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DOE OSTI2025

Web-Based Tools for Data-Informed Remedy Optimization: Software Theory and User Guide

This report documents the development and application of two web-based decision-support tools for pump-and-treat (P&T) groundwater remediation systems: PTOLEMY (Pump-and-Treat Optimized Location Evaluation to Maximize Yields) and OPTIMA (Optimization for Pump-and-Treat Implementation, Management, & Assessment). These tools enhance remedy design and management by leveraging advanced computational methods – specifically deep learning and multi-objective optimization – within a user-friendly platform. By integrating data-driven models with established hydrogeological knowledge, PTOLEMY and OPTIMA enable more efficient evaluation of well placement and operational strategies, helping site managers balance multiple remediation objectives under complex conditions. Both tools are implemented as modules within the SOCRATES (Suite Of Comprehensive Rapid Analysis Tools for Environmental Sites) web platform, which provides data access, visualization, and analytics to support remedy optimization across sites in the U.S. Department of Energy Office of Environmental Management complex. PTOLEMY is a rapid screening module designed to identify promising locations for new extraction wells. It employs a multi-channel three-dimensional convolutional neural network (MC3D-CNN) trained on high-fidelity simulation data to predict the relative performance (in terms of contaminant mass recovery) of potential well sites. Through an interactive web interface, PTOLEMY visualizes the probability of high performance across a site, highlighting areas where an extraction well is likely to yield above-threshold contaminant removal over a multi-year period. PTOLEMY’s map-based displays and exportable results support transparent communication of screening analyses. By focusing attention on the most favorable candidate locations, the tool augments traditional engineering judgment and physics-based modeling, providing a data informed basis for subsequent detailed evaluations. OPTIMA is a multi objective optimization module designed to find wellfield layouts and operating schedules that meet various cleanup goals. It quickly evaluates thousands of candidate setups – combinations of well locations, timing, and rates – and returns a small set of best trade-off options for comparison. At its core, OPTIMA uses a U-Net-based surrogate model – a deep-learning emulator of a groundwater flow and transport simulator – to dramatically accelerate scenario evaluations. Coupling this fast surrogate with the NSGA-II (Non-dominated Sorting Genetic Algorithm II) evolutionary algorithm, OPTIMA explores a wide decision space of well locations and schedules to identify Pareto-optimal solutions that trade off key objectives (e.g., minimizing cleanup time, maximizing contaminant mass removal, and minimizing plume extent). The tool outputs a family of optimal configurations and visualizes their trade-offs (Pareto frontiers of cleanup metrics and maps of optimized well placements). Site managers can use these results to understand the range of viable strategies and to select candidate designs for more detailed verification. OPTIMA is currently under active development and not yet fully released; this guide provides early documentation to support planning and gather user feedback.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2021

Effect of barren plateaus on gradient-free optimization

Barren plateau landscapes correspond to gradients that vanish exponentially in the number of qubits. Such landscapes have been demonstrated for variational quantum algorithms and quantum neural networks with either deep circuits or global cost functions. For obvious reasons, it is expected that gradient-based optimizers will be significantly affected by barren plateaus. However, whether or not gradient-free optimizers are impacted is a topic of debate, with some arguing that gradient-free approaches are unaffected by barren plateaus. Here we show that, indeed, gradient-free optimizers do not solve the barren plateau problem. Our main result proves that cost function differences, which are the basis for making decisions in a gradient-free optimization, are exponentially suppressed in a barren plateau. Hence, without exponential precision, gradient-free optimizers will not make progress in the optimization. We numerically confirm this by training in a barren plateau with several gradient-free optimizers (Nelder-Mead, Powell, and COBYLA algorithms), and show that the numbers of shots required in the optimization grows exponentially with the number of qubits.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2023

Optimal Power Management of Battery Energy Storage Systems via Ensemble Kalman Inversion

