auto-procedures from the procedure realm into the flight software arena and as such the operational requirements and testing will be more structured and rigorous. The autoprocedures would be required to meet NASA software standards as specified in the Software Safety Standard (NASASTD- 8719), the Software Engineering Requirements (NPR 7150), the Software Assurance Standard (NASA-STD-8739) and also the Human Rating Requirements (NPR-8705). The Autonomous Fluid Transfer System (AFTS) test-bed utilizes the Timeliner-TLX(sup TM) Language for development of autonomous command and control software. The Timeliner-TLX(sup TM) system has the unique feature of providing the current line of the statement in execution during real-time execution of the software. The feature of execution line number internal reporting unlocks the capability of monitoring the execution autonomously by use of a companion Timeliner-TLX(sup TM) sequence as the line number reporting is embedded inside the Timeliner-TLX(sup TM) execution engine. This negates I/O processing of this type data as the line number status of executing sequences is built-in as a function reference. This paper will outline the design and capabilities of the AFTS Autonomous Requirements Tracker, which traces and logs SRS requirements as they are being met during real-time execution of the targeted system. It is envisioned that real time requirements tracing will greatly assist the movement of autoprocedures to flight software enhancing the software assurance of auto-procedures and also their acceptance as reliable commanders.

Plattsmier, George↗

NASA NTRS2011

Recent Developments in the Design, Capabilities and Autonomous Operations of a Lightweight Surface Manipulation System and Test-bed

The first generation of a versatile high performance device for performing payload handling and assembly operations on planetary surfaces, the Lightweight Surface Manipulation System (LSMS), has been designed and built. Over the course of its development, conventional crane type payload handling configurations and operations have been successfully demonstrated and the range of motion, types of operations and the versatility greatly expanded. This enhanced set of 1st generation LSMS hardware is now serving as a laboratory test-bed allowing the continuing development of end effectors, operational techniques and remotely controlled and automated operations. This paper describes the most recent LSMS and test-bed development activities, that have focused on two major efforts. The first effort was to complete a preliminary design of the 2nd generation LSMS that has the capability for limited mobility and can reposition itself between lander decks, mobility chassis, and fixed base locations. A major portion of this effort involved conducting a study to establish the feasibility of, and define, the specifications for a lightweight cable-drive waist joint. The second effort was to continue expanding the versatility and autonomy of large planetary surface manipulators using the 1st generation LSMS as a test-bed. This has been accomplished by increasing manipulator capabilities and efficiencies through both design changes and tool and end effector development. A software development effort has expanded the operational capabilities of the LSMS test-bed to include; autonomous operations based on stored paths, use of a vision system for target acquisition and tracking, and remote command and control over a communications bridge.

Dorsey, John T.↗

NASA NTRS2017

Management by Trajectory Trade Study of Roles and Responsibilities Between Participants and Automation Report

This report describes a trade study of roles and responsibilities associated with the Management by Trajectory (MBT) concept. The MBT concept describes roles, responsibilities, and information and automation requirements for providing air traffic controllers and managers the ability to quickly generate, evaluate and implement changes to an aircraft's trajectory. In addition, the MBT concept describes mechanisms for imposing constraints on flight operator preferred trajectories only to the extent necessary to maintain safe and efficient traffic flows, and the concept provides a method for the exchange of trajectory information between ground automation systems and the aircraft that allows for trajectory synchronization and trajectory negotiation. The participant roles considered in this trade study include: airline dispatcher, flight crew, radar controller, traffic manager, and Air Traffic Control System Command Center (ATCSCC) traffic management specialists. The proposed allocation of roles and responsibilities was based on analysis of several use cases that were developed for this purpose as well as for walking through concept elements. The resulting allocation of roles and responsibilities reflects both increased automation capability to support many aviation functions, as well as increased flexibility to assign responsibilities to different participants - in many cases afforded by the increased automation capabilities. Note that the selection of participants to consider for allocation of each function is necessarily rooted in the current environment, in that MBT is envisioned as an evolution of the National Airspace System (NAS), and not a revolution. A key feature of the MBT allocations is a vision for the traffic management specialist to take on a greater role. This is facilitated by the vision that separation management functions, in addition to traffic management functions, will be carried out as trajectory management functions. This creates an opportunity for flexibility, allowing the traffic management specialist to carry out tasks that today can only be carried out by the controller currently in contact with the aircraft. This additional tasking for the traffic management specialist comes with requirements for workload management. An increased role for the Data-side (D-side) controller relative to the Radar-side (R-side) controller is a potential approach to mitigating workload for the traffic management specialist, as the D-side controller would have similar ability to perform separation management functions in what today might be considered the "trajectory management" timeframe. This analysis did not distinguish between the D-side and R-side controllers since in many cases the R-side controller works unassisted.

