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DOE OSTI2024

Distributional Equity in the Employment and Wage Impacts of Energy Transitions

We use restricted-access, geocoded data on the near-universe of workers in 23 US states to quantify the impact of wind energy development on local earnings and employment, by race, ethnicity, sex, and educational attainment. We find significant impacts that persist for several years beyond the project construction phase. Our estimates are larger than those from previous studies but still small relative to typical economic multipliers for fiscal spending or investment in other industries. We find the largest percentage increases for black workers and workers who either do not have a high school diploma or who have a college degree. We also find the economic gains for men to be much larger than those for women. Finally, we find estimates from data aggregated to the county level to be significantly lower than our worker-level estimates. We suggest a number of areas for further study building off the justice implications of our findings.

employment↗

DOE OSTI2022

The DESI N -body simulation project – I. Testing the robustness of simulations for the DESI dark time survey

ABSTRACT Analysis of large galaxy surveys requires confidence in the robustness of numerical simulation methods. The simulations are used to construct mock galaxy catalogues to validate data analysis pipelines and identify potential systematics. We compare three N-body simulation codes, abacus, gadget-2, and swift, to investigate the regimes in which their results agree. We run N-body simulations at three different mass resolutions, 6.25 × 108, 2.11 × 109, and 5.00 × 109 h−1 M⊙, matching phases to reduce the noise within the comparisons. We find systematic errors in the halo clustering between different codes are smaller than the Dark Energy Spectroscopic Instrument (DESI) statistical error for $s\ \gt\ 20\ h^{-1}$ Mpc in the correlation function in redshift space. Through the resolution comparison we find that simulations run with a mass resolution of 2.1 × 109 h−1 M⊙ are sufficiently converged for systematic effects in the halo clustering to be smaller than the DESI statistical error at scales larger than $20\ h^{-1}$ Mpc. These findings show that the simulations are robust for extracting cosmological information from large scales which is the key goal of the DESI survey. Comparing matter power spectra, we find the codes agree to within 1 per cent for k ≤ 10 h Mpc−1. We also run a comparison of three initial condition generation codes and find good agreement. In addition, we include a quasi-N-body code, FastPM, since we plan use it for certain DESI analyses. The impact of the halo definition and galaxy–halo relation will be presented in a follow-up study.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2022

Fundamental differences in the properties of red and blue quasars: measuring the reddening and accretion properties with X-shooter

ABSTRACT We have recently found fundamental differences in the radio properties of red quasars when compared to typical blue quasars. In this paper, we use data from the X-shooter spectrograph on the Very Large Telescope, providing spectral coverage from ∼3000–$25\,000\,$ Å, of a sample of 40 red and blue luminous quasars at 1.45 < z < 1.65 to explore the connections between the radio, emission-line, and accretion-disc properties. We fit various dust-extinction curves to the data and find that dust reddening can fully explain the observed colours for the majority of the red quasars in our sample, with moderate extinctions ranging from AV ∼ 0.06–0.7 mag. We confront our spectra with a simple thin accretion-disc model and find this can describe the continua of both the blue and red quasars, once corrected for dust extinction; we also find no significant differences in the accretion properties. We detect ionized outflows in a number of red and blue quasars, but do not find any significant evidence that they are more prevalent in the red quasar population. Overall our findings imply that the radio emission is more closely connected to circumnuclear/ISM opacity rather than accretion disc or outflow differences.

Fawcett, V. A. (ORCID:000000031251532X)↗

DOE OSTI2023

The XMM cluster survey: exploring scaling relations and completeness of the dark energy survey year 3 redMaPPer cluster catalogue

