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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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All sourcesNASA NTRSDOE OSTI
NASA NTRS1985

A preliminary study of the basic display/guidance requirements for flying near optimal trajectories

NASA has responded to the increased emphases on cost-efficient operation of today's airline fleet with an ongoing research program to investigate the requirements and benefits of using new airborne guidance and pilot procedures designed to yield cost-optimal flight profiles that are compatible with advanced air traffic control system concepts. A trajectory optimization algorithm has been incorporated into one of NASA Langley's fixed-based simulators to investigate the pilot/cockpit interface requirements. The trajectories that are generated by this algorithm differ from conventional profiles in that they are constantly varying in both flight path angle and airspeed. Considering the dynamic nature of these profiles, conventional guidance may be insufficient for practical use. This paper summarizes the results of an initial set of piloted simulation tests to investigate the basic guidance requirements for flying the near-optimal trajectories.

Vicroy, D. D.↗
DOE OSTI2023

Modeling and simulation to investigate the electrification potential of medium- and heavy-duty vehicle fleets

This project involves developing and integrating new modeling tools to simulate the dynamics of electric medium- and heavy-duty fleet vehicle adoption. A technical and economic modeling tool, combining a data-driven hardware cost model with a cost-optimal charging strategy microsimulation, enables tailored analysis of the costs and benefits of electrifying individual fleets. Next, a novel text synthesis process, applied to a curated corpus of literature, quantifies trade-offs between technical, economic, and other factors in the fleet vehicle procurement decision. The outcomes of these tasks combine with knowledge from recent literature on fleet decision processes to specify the vehicle procurement model used by fleets in an agent-based model of the medium- and heavy-duty electric vehicle market. This model embodies an especially disaggregated approach to adoption modeling, internalizing factors and dynamics that conventional adoption models externalize. In particular, explicitly modeling the formation and diffusion of opinions among agents enables experiments that conventional models cannot support. Demonstrations show, for example, that increasing the extent of interactions between populations with different proclivities to electric vehicles has an asymmetrical outcome. High-proclivity electric vehicle adoption is generally unaffected as interactions increase, but low-proclivity adoption is accelerated. By representing individual fleets' requirements and costs at a high level of detail, incorporating an adoption decision model informed by a wide body of empirical research, and broadening the array of variables and dynamics available for experimentation, this integrated model offers a new way to understand the urgent challenge of eliminating emissions from the most emissions-intensive transportation sectors.

Trinko, David A.↗
DOE OSTI2021

Energy and Emission Prediction for Mixed-Vehicle Transit Fleets Using Multi-task and Inductive Transfer Learning

Public transit agencies are focused on making their fixed-line bus systems more energy efficient by introducing electric (EV) and hybrid (HV) vehicles to their fleets. However, because of the high upfront cost of these vehicles, most agencies are tasked with managing a mixed-fleet of internal combustion vehicles (ICEVs), EVs, and HVs. In managing mixed-fleets, agencies require accurate predictions of energy use for optimizing the assignment of vehicles to transit routes, scheduling charging, and ensuring that emission standards are met. The current state-of-the-art is to develop separate neural network models to predict energy consumption for each vehicle class. Although different vehicle classes’ energy consumption depends on a varied set of covariates, we hypothesize that there are broader generalizable patterns that govern energy consumption and emissions. In this paper, we seek to extract these patterns to aid learning to address two problems faced by transit agencies. First, in the case of a transit agency which operates many ICEVs, HVs, and EVs, we use multi-task learning (MTL) to improve accuracy of forecasting energy consumption. Second, in the case where there is a significant variation in vehicles in each category, we use inductive transfer learning (ITL) to improve predictive accuracy for vehicle class models with insufficient data. As this work is to be deployed by our partner agency, we also provide an online pipeline for joining the various sensor streams for fixed-line transit energy prediction. Here, we find that our approach outperforms vehicle-specific baselines in both the MTL and ITL settings.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2022

Scalable Predictive And Risk Technologies

The research involves developing scalable technologies for risk-informed predictive analytics to achieve condition-based monitoring and maintenance strategies to reduce overall maintenance costs. The research utilizes data (real-time data, periodic data, and institutional knowledge) related to a particular plant asset from a specific nuclear plant site to develop technologies to scale risk-informed predictive analytic algorithms across different plant assets at the plant site and across the nuclear fleet. The developed algorithms and codes are used to optimize the maintenance strategy and estimate/forecast generation costs based on the state of health of the plant asset. Developed codes specifically include 1. Parameter estimation using plant operation data 2. Federated and Transfer learning model 3. Feature group based Multi-kernel SVM 4. Three state markov model