Optimal power management of battery energy storage systems (BESS) is crucial for their safe and efficient operation. Numerical optimization techniques are frequently utilized to solve the optimal power management problems. However, these techniques often fall short of delivering real-time solutions for large-scale BESS due to their computational complexity. To address this issue, this paper proposes a computationally efficient approach. We introduce a new set of decision variables called power-sharing ratios corresponding to each cell, indicating their allocated power share from the output power demand. We then formulate an optimal power management problem to minimize the system-wide power losses while ensuring compliance with safety, balancing, and power supply-demand match constraints. To efficiently solve this problem, a parametrized control policy is designed and leveraged to transform the optimal power management problem into a parameter estimation problem. We then implement the ensemble Kalman inversion to estimate the optimal parameter set. The proposed approach significantly reduces computational requirements due to 1) the much lower dimensionality of the decision parameters and 2) the estimation treatment of the optimal power management problem. Finally, we conduct extensive simulations to validate the effectiveness of the proposed approach. The results show promise in accuracy and computation time compared with explored numerical optimization techniques.

Farakhor, Amir↗

DOE OSTI2022

A Multi-Objective Approach for Optimizing Edge-Based Resource Allocation Using TOPSIS

Existing approaches for allocating resources on edge environments are inefficient and lack the support of heterogeneous edge devices, which in turn fail to optimize the dependency on cloud infrastructures or datacenters. To this extent, we propose in this paper OpERA, a multi-layered edge-based resource allocation optimization framework that supports heterogeneous and seamless execution of offloadable tasks across edge, fog, and cloud computing layers and architectures. By capturing offloadable task requirements, OpERA is capable of identifying suitable resources within nearby edge or fog layers, thus optimizing the execution process. Throughout the paper, we present results which show the effectiveness of our proposed optimization strategy in terms of reducing costs, minimizing energy consumption, and promoting other residual gains in terms of processing computations, network bandwidth, and task execution time. We also demonstrate that by optimizing resource allocation in computation offloading, it is then possible to increase the likelihood of successful task offloading, particularly for computationally intensive tasks that are becoming integral as part of many IoT applications such robotic surgery, autonomous driving, smart city monitoring device grids, and deep learning tasks. The evaluation of our OpERA optimization algorithm reveals that the TOPSIS MCDM technique effectively identifies optimal compute resources for processing offloadable tasks, with a 96% success rate. Moreover, the results from our experiments with a diverse range of use cases show that our OpERA optimization strategy can effectively reduce energy consumption by up to 88%, and operational costs by 76%, by identifying relevant compute resources.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2019

CFD-Guided Combustion System Optimization of a Gasoline Range Fuel in a Heavy-Duty Compression Ignition Engine Using Automatic Piston Geometry Generation and a Supercomputer

A computational fluid dynamics (CFD) guided combustion system optimization was conducted for a heavy-duty diesel engine running with a gasoline fuel that has a research octane number (RON) of 80. The goal was to optimize the gasoline compression ignition (GCI) combustion recipe (piston bowl geometry, injector spray pattern, in-cylinder swirl motion, and thermal boundary conditions) for improved fuel efficiency while maintaining engine-out NO x within a 1-1.5 g/kW-hr window. The numerical model was developed using the multi-dimensional CFD software CONVERGE. A two-stage design of experiments (DoE) approach was employed with the first stage focusing on the piston bowl shape optimization and the second addressing refinement of the combustion recipe. For optimizing the piston bowl geometry, a software tool, CAESES, was utilized to automatically perturb key bowl design parameters. This led to the generation of 256 combustion chamber designs evaluated at several engine operating conditions. The second DoE campaign was conducted to optimize injector spray patterns, fuel injection strategies and in-cylinder swirl motion for the best performing piston bowl designs from the first DoE campaign. This comprehensive optimization study was performed on a supercomputer, Mira, to accelerate the development of an optimized fuel-efficiency focused design. Compared to the production combustion system in the baseline engine, the new combustion recipe from this study showed significantly improved closed-cycle fuel efficiency across key engine operating points while meeting the engine-out NO x targets. Optimized piston bowl designs and injector spray patterns were predicted to provide enhanced in-cylinder air utilization and more rapid mixing-controlled combustion, thereby leading to a fuel efficiency improvement. In addition, shifting the engine thermal boundary conditions toward leaner operation was also key to the improved fuel efficiency.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2017