Fernandes, Alicia D.↗

NASA NTRS1994

Customizing the JPL Multimission Ground Data System: Lessons learned

The Multimission Ground Data System (MGDS) at NASA's Jet Propulsion Laboratory has brought improvements and new technologies to mission operations. It was designed as a generic data system to meet the needs of multiple missions and avoid re-inventing capabilities for each new mission and thus reduce costs. It is based on adaptable tools that can be customized to support different missions and operations scenarios. The MGDS is based on a distributed client/server architecture, with powerful Unix workstations, incorporating standards and open system architectures. The distributed architecture allows remote operations and user science data exchange, while also providing capabilities for centralized ground system monitor and control. The MGDS has proved its capabilities in supporting multiple large-class missions simultaneously, including the Voyager, Galileo, Magellan, Ulysses, and Mars Observer missions. The Operations Engineering Lab (OEL) at JPL has been leading Customer Adaptation Training (CAT) teams for adapting and customizing MGDS for the various operations and engineering teams. These CAT teams have typically consisted of only a few engineers who are familiar with operations and with the MGDS software and architecture. Our experience has provided a unique opportunity to work directly with the spacecraft and instrument operations teams and understand their requirements and how the MGDS can be adapted and customized to minimize their operations costs. As part of this work, we have developed workstation configurations, automation tools, and integrated user interfaces at minimal cost that have significantly improved productivity. We have also proved that these customized data systems are most successful if they are focused on the people and the tasks they perform and if they are based upon user confidence in the development team resulting from daily interactions. This paper will describe lessons learned in adapting JPL's MGDS to fly the Voyager, Galileo, and Mars Observer missions. We will explain how powerful, existing ground data systems can be adapted and packaged in a cost effective way for operations of small and large planetary missions. We will also describe how the MGDS was adapted to support operations within the Galileo Spacecraft Testbed. The Galileo testbed provided a unique opportunity to adapt MGDS to support command and control operations for a small autonomous operations team of a handful of engineers flying the Galileo Spacecraft flight system model.

Murphy, Susan C.↗

NASA NTRSDate not supplied

Contextualizing Air Traffic Management Conversations using Natural Language Understanding

Efficient management of air traffic and mitigation of delays depend on extracting actionable information from unstructured data, such as dialogues from the Federal Aviation Administration’s (FAA’s) Air Traffic Control System Command Center (ATCSCC) telecons. This study presents a pipeline utilizing Natural Language Processing (NLP) methods for Intent Classification (IC) and Slot Filling (SF) to identify and extract Traffic Management Initiatives (TMIs) from aviation-specific dialogues. We leveraged DeBERTa, a pre-trained transformer model, and fine-tuned it to the nuances of the aviation domain. Despite challenges posed by annotation complexities, the IC model achieved promising results with a weighted average F1-score of 0.81. Our results are close to those of human annotators, which demonstrates the model’s strong alignment with human-level performance. The SF model also showed strong performance, achieving a weighted F1-score of 0.97, which demonstrates its effectiveness in accurately predicting key slots. Our analysis revealed limitations in handling less frequent intents and slot labels due to data sparsity, motivating future efforts to adopt joint IC-SF modeling and data augmentation strategies. This research highlights the potential of domain-specific NLP to streamline decision-making in the aviation industry and improve the management of TMIs.

Air Traffic Control Management↗

NASA NTRS2013

Data Mining for Understanding and Impriving Decision-Making Affecting Ground Delay Programs

The continuous growth in the demand for air transportation results in an imbalance between airspace capacity and traffic demand. The airspace capacity of a region depends on the ability of the system to maintain safe separation between aircraft in the region. In addition to growing demand, the airspace capacity is severely limited by convective weather. During such conditions, traffic managers at the FAA's Air Traffic Control System Command Center (ATCSCC) and dispatchers at various Airlines' Operations Center (AOC) collaborate to mitigate the demand-capacity imbalance caused by weather. The end result is the implementation of a set of Traffic Flow Management (TFM) initiatives such as ground delay programs, reroute advisories, flow metering, and ground stops. Data Mining is the automated process of analyzing large sets of data and then extracting patterns in the data. Data mining tools are capable of predicting behaviors and future trends, allowing an organization to benefit from past experience in making knowledge-driven decisions. The work reported in this paper is focused on ground delay programs. Data mining algorithms have the potential to develop associations between weather patterns and the corresponding ground delay program responses. If successful, they can be used to improve and standardize TFM decision resulting in better predictability of traffic flows on days with reliable weather forecasts. The approach here seeks to develop a set of data mining and machine learning models and apply them to historical archives of weather observations and forecasts and TFM initiatives to determine the extent to which the theory can predict and explain the observed traffic flow behaviors.

data mining↗

NASA NTRS1979

Digital adaptive controllers for VTOL vehicles. Volume 1: Concept evaluation

A digital self-adaptive flight control system was developed for flight test in the VTOL approach and landing technology (VALT) research aircraft (a modified CH-47 helicopter). The control laws accept commands from an automatic on-board guidance system. The primary objective of the control laws is to provide good command-following with a minimum cross-axis response. Three attitudes and vertical velocity are separately commanded. Adaptation of the control laws is based on information from rate and attitude gyros and a vertical velocity measurement. The final design resulted from a comparison of two different adaptive concepts--one based on explicit parameter estimates from a real-time maximum-likelihood estimation algorithm, the other based on an implicit model reference adaptive system. The two designs were compared on the basis of performance and complexity.