ABSTRACT We cross-match and compare characteristics of galaxy clusters identified in observations from two sky surveys using two completely different techniques. One sample is optically selected from the analysis of 3 years of Dark Energy Survey observations using the redMaPPer cluster detection algorithm. The second is X-ray selected from XMM observations analysed by the XMM Cluster Survey. The samples comprise a total area of 57.4 deg2, bounded by the area of four contiguous XMM survey regions that overlap the DES footprint. We find that the X-ray-selected sample is fully matched with entries in the redMaPPer catalogue, above λ > 20 and within 0.1 <$z$ <0.9. Conversely, only 38 per cent of the redMaPPer catalogue is matched to an X-ray extended source. Next, using 120 optically clusters and 184 X-ray-selected clusters, we investigate the form of the X-ray luminosity–temperature (LX –TX ), luminosity–richness (LX –λ), and temperature–richness (TX –λ) scaling relations. We find that the fitted forms of the LX –TX relations are consistent between the two selection methods and also with other studies in the literature. However, we find tentative evidence for a steepening of the slope of the relation for low richness systems in the X-ray-selected sample. When considering the scaling of richness with X-ray properties, we again find consistency in the relations (i.e. LX –λ and TX –λ) between the optical and X-ray-selected samples. This is contrary to previous similar works that find a significant increase in the scatter of the luminosity scaling relation for X-ray-selected samples compared to optically selected samples.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2024

A strong blend in the morning: studying the circumgalactic medium before cosmic noon with strong, blended Ly α forest systems

ABSTRACT We study of the properties of a new class of circumgalactic medium absorbers identified in the Ly α forest: ‘Strong, Blended Lyman-α’ (or SBLA) absorption systems. We study SBLAs at 2.4 < z < 3.1 in SDSS-IV/eBOSS spectra by their strong extended Ly α absorption complexes covering 138 $\, \, {\rm km}\, {\rm s}^{-1}$ with an integrated $\log (N_{\rm H\, {\small I}}/\mathrm{cm}^{-2}) =16.04$$\substack{+0.05 \\ -0.06}$ and Doppler parameter b = 18.1$\substack{+0.7 \\ -0.4}$$\, \, {\rm km}\, {\rm s}^{-1}$. Clustering with the Ly α forest provides a large-scale structure bias of b = 2.34 ± 0.06 and halo mass estimate of $M_h \approx 10^{12}\, h^{-1}\, {\rm M_{\odot }}$ for our SBLA sample. We measure the ensemble mean column densities of 22 metal features in the SBLA composite spectrum and find that no single-population multiphase model for them is viable. We therefore explore the underlying SBLA population by forward modelling the SBLA absorption distribution. Based on covariance measurements and favoured populations we find that ≈25 per cent of our SBLAs have stronger metals. Using silicon only we find that our strong metal SBLAs trace gas with a log (nH/cm−3) > −2.40 for T = 103.5 K and show gas clumping on <210 parsec scales. We fit multiphase models to this strong subpopulation and find a low ionization phase with nH = 1 cm−3, T = 103.5 K, and [X/H] = 0.8, an intermediate ionization phase with log (nH/cm−3) = −3.05, T = 103.5 K and [X/H] = −0.8, and a poorly constrained higher ionization phase. We find that the low ionization phase favours cold, dense super-solar metallicity gas with a clumping scale of just 0.009 parsecs.

Morrison, Sean (ORCID:0000000267702627)↗

DOE OSTI2024

Dark energy survey year 3 results: miscentring calibration and X-ray-richness scaling relations in redMaPPer clusters

ABSTRACT We use Dark Energy Survey Year 3 (DES Y3) clusters with archival XMM–Newton and Chandra X-ray data to assess the centring performance of the redMaPPer cluster finder and to measure key richness observable scaling relations. We find that 10–20 per cent of redMaPPer clusters are miscentred, both when comparing to the X-ray peak position and to the visually identified central cluster galaxy. We find no significant difference in miscentring in bins of low versus high richness or redshift. The dominant reasons for miscentring include masked or missing data and the presence of other bright galaxies in the cluster. For half of the miscentred clusters, the correct central was one of the possible centrals identified by redMaPPer, while for ∼40 per cent of miscentred clusters, the correct central is not a redMaPPer member mostly due to masking. Additionally, we fit scaling relations of X-ray temperature and luminosity with richness. We find a TX–λ scatter of $0.21\pm 0.01$. While the scatter in TX–λ is consistent in redshift bins, we find modestly different slopes, with high-redshift clusters displaying a somewhat shallower relation. Splitting based on richness, we find a marginally larger scatter for our lowest richness bin, 20 < λ < 40. We note that the robustness of the scaling relations at lower richnesses is limited by the unknown selection function, but at λ > 75, we detect nearly all of the clusters falling within existing X-ray pointings. The X-ray properties of detected, serendipitous clusters are generally consistent with those of targeted clusters.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2026