Optimizing Biorefinery Design and Operations via Linear Programming Models

The ability to assess and optimize economics of biomass resource utilization for the production of fuels, chemicals and power is essential for the ultimate success of a bioenergy industry. The team of authors, consisting of members from the National Renewable Energy Laboratory (NREL) and the Idaho National Laboratory (INL), has developed simple biorefinery linear programming (LP) models to enable the optimization of theoretical or existing biorefineries. The goal of this analysis is to demonstrate how such models can benefit the developing biorefining industry. It focuses on a theoretical multi-pathway, thermochemical biorefinery configuration and demonstrates how the biorefinery can use LP models for operations planning and optimization in comparable ways to the petroleum refining industry. Using LP modeling tools developed under U.S. Department of Energy's Bioenergy Technologies Office (DOE-BETO) funded efforts, the authors investigate optimization challenges for the theoretical biorefineries such as (1) optimal feedstock slate based on available biomass and prices, (2) breakeven price analysis for available feedstocks, (3) impact analysis for changes in feedstock costs and product prices, (4) optimal biorefinery operations during unit shutdowns / turnarounds, and (5) incentives for increased processing capacity. These biorefinery examples are comparable to crude oil purchasing and operational optimization studies that petroleum refiners perform routinely using LPs and other optimization models. It is important to note that the analyses presented in this article are strictly theoretical and they are not based on current energy market prices. The pricing structure assigned for this demonstrative analysis is consistent with $4 per gallon gasoline, which clearly assumes an economic environment that would favor the construction and operation of biorefineries. The analysis approach and examples provide valuable insights into the usefulness of analysis tools for maximizing the potential benefits of biomass utilization for production of fuels, chemicals and power.

09 BIOMASS FUELS↗

DOE OSTI2021

Design Optimization of A-Type Heat Exchangers based on High Performance, Non-Round Tubes

Air-to-refrigerant heat exchangers (HXs) have been the topic of considerable research as they are the fundamental heat transfer components of HVAC&R systems. For residential and commercial applications, indoor heat exchangers are often in A-type configurations to reduce air-conditioner system footprint while still delivering the required cooling or heating. Classical HX design practices typically assume a uniform frontal air velocity profile to facilitate the use of conventional tube-fin airside heat transfer and pressure drop correlations for performance prediction. However, it is well-reported throughout the literature that A-type HXs experience significant airflow maldistribution which can severely degrade HX performance. Additionally, recent advancements in simulation software such as Computational Fluid Dynamics (CFD), Finite Element Analysis (FEA) and optimization algorithms have led researchers to consider primary heat transfer surface optimization to achieve highly compact HXs which do not require fins. In this paper, an A-type HX which utilizes shape-optimized non-round tubes is optimized for minimum duct size and airside pressure drop. This is achieved through coupling of an experimentally validated finite volume HX model with automated 2D CFD simulations of airflow through the HX for airside thermal-hydraulic performance evaluation. Preliminary results show that the optimal designs deliver similar capacity while achieving 20% reductions in airside pressure drop and duct cross-section area. Additionally, the optimal design apex angles in this study were similar to those from previous A-Type HX optimization studies for conventional tube-fin HX geometries, suggesting that the apex angle for optimal A-Type configuration performance may be independent of tube geometry.

42 ENGINEERING↗

DOE OSTI2021

Optimal toolpath generation system and method for additively manufactured composite materials

The present disclosure relates to a system for optimizing an additive manufacturing (AM) process. The system may use a printing component for using a material to form a component in a layer-by-layer process. An electronic controller may control movement of one of the printing component or a substrate on which the component is being formed, in a manner to optimize a toolpath for the printing component as each layer of the component is formed. Optimization operations are performed using an optimization subsystem which enables manufacturability constraints, as well as optimized toolpaths for each layer of the component, to be defined using contours of a level-set function. The level-set function may be used to define the optimized toolpaths within a fixed, predetermined grid, and the optimized toolpaths then used to generate suitable code for controlling movement of the printing component relative to the substrate to create the part or structure in a layer-by-layer process, using the optimized toolpaths.