Hartmann, G. L.↗

NASA NTRS1987

A combined stochastic feedforward and feedback control design methodology with application to autoland design

A combined stochastic feedforward and feedback control design methodology was developed. The objective of the feedforward control law is to track the commanded trajectory, whereas the feedback control law tries to maintain the plant state near the desired trajectory in the presence of disturbances and uncertainties about the plant. The feedforward control law design is formulated as a stochastic optimization problem and is embedded into the stochastic output feedback problem where the plant contains unstable and uncontrollable modes. An algorithm to compute the optimal feedforward is developed. In this approach, the use of error integral feedback, dynamic compensation, control rate command structures are an integral part of the methodology. An incremental implementation is recommended. Results on the eigenvalues of the implemented versus designed control laws are presented. The stochastic feedforward/feedback control methodology is used to design a digital automatic landing system for the ATOPS Research Vehicle, a Boeing 737-100 aircraft. The system control modes include localizer and glideslope capture and track, and flare to touchdown. Results of a detailed nonlinear simulation of the digital control laws, actuator systems, and aircraft aerodynamics are presented.

Halyo, Nesim↗

DOE OSTI2014

Microwave heating device for internal heating convection experiments, applied to Earth's mantle dynamics

We report the design, construction, and performances of a microwave (MW) heating device for laboratory experiments with non-contact, homogeneous internal heating. The device generates MW radiation at 2.47 GHz from a commercial magnetron supplied by a pulsed current inverter using proprietary, feedback based command and control hardware and software. Specially designed MW launchers direct the MW radiation into the sample through a MW homogenizer, devised to even the MW power distribution into the sample's volume. An adjustable MW circuit adapts the MW generator to the load (i.e., the sample) placed in the experiment chamber. Dedicated heatsinks maintain the MW circuits at constant temperature throughout the experiment. Openings for laser scanning for image acquisition with a CCD camera and for the cooling circuits are protected by special MW filters. The performances of the device are analyzed in terms of heating uniformity, long term output power stability, and load matching. The device is used for small scale experiments simulating Earth's mantle convection. The 30 × 30 × 5 cm{sup 3} convection tank is filled with a water‑based viscous fluid. A uniform and constant temperature is maintained at the upper boundary by an aluminum heat exchanger and adiabatic conditions apply at the tank base. We characterize the geometry of the convective regime as well as its bulk thermal evolution by measuring the velocity field by Particle Image Velocimetry and the temperature field by using Thermochromic Liquid Crystals.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗

DOE OSTI2024

Implications of an emission trading scheme for India’s net-zero strategy: a modelling-based assessment

To help meet its near-term NDC goals and long-term net-zero 2070 target, the Government of India has planned to establish a Carbon Credit Trading Scheme (CCTS), i.e. a domestic emission trading scheme (ETS). An ETS is an inherently cost-effective policy instrument for emission reduction, providing the greatest flexibility to reduce emissions from within and across sectors. An effective ETS requires design features that consider country-specific challenges and reflect its role within the larger policy package to achieve long-term emission reduction. Within the Indian context and in this study we therefore investigate—(i) what might be the role of the ETS in achieving India’s long-term mitigation targets? (ii) How might the various sectors interact under an emissions cap? (iii) How might the ETS interact with existing energy and climate policies? We do this analysis by running four main scenarios using the integrated assessment model GCAM (v6.0), adapted to India-specific assumptions and expectations. These scenarios are—(i) NZ (net-zero), (ii) NZ + ETS, (iii) NZ + CC (command and control), and (iv) NZ + RPO (renewables purchase obligations) + ETS. The NZ scenario assumes India’s near-term and long-term climate commitments of net zero by 2070. Scenarios with ETS (ii) and (iv) apply an emissions cap on four sectors—electricity, iron and steel, cement, and fertilizer. The scenario with CC applies a homogenous emission cap on each of the chosen sectors but does not allow cross-sectoral trading. The last scenario includes renewables purchase obligations (RPOs along with an ETS. We show that under a specific ETS emissions cap: (i) the electricity sector emerges as the largest source of cost-effective greenhouse gas (GHG) reduction options; (ii) ETS with trading across sectors is around 24% more cost-effective than ETS with trading only within sectors, (iii) RPOs can be complementary to an ETS although the impact of RPOs on GHG reductions in the electricity sector would need to be considered when setting the level of the ETS cap (or emissions intensity targets) or the RPO targets to avoid low carbon prices, and (iv) the direction and volume of financial transfers across sectors depends on allocation targets set by the government. Based on these results we provide design recommendations for India’s ETS.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