SPT-3G D1: Axion early dark energy with CMB experiments and DESI observations

We present the most up-to-date constraints on axion early dark energy (AEDE) from cosmic microwave background (CMB) and baryon acoustic oscillation (BAO) measurements. In particular, we assess the impact of data from ground-based CMB experiments, the South Pole Telescope (SPT) and the Atacama Cosmology Telescope (ACT)—both with and without Planck—on constraints on AEDE. We also highlight the impact that BAO information from the Dark Energy Spectroscopic Instrument (DESI) has on these constraints. From CMB data alone, we do not find statistically significant evidence for the presence of AEDE, and we find only moderate reduction in the Hubble tension. From the latest SPT data alone, we find the maximal fractional contribution of AEDE to the cosmic energy budget is f EDE < 0.12 at 95% confidence level (CL), and the Hubble tension between the SPT and Supernovae, H0, for the Equation of State of Dark Energy (SH0ES) results is reduced to the 2.3 σ level. When combining the latest SPT, ACT, and Planck datasets, we find f EDE < 0.070 at 95% CL and the Hubble tension at the 3.6 σ level. In contrast, adding DESI data to the CMB datasets results in mild preference for AEDE and, in some cases, non-negligible reduction in the Hubble tension. From SPT + DESI , we find f EDE = 0.08 1 - 0.052 + 0.037 at 68% CL, and the Hubble tension reduces to 1.5 σ . From the combination of DESI with all three CMB experiments, we get f EDE = 0.05 5 - 0.047 + 0.024 at 68% CL and a weak preference for AEDE over Λ CDM . This data combination, in turn, reduces the Hubble tension to 2.6 σ . We highlight that this shift in parameters when adding the DESI dataset is a manifestation of the discrepancy currently present between DESI and CMB experiments in the concordance model Λ CDM .

Khalife, A. R. [Paris, Inst. Astrophys.] (ORCID:00↗

DOE OSTI2026

Evaluating the Limits of QAOA Parameter Transfer at High-Rounds on Sparse Ising Models With Geometrically Local Cubic Terms

The emergent practical applicability of the Quantum Approximate Optimization Algorithm (QAOA) for approximate combinatorial optimization is a subject of considerable interest. One of the primary limitations of QAOA is the task of finding a set of good parameters, which is usually done using a variational optimization loop. Parameter transfer, or parameter concentration, is a phenomenon where QAOA angles trained on problem instances that are self-similar tend to perform well for other problem instances from that similar class. This suggests a potentially highly efficient and scalable non-variational learning method for QAOA angle finding. In this work, we systematically study QAOA parameter transferability from small problem sizes (16 and 27 decision variables) onto large problem instances (up to 156 qubits) for heavy-hex graph Ising models with geometrically local higher order terms using the Julia based QAOA simulation tool \texttt{JuliQAOA} to perform classical angle finding for up to $49$ QAOA layers ($p$). Parameter transfer of the fixed angles is validated using a combination of full statevector, Projected Entangled Pair States (PEPS), Matrix Product State (MPS), and LOWESA numerical simulations. We find that the QAOA parameter transfer from single instances applied to other (unseen) problem instances does not in general provide monotonically improving performance as a function of $p$ - there are many cases where the performance temporarily decreases as a function of $p$ - but despite this the transferred angles have a general trend of improved expectation value as the QAOA depth increases, in many cases converging close to the true ground-state energy of the $100+$ qubit instances. We also sample the hardware-compatible Ising models using the ensemble of transfer-learned QAOA parameters on several superconducting qubit IBM Quantum processors with 127, 133, and 156 qubits. We find continuous solution quality improvement of the hardware-compatible QAOA circuits run on the IBM NISQ processors up to $p=5$ on \texttt{ibm\_fez}, up to $p=9$ on \texttt{ibm\_torino}, and up to $p=10$ on \texttt{ibm\_pittsburgh}.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2022

Dark Energy Survey year 3 results: Constraints on cosmological parameters and galaxy-bias models from galaxy clustering and galaxy-galaxy lensing using the redMaGiC sample