Lewicki, James↗

DOE OSTI2014

Optimal Shielding Design For Minimum Materials Cost or Mass - Paper 128

Material costs dominate some shielding design problems. This is certainly the case for manned nuclear power space applications for which shielding is essential and the cost of launching by rocket from Earth is high. In such situations or in those where shielding volume or mass is constrained, it is important to optimize the design. Although trial and error synthesis methods may succeed, a more systematic approach is warranted. Design automation may also potentially reduce engineering costs. The objective is to automate the design of optimal radiation shielding to meet specified attenuation requirements given a menu of allowed shielding materials, their properties and their delivered costs per unit volume. The cost-optimal design is one which, at each location in the shield, chooses the menu material minimizing a particular functional of forward and adjoint angular fluxes plus material cost. Thus a Boltzmann forward and adjoint angular flux solver with additional calculations can evaluate whether a shield design is optimal or whether improvements are possible. An iterative algorithm based on approximated optimality is proposed to solve for the optimal shield design and numerical experiments with it are discussed. The future use of 3D Boltzmann solvers will allow extending results to shaped shield designs in which material is not wasted to maintain unneeded spherical symmetry. The largest cost savings of automated optimal design of shielding is expected to be for applications involving nuclear powered manned space missions where the required shielding attenuation of radiation and costs are both large. However, less exotic applications such as the shielding of radiation facilities on Earth could also benefit from optimal shielding design, and automation of the design process may reduce engineering costs. (author)

61 RADIATION PROTECTION AND DOSIMETRY↗

DOE OSTI2019

TRANSP-based optimization towards tokamak scenario development

An optimization approach that incorporates the predictive transport code TRANSP is proposed for tokamak scenario development. Optimization methods are often employed to develop open-loop control strategies to aid access to high performance tokamak scenarios. Generally, the optimization approaches use control-oriented models, i.e. models that are reduced in complexity and prediction accuracy as compared to physics-oriented transport codes such as TRANSP. In the presented approach, an optimization procedure using the TRANSP code to simulate the tokamak plasma is considered for improved predictive capabilities. As a test case, the neutral beam injection (NBI) power is optimized to develop a control strategy that maximizes the noninductive current fraction during the ramp-up phase for NSTX-U. Simulation studies towards the achievement of noninductive ramp-up in NSTX-U have already been carried out with the TRANSP code. The optimization-based approach presented in this work is used to maximize the noninductive current fraction during ramp-up in NSTX-U, demonstrating that the scenario development task can be automated. An additional test case considers optimization of the current ramp rate in DIII-D for obtaining a stationary plasma characterized by a flat loop voltage profile in the flattop phase.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2023

Pseudospectral convex optimization for on-ramp merging control of connected vehicles

It can be a daunting task for human drivers to merge into highways because of the intricate vehicle negotiations and potential risk within limited time and space. Connected vehicle (CV) technologies could be a solution to this problem and offer many benefits to the road safety, traffic mobility, and energy efficiency. However, real-time optimal control of CVs is still an open challenge, due to the nonlinear vehicle dynamics, non-convex fuel consumption model, and highly dynamic uncertain inter-vehicle interactions. To tackle these issues, a novel real-time optimal control approach that balances the computational efficiency and solution optimality is proposed for the purpose of onboard application. To this end, the pseudospectral collocation method is integrated with a sequential convex programming approach to develop two new optimization algorithms, which are implemented within a model predictive control (MPC) framework to allow for real-time generation of optimal merging speed profiles. One algorithm leverages the line search technique to improve convergence, and the other benefits from the trust region method for better computational efficiency. The optimality and convergence process of both proposed algorithms are investigated by comparing their solutions with a popular non-linear solver. Furthermore, simulation results show that the proposed methods outperform the benchmark in terms of computational cost, fuel consumption, and traffic efficiency. In particular, the proposed fuel-economy merging rule can save 57.1% fuel consumption on average on four different traffic volumes. Meanwhile, the proposed optimal control algorithms can reduce 2.2% travel time on average comparing to the “first-in-first-out” merging rule.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2021

Distributed ADMM Using Private Blockchain for Power Flow Optimization in Distribution Network With Coupled and Mixed-Integer Constraints