We constrain cosmological parameters and galaxy-bias parameters using the combination of galaxy clustering and galaxy-galaxy lensing measurements from the Dark Energy Survey (DES) year-3 data. We describe our modeling framework and choice of scales analyzed, validating their robustness to theoretical uncertainties in small-scale clustering by analyzing simulated data. Using a linear galaxy-bias model and redMaGiC galaxy sample, we obtain 10% constraints on the matter density of the Universe. Here, we also implement a nonlinear galaxy-bias model to probe smaller scales that includes parametrization based on hybrid perturbation theory and find that it leads to a 17% gain in cosmological constraining power. We perform robustness tests of our methodology pipeline and demonstrate stability of the constraints to changes in the theory model. Using the redMaGiC galaxy sample as foreground lens galaxies and adopting the best-fitting cosmological parameters from DES year-1 data, we find the galaxy clustering and galaxy-galaxy lensing measurements to exhibit significant signals akin to decorrelation between galaxies and mass on large scales, which is not expected in any current models. This likely systematic measurement error biases our constraints on galaxy bias and the S 8 parameter. We find that a scale-, redshift- and sky-area-independent phenomenological decorrelation parameter can effectively capture this inconsistency between the galaxy clustering and galaxy-galaxy lensing. We trace the source of this correlation to a color-dependent photometric issue and minimize its impact on our result by changing the selection criteria of redMaGiC galaxies. Using this new sample, our constraints on the S 8 parameter are consistent with previous studies and we find a small shift in the Ω m constraints compared to the fiducial redMaGiC sample. We infer the constraints on the mean host-halo mass of the redMaGiC galaxies in this new sample from the large-scale bias constraints, finding the galaxies occupy halos of mass approximately 1.6 × 10 13 M ⊙ /h.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2024

Cosmology of dark energy radiation

In this work, we quantify the cosmological signatures of dark energy radiation—a novel description of dark energy, which proposes that the dynamical component of dark energy is comprised of a thermal bath of relativistic particles sourced by thermal friction from a slowly rolling scalar field. For a minimal model with particle production emerging from first principles, we find that the abundance of radiation sourced by dark energy can be as large as Ω DER = 0.03, exceeding the bounds on relic dark radiation by three orders of magnitude. Although the background and perturbative evolution of dark energy radiation are distinct from Quintessence, we find that current and near-future cosmic microwave background and supernova data will not distinguish these models of dark energy. We also find that our constraints on all models are dominated by their impact on the expansion rate of the Universe. Considering extensions that allow the dark radiation to populate neutrinos, axions, and dark photons, we evaluate the direct detection prospects of a thermal background comprised of these candidates consistent with cosmological constraints on dark energy radiation. Our study indicates that a resolution of ~6 meV is required to achieve sensitivity to relativistic neutrinos compatible with dark energy radiation in a neutrino capture experiment on tritium. We also find that dark matter axion experiments lack sensitivity to a relativistic thermal axion background, even if enhanced by dark energy radiation, and dedicated search strategies are required to probe new parameter space. We derive constraints arising from a dark photon background from oscillations into visible photons, and find that viable parameter space can be explored with the late dark energy radiation experiment.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2023

Symmetric Kondo Lattice States in Doped Strained Twisted Bilayer Graphene

We use the topological heavy fermion (THF) model and its Kondo lattice (KL) formulation to study the possibility of a symmetric Kondo (SK) state in twisted bilayer graphene. Via a large-N approximation, we find a SK state in the KL model at fillings v = 0,±1,±2 where a KL model can be constructed. In the SK state, all symmetries are preserved and the local moments are Kondo screened by the conduction electrons. At the mean-field level of the THF model at v = 0,±1,±2,±3 we also find a similar symmetric state that is adiabatically connected to the symmetric Kondo state. We study the stability of the symmetric state by comparing its energy with the ordered (symmetry-breaking) states found in [H. Hu et al., Phys. Rev. Lett. 131, 026502 (2023)., Z.-D. Song and B. A. Bernevig, Phys. Rev. Lett. 129, 047601 (2022).] and find the ordered states to have lower energy at v = 0,±1,±2. However, moving away from integer fillings by doping the light bands, our mean-field calculations find the energy difference between the ordered state and the symmetric state to be reduced, which suggests the loss of ordering and a tendency toward Kondo screening. In order to include many-body effects beyond the mean-field approximation, we also performed dynamical mean-field theory calculations on the THF model in the nonordered phase. The spin susceptibility follows a Curie behavior at v = 0,±1,±2 down to ~2 K where the onset of screening of the local moment becomes visible. This hints to very low Kondo temperatures at these fillings, in agreement with the outcome of our mean-field calculations. At noninteger filling v = ±0.5,±0.8,±1.2 dynamical mean-field theory shows deviations from a 1/T susceptibility at much higher temperatures, suggesting a more effective screening of local moments with doping. Lastly, we study the effect of a C 3⁢z -rotational-symmetry-breaking strain via mean-field approaches and find that a symmetric phase (that only breaks C 3⁢z symmetry) can be stabilized at sufficiently large strain at v = 0,±1,±2. Our results suggest that a symmetric Kondo phase is strongly suppressed at integer fillings, but could be stabilized either at noninteger fillings or by applying strain.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗

DOE OSTI2025

Association between optically identified galaxy clusters and the underlying dark matter halos

Clusters of galaxies trace massive dark matter halos in the Universe, but they can include multiple halos projected along lines of sight. Here, we study the halos contributing to clusters using the Cardinal simulation, which mimics the Dark Energy Survey data. We use the red-sequence-based cluster finding algorithm redMaPPer as a case study. For each cluster, we identify the halos hosting its member galaxies, and we define the main halo as the one contributing the most to the cluster's richness ($λ$, the estimated number of member galaxies). At $z=0.3$, for clusters with $λ> 60$, the main halo typically contributes to $92\%$ of the richness, and this fraction drops to $67\%$ for $λ\approx 20$. Defining "clean" clusters as those with $\geq50\%$ of the richness contributed by the main halo, we find that $100\%$ of the $λ> 60$ clusters are clean, while $73\%$ of the $λ\approx 20$ clusters are clean. Three halos can usually account for more than $80\%$ of the richness of a cluster. The main halos associated with redMaPPer clusters have a completeness ranging from $98\%$ at virial mass $10^{14.6}~h^{-1}M_{\odot}$ to $64\%$ at $10^{14}~h^{-1}M_{\odot}$. In addition, we compare the inferred cluster centers with true halo centers, finding that $30\%$ of the clusters are miscentered with a mean offset $40\%$ of the cluster radii, in agreement with recent X-ray studies. These systematics worsen as redshift increases, but we expect that upcoming surveys extending to longer wavelengths will improve the cluster finding at high redshifts. Our results affirm the robustness of the redMaPPer algorithm and provide a framework for benchmarking other cluster-finding strategies.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2025

Constraints on neutrino physics from DESI DR2 BAO and DR1 full shape

The Dark Energy Spectroscopic Instrument (DESI) Collaboration has obtained robust measurements of baryon acoustic oscillations in the redshift range 0.1 < 𝑧 < 4.2, based on the Lyman-𝛼 forest and galaxies from data release 2. We combine these measurements with cosmic microwave background (CMB) data from Planck and the Atacama Cosmology Telescope to place our tightest constraints yet on the sum of neutrino masses. Assuming the cosmological Λ⁢ CDM model and three degenerate neutrino states, we find ∑𝑚 𝜈 < 0.0642 eV (95%) with a marginalized error of 𝜎⁡(∑𝑚 𝜈 ) = 0.020 eV. We also constrain the effective number of neutrino species, finding 𝑁 eff = 3.2⁢3$^{+0.35}_{−0.34}$ (95%), in line with the Standard Model prediction. When accounting for neutrino oscillation constraints, we find a preference for the normal mass ordering and an upper limit on the lightest neutrino mass of 𝑚 𝑙 < 0.023 eV (95%). However, we determine using frequentist and Bayesian methods that our constraints are in tension with the lower limits derived from neutrino oscillations. Correcting for the physical boundary at zero mass, we report a 95% Feldman-Cousins upper limit of ∑𝑚 𝜈 < 0.053 eV, breaching the lower limit from neutrino oscillations. Considering a more general Bayesian analysis with an effective cosmological neutrino mass parameter, ∑𝑚 𝜈,eff , that allows for negative energy densities and removes unsatisfactory prior weight effects, we derive constraints that are in 3⁢𝜎 tension with the same oscillation limit, while the error rises to 𝜎⁡(∑𝑚 𝜈,eff ) = 0.053 eV. In the absence of unknown systematics, this finding could be interpreted as a hint of new physics not necessarily related to neutrinos. The preference of DESI and CMB data for an evolving dark energy model offers one possible solution. In the 𝑤 0 ⁢𝑤 𝑎 ⁢CDM model, we find ∑𝑚 𝜈 < 0.163 eV (95%), relaxing the neutrino tension. These constraints all rely on the effects of neutrinos on the cosmic expansion history. Using full-shape power spectrum measurements of data release 1 galaxies, we place complementary constraints that rely on neutrino free streaming. Our strongest such limit in Λ ⁢CDM, using selected CMB priors, is ∑𝑚 𝜈 < 0.193 eV (95%).