The optimization problem for scheduling distributed energy resources (DERs) and battery energy storage systems (BESS) integrated with the power grid is important to minimize energy consumption from conventional sources in response to demand. Conventionally this optimization problem is solved in a centralized manner, limiting the size of the problem that can be solved and creating a high communication overhead because all the data is transferred to the central controller. These limitations are addressed by the proposed distributed consensus-based alternating direction method of multiplier (DC-ADMM) optimization algorithm, which decomposes the optimization problem into subproblems with private cost function and constraints. The distribution feeder is partitioned into low coupling subnetworks/regions, which solves the private subproblem locally and exchanges information with the neighboring regions to reach consensus. The relaxation strategy is employed for mixed-integer and coupled constraints introduced in the optimal power flow (OPF) problem by stationary and transportable BESS because DC-ADMM convergence is only guaranteed for strict convex problems. The information exchange and synchronization between subnetworks/regions are vital for distributed optimization. In this work, both of these aspects are addressed by the blockchain. The smart contract deployed on the blockchain network acts as a mediator for secure data exchange and synchronization in distributed computation. The blockchain-based distributed optimization problem’s effectiveness is tested for a 0.5-MW laboratory microgrid for one hour ahead and day-ahead for the IEEE 123-bus and EPRI J1 test feeders, and results are compared with a centralized solution.

25 ENERGY STORAGE↗

DOE OSTI2021

Outcomes and Insights From Simplified Analytic Trajectory Optimization for a Tethered Underwater Kite

This letter formulates and solves a periodic trajectory optimization problem for a tethered underwater kite. The goal is to maximize the average mechanical power harvested by the kite. The type of kite considered in this letter extracts electricity from ocean currents by moving cross-current as its reel away from its base station, and consumes electricity to reel back. The problem of optimizing this kite’s trajectory is challenging due to the high dimensionality and nonlinearity of its dynamics. To tackle this challenge, the literature often separates the problem into two subproblems focusing on optimizing the cross-current and the reel-in/reel-out components of the trajectory, respectively, which may be sub-optimal. In contrast, this letter solves for the combined cross-current and reel-in/reel-out trajectory by linearizing the dynamics of the kite around a zero-power reference equilibrium trajectory in spherical coordinates. This allows the trajectory optimization problem to be solved analytically for simple sinusoidal input perturbations from equilibrium. Here we use linear quadratic regulation to enable the nonlinear kite model to track the optimized trajectory. The result is a computationally efficient approach that achieves an attractive Loyd factor of 19.9%, while providing important insights into the nature of the optimal trajectory.

42 ENGINEERING↗

DOE OSTI2017

A Survey of Distributed Optimization and Control Algorithms for Electric Power Systems

Historically, centrally computed algorithms have been the primary means of power system optimization and control. With increasing penetrations of distributed energy resources requiring optimization and control of power systems with many controllable devices, distributed algorithms have been the subject of significant research interest. Here, this paper surveys the literature of distributed algorithms with applications to optimization and control of power systems. In particular, this paper reviews distributed algorithms for offline solution of optimal power flow (OPF) problems as well as online algorithms for real-time solution of OPF, optimal frequency control, optimal voltage control, and optimal wide-area control problems.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2025

Improved Guarantees for Optimal Nash Equilibrium Seeking and Bilevel Variational Inequalities

We consider a class of hierarchical variational inequality (VI) problems that subsumes VI-constrained optimization and several other problem classes, including the optimal solution selection problem and the optimal Nash equilibrium (NE) seeking problem. Our main contribution is threefold. (i) We consider bilevel VIs with monotone and Lipschitz continuous mappings and devise a single-timescale iteratively regularized extragradient method, named IR-EG 𝚖,𝚖 . We improve the existing iteration complexity results for addressing both bilevel VI and VI-constrained convex optimization problems. (ii) Under the strong monotonicity of the outer-level mapping, we develop a method named IR-EG 𝚜,𝚖 and derive faster guarantees than those in (i). We also study the iteration complexity of this method under a constant regularization parameter. These results appear to be new for both bilevel VIs and VI-constrained optimization. (iii) To our knowledge, complexity guarantees for computing the optimal NE in nonconvex settings do not exist. Motivated by this lacuna, we consider VI-constrained nonconvex optimization problems and devise an inexactly projected gradient method, named IPR-EG, where the projection onto the unknown set of equilibria is performed using IR-EG 𝚜,𝚖 with a prescribed termination criterion and an adaptive regularization parameter. We obtain new complexity guarantees in terms of a residual map and an infeasibility metric for computing a stationary point. Here, we validate the theoretical findings using preliminary numerical experiments for computing the best and the worst NEs.