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2023

A previously uncharacterized divisome-associated lipoprotein, DalA, is needed for normal cell division in Rhodobacterales

ABSTRACT The bacterial cell envelope is a key subcellular compartment with important roles in antibiotic resistance, nutrient acquisition, and cell morphology. We seek to gain a better understanding of proteins that contribute to the function of the cell envelope in Alphaproteobacteria . Using Rhodobacter sphaeroides , we show that a previously uncharacterized protein, RSP_1200, is an outer membrane (OM) lipoprotein that non-covalently binds peptidoglycan (PG). Using a fluorescently tagged version of this protein, we find that RSP_1200 undergoes a dynamic repositioning during the cell cycle and is enriched at the septum during cell division. We show that the position of RSP_1200 mirrors the location of FtsZ rings, leading us to propose that RSP_1200 is a newly identified component of the R. sphaeroides ’ divisome. Additional support for this hypothesis includes the co-precipitation of RSP_1200 with FtsZ, the Pal protein, and several predicted PG L,D-transpeptidases. We also find that a ∆ RSP_1200 mutation leads to defects in cell division, sensitivity to PG-active antibiotics, and results in the formation of OM protrusions at the septum during cell division. Based on these results, we propose to name RSP_1200 DalA (for division-associated lipoprotein A) and postulate that DalA serves as a scaffold to position or modulate the activity of PG transpeptidases that are needed to form envelope invaginations during cell division. We find that DalA homologs are present in members of the Rhodobacterales order within Alphaproteobacteria . Therefore, we propose that further analysis of this and related proteins will increase our understanding of the macromolecular machinery and proteins that participate in cell division in Gram-negative bacteria. IMPORTANCE Multi-protein complexes of the bacterial cell envelope orchestrate key processes like growth, division, biofilm formation, antimicrobial resistance, and production of valuable compounds. The subunits of these protein complexes are well studied in some bacteria, and differences in their composition and function are linked to variations in cell envelope composition, shape, and proliferation. However, some envelope protein complex subunits have no known homologs across the bacterial phylogeny. We find that Rhodobacter sphaeroides RSP_1200 is a newly identified lipoprotein (DalA) and that loss of this protein causes defects in cell division and changes the sensitivity to compounds, affecting cell envelope synthesis and function. We find that DalA forms a complex with proteins needed for cell division, binds the cell envelope polymer peptidoglycan, and colocalizes with enzymes involved in the assembly of this macromolecule. The analysis of DalA provides new information on the cell division machinery in this and possibly other Alphaproteobacteria.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2021

Global Trends of ASME "N-Stamp" Certifications for Nuclear Component Vendors

Historically, nuclear component manufacturing vendors, from small businesses through large conglomerates, have felt compelled to obtain an American Society for Mechanical Engineers (ASME) Nuclear Certification, known colloquially as an "N-stamp", to assure supply chain quality standards that will be acceptable to regulators and safety concerns. Since the N-stamp quality standard is a U.S.-origin code, combined with the apparent decline in the U.S. nuclear industry alongside the growth of the Asian nuclear industry, there is the question of whether the rest of the world, including new entrants to the nuclear industry, also regard N-stamp as a needed certification. This study addresses this question through analysis of the entire N-stamp database of holders, and former holders, of N-stamp certificates of all types and for all regions worldwide from 1989-2020 (the dates available in the database). From this 30 years of data, we find that actually U.S.-based vendors still consistently obtain the largest number of N-stamps worldwide over all time periods, but also find that the countries participating in the N-stamp certification process has broadly expanded beyond just North America, Japan, S. Korea and Western Europe (the primary N-stamp recipients before the mid-2000's). We produced global heats maps and bar charts to illustrate our findings, as well as further investigation into why the data shows changes over time and region. We note that nuclear entities involved with Soviet-type reactors do not participate in the N-stamp process, but instead pursue the Russian version PNAE, which is substantially similar to the ASME code. We conclude that at least from the N-stamp database, the United States nuclear component manufacturing industry is alive and well, although there have been some consolidations, and that the ASME N-stamp appears to still be a valued certificate worldwide, including in China which now ranks second only to the United States in obtaining N-stamp certificates in recent years. We further note that the vendors of new reactor types, in particular High Temperature Gas-Cooled Reactors (HTGRs) and Small Modular Reactors (SMRs), are actively engaged with ASME (and other U.S.-based nuclear standards bodies such as the American Nuclear Society and Nuclear Energy Institute) to coordinate updates to the ASME N-Stamp criteria to ensure applicability of the code for these new designs. Implications of these findings include the following: The global use of the U.S.-origin N-stamp certification supports the view that, despite the decline of the U.S. nuclear industry, the United States remains an esteemed global leader in the area of nuclear safety. As the U.S. Government works to revitalize the U.S. nuclear industry, especially in the area of exports, it may be beneficial to leverage the global standing of the N-stamp certification. The findings indicate that the N-stamp database would be a useful tool for the U.S. Government to use to track the growth of the civil nuclear industry in foreign countries, under certain circumstances. The Excel-format N-stamp database produced as part of this study may be a useful tool for this purpose. N-stamp data may be a useful tool for foreign governments to use to identify nuclear manufacturers within their own country, especially to identify "targets" for outreach on nuclear export control compliance. The U.S. Government could carry this message to foreign partners during bilateral engagements or as part of Nuclear Suppliers Group (NSG) discussions on industry outreach.

42 ENGINEERING↗

DOE OSTI2023

Calculation fo the Reflection and Transmission Coefficients for Gradual Tapered Waveguide Structures

It is required to find the reflection and transmission coefficients for a tapered waveguide. It is assumed that the taper is very long and gradual such that no higher order modes are excited from the discontinuity of the waveguide. Three different methods are presented for finding the reflection coefficient and two methods are presented for finding the transmission coefficient. A traditional differential equation method which finds only the reflection coefficient is presented. An additional set of differential equations are presented which finds both the reflection and transmission coefficients. A FEM (finite element method), which solves for both the reflection and transmission coefficients, is presented with its limitations. An example of a tapered coaxial line and waveguide is presented with the different methods compared and contrasted.

43 PARTICLE ACCELERATORS↗

DOE OSTI2023

Light Water Sustainability Program: Optimizing Information Automation Using a New Method Based on System-Theoretic Process Analysis