bilevel optimization↗

DOE OSTI2019

TRANSP-based Optimization Towards Tokamak Scenario Development

An optimization approach that incorporates the predictive transport code TRANSP is proposed for tokamak scenario development. Optimization methods are often employed to develop open-loop control strategies to aid access to high performance tokamak scenarios. In general, the optimization approaches use control-oriented models, i.e. models that are reduced in complexity and prediction accuracy as compared to physics-oriented transport codes such as TRANSP. In the presented approach, an optimization procedure using the TRANSP code to simulate the tokamak plasma is considered for improved predictive capabilities. As a test case, the neutral beam injection (NBI) power is optimized to develop a control strategy that maximizes the non-inductive current fraction during the ramp-up phase for NSTX-U. Simulation studies towards the achievement of non-inductive ramp up in NSTX-U have already been carried out with the TRANSP code. The optimization-based approach proposed in this work is used to maximize the non-inductive current fraction during ramp-up in NSTX-U, demonstrating that the scenario development task can be automated. An additional test case considers optimization of the current ramp rate in DIII-D for obtaining a stationary plasma characterized bya flat loop voltage profile in the flattop phase.

DIII-D↗

DOE OSTI2024

Binary Quantum Control Optimization with Uncertain Hamiltonians

Optimizing the controls of quantum systems plays a crucial role in advancing quantum technologies. The time-varying noises in quantum systems and the widespread use of inhomogeneous quantum ensembles raise the need for high-quality quantum controls under uncertainties. In this paper, we consider a stochastic discrete optimization formulation of a discretized binary optimal quantum control problem involving Hamiltonians with predictable uncertainties. We propose a sample-based reformulation that optimizes both risk-neutral and risk-averse measurements of control policies, and solve these with two gradient-based algorithms using sum-up-rounding approaches. Furthermore, we discuss the differentiability of the objective function and prove upper bounds of the gaps between the optimal solutions to binary control problems and their continuous relaxations. We conduct numerical simulations on various sized problem instances based on two applications of quantum pulse optimization; we evaluate different strategies to mitigate the impact of uncertainties in quantum systems. In conclusion, we demonstrate that the controls of our stochastic optimization model achieve significantly higher quality and robustness compared with the controls of a deterministic model.

conditional value-at-risk (CVaR)↗

DOE OSTI2019

Efficient Distributed Optimization of Wind Farms Using Proximal Primal-Dual Algorithms: Preprint

This paper presents a distributed approach to perform real-time optimization of large wind farms. Wind turbines in a wind farm typically operate individually to maximize their own performance regardless of the impact of aerodynamic interactions on neighboring turbines. This paper optimizes the overall power produced by a wind farm by formulating and solving a nonconvex optimization problem where the yaw angles are optimized to allow some turbines to operate in misaligned conditions and shape the aerodynamic interactions in a favorable way. The solution of the nonconvex smooth problem is tackled using a proximal primal-dual gradient method, which provably identifies a first-order stationary solution in a global sublinear manner. By adding auxiliary optimization variables for every pair of turbines that are coupled aerodynamically and properly adding consensus constraints into the underlying problem, a distributed algorithm with turbine-to-turbine message passing is obtained; this allows for turbines to be optimized in parallel using local information rather than information from the whole wind farm. This algorithm is computationally light, as it involves closed-form updates. This approach is demonstrated on a large wind farm with 60 turbines. The results indicate that similar performance can be achieved as with finite-difference gradient-based optimization at a fraction of the computational time and thus approach real-time control/optimization.

17 WIND ENERGY↗