This report describes the interim progress for research supporting the design and optimization of information automation systems for nuclear power plants. Much of the domestic nuclear fleet is currently focused on modernizing technologies and processes, including transitioning toward digitalization in the control room and elsewhere throughout the plant, along with a greater use of automation, artificial intelligence, robotics, and other emerging technologies. While there are significant opportunities to apply these technologies toward greater plant safety, efficiency, and overall cost-effectiveness, optimizing their design and avoiding potential safety and performance risks depends on ensuring that human-performance-related organizational and technical design issues are identified and addressed. This report describes modeling tools and techniques, based on sociotechnical system theory, to support these design goals and their application in the current research effort. The report is intended for senior nuclear energy stakeholders, including regulators, corporate management, and senior plant management. We have developed and employed a method to design an optimized information automation ecosystem (IAE) based on the systems-theoretic constructs underlying sociotechnical systems theory in general and the Systems-Theoretic Accident Modeling and Processes (STAMP) approach in particular. We argue that an IAE can be modeled as an interactive information control system whose behavior can be understood in terms of dynamic control and feedback relationships amongst the system’s technical and organizational components. Up to this point, we have employed a Causal Analysis based on STAMP (CAST) technique to examine a performance- and safety-related incident at an industry partner’s plant that involved the unintentional activation of an emergency diesel generator. This analysis provided insight into the behavior of the plant’s current information control structure within the context of a specific, significant event. Our ongoing analysis is focused on identifying near-term process improvements and longer-term design requirements for an optimized IAE system. The latter analyses will employ a second STAMP-derived technique, System-Theoretic Process Analysis (STPA). STPA is a useful modeling tool for generating and analyzing actual or potential information control structures. Finally, we have begun modeling plantwide organizational relationships and processes. Organizational system modeling will supplement our CAST and STPA findings and provide a basis for mapping out a plantwide information control architecture. CAST analysis findings indicate an important underlying contributor to the incident under investigation, and a significant risk to information automation system performance, was perceived schedule pressure, which exposed weaknesses in interdepartmental coordination between and within responsible plant organizations and challenged the resilience of established plant processes, until a human caused the initiating event. These findings are discussed in terms of their risk to overall system performance and their implications for information automation system resilience and brittleness. We present two preliminary information automation models. The proactive issue resolution model is a test case of an information automation concept with significant near-term potential for application and subsequent reduction in significant plant events. The IAE model is a more general representation of a broader, plantwide information automation system. From our results, we have generated a set of preliminary system-level requirements and safety constraints. These requirements will be further developed over the remainder of our project in collaboration with nuclear industry subject matter experts and specialists in the technical systems under consideration. Additionally, we will continue to pursue the system analyses initiated in the first part of our effort, with a particular emphasis on STPA as the main tool to identify weak or weakening control structures that affect the resilience of organizations and programs. Our intent is to broaden the scope of the analysis from an individual use case to a related set of use cases (e.g., maintenance tasks, compliance tasks) with similar human-system performance challenges. This will enable more generalized findings to refine the Proactive Issue Resolution and IAE models, as well as their system-level requirements and safety constraints. We will use organizational system modeling analyses to supplement STPA findings and model development. We conclude the report with a set of summary recommendations and an initial draft list of system-level requirements and safety constraints for optimized information automation systems.

99 GENERAL AND MISCELLANEOUS↗

DOE OSTI2023

Third-Party Aggregation Rulemaking in MISO and SPP Footprints

The report highlights key considerations for retail regulators in the footprints of the Southwest Power Pool (SPP) or Midcontinent Independent System Operator (MISO) in states that previously opted out of allowing third-party aggregation participation under FERC Order 719 and that may want to explore reversing the decision due to a changing policy environment under new FERC orders (i.e., 2222) and/or tightening resource adequacy constraints. Through a document review and a series of 27 interviews with regulators, aggregators, and other industry professionals, this document provides a high-level policy overview of the retail regulator’s role in a selection of processes, rules, and regulations to better understand how states have treated and/or integrated aggregators into wholesale markets. The report summarizes findings in two sections: General Findings and Specific Policy Findings. The General Findings offer high level takeaways such as the fact that 17 of the 20 states in MISO and SPP footprints opted out of third party aggregations following Order 719. Additionally, there is only one state that is fully restructured in the MISO and SPP footprints whereas the rest are vertically integrated, and the majority of third-party aggregations in the U.S. take place in restructured states outside of these footprints. Even so, third-party aggregations do take place in MISO and SPP albeit in small numbers and in an ad hoc regulatory environment. The specific policy findings delve deeper into specific examples of state actions on the topics of jurisdiction, registration and licensing, data governance, dual participation, and dispute resolution. Tables in each category organize state actions into Tiers I-III, which roughly correspond to the possible level of involvement or possible change necessary by state regulators and/or legislators to implement these actions. The tier level does not indicate any value judgement, as each state has respective regulatory limitations and each decision comes with various tradeoffs. One main tradeoff is between simplicity and quick implementation versus comprehensive and prolonged implementation. In many cases, actions in Tier I could be implemented without significant changes by relying on the use of existing processes for an aggregator context. On the other hand, many actions in Tier III are more narrowly designed to address aggregators specifically, but often require more significant changes including the involvement of additional parties through stakeholder engagement or legislative action. In some cases, these tiers are discrete. However, state regulators may also choose to progress through these various tiers sequentially as they phase in aggregators while learning from their experience. With the ability to stack bulk system level services, distributed energy resource aggregations in MISO and SPP could provide various private benefits (e.g., increased value streams to the owner) as well as societally beneficial grid services (e.g., peaking capacity, ancillary services, and other services that increase the grid’s overall operational efficiency). In deciding how to best to enable these benefits, states and retail regulators must weigh various tradeoffs if considering reversing a previous opt out.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