Manjunatha, KoushikAraseethota↗
DOE OSTI2023

Multi-stage charging and discharging of electric vehicle fleets

Fleets of electric vehicles will likely shift electricity demand, and the effect of upstream charging emissions will come from generation sources that are dispatched in response. This study proposes a multi-stage charging and discharging problem to translate low-cost energy transactions into vehicle dispatch decisions. A day-ahead charging optimization problem minimizes electricity purchases and marginal emissions damages, with energy transactions becoming targets in an optimization-based dispatch strategy for an on-demand shared autonomous electric vehicle (SAEV) fleet. The framework was tested for Austin, Texas, using an agent-based simulator. Fleets can schedule charging to lower daily power costs (averaging 15.5% or $\$0.79$/day/SAEV) while reducing health damages from generation-related pollution (2.8% or $\$0.43$/day/SAEV). Finally, fleet managers can increase profits ($\$8$ per SAEV per day) by adopting a multi-stage charging and discharging strategy that can serve more passengers per day than price-agnostic dispatch strategies.

33 ADVANCED PROPULSION SYSTEMS↗
NASA NTRS1975

Tug fleet and ground operations schedules and controls. Volume 1: Executive summary

This study presents Tug Fleet and Ground Operations Schedules and Controls plan. This plan was developed and optimized out of a combination of individual Tug program phased subplans, special emphasis studies, contingency analyses and sensitivity analyses. The subplans cover the Tug program phases: (1) Tug operational, (2) Interim Upper Stage (IUS)/Tug fleet utilization, (3) and IUS/Tug payload integration, (4) Tug site activation, (5) IUS/Tug transition, (6) Tug acquisition. Resource requirements (facility, GSE, TSE, software, manpower, logistics) are provided in each subplan, as are appropriate Tug processing flows, active and total IUS and Tug fleet requirements, fleet management and Tug payload integration concepts, facility selection recommendations, site activation and IUS to Tug transition requirements. The impact of operational concepts on Tug acquisition is assessed and the impact of operating Tugs out of KSC and WTR is analyzed and presented showing WTR as a delta. Finally, cost estimates for fleet management and ground operations of the DDT&E and operational phases of the Tug program are given.

Source record↗
DOE OSTI2022

Development and Commercialization of an IDAES-Based Power Plant Performance Monitoring and Optimization System

DOE and NETL have created an advanced, open-source computational platform through the Institute for the Design of Advanced Energy Systems (IDAES). The IDAES platform is a very extensive modeling environment that can be used for a broad range of power plant and process applications. MapEx Software is developing and commercializing a software application that makes it easier to set-up and run IDAES-based analyses. The MapEx-developed software application will replace the need for custom Python language coding with a user-friendly graphical user interface where the user can construct a flowsheet diagram of the IDAES model by inserting icons representing the plant equipment onto the screen. This application will make the implementation of modeling and optimization of existing fossil-fired power plants more straight-forward and less time-consuming. The effort focuses on performance monitoring and optimization of plant operations for the existing coal-fired power plant fleet but is built on a structure that allows expansion into the broad range of applications where IDAES methods may be applied.

20 FOSSIL-FUELED POWER PLANTS↗
NASA NTRS2023

Automated Fiber Placement Through Thickness Defect Stacking Optimization

In its 2022 commercial market outlook, Boeing forecasted an 80% increase in the global fleet through 2041 compared to 2019 pre-pandemic levels. This sharp rise in demand will drive pressure onto airframe manufacturers to ramp up production and find more efficient ways to design and manufacture airplanes. Complicating this challenge is the industry’s recent transformation from traditional metal-based airframes towards hybrid composite-metal aircraft. While composites have been used in aviation for decades, aircraft manufacturers are still struggling to design and manufacture quality parts at a high rate. Automated Fiber Placement (AFP) is one of the main manufacturing techniques used to produce large-scale composite parts. After a design has been created, a manufacturing strategy has to be developed based on the working material, part geometry, and machine capabilities. This process planning stage is essential to the AFP workflow and currently requires a high level of manual input from an experienced process planner. In an effort to automate and optimize this stage, the Computer Aided Process Planning (CAPP) module was developed. CAPP assists process planners in identifying optimal starting point location and layup strategy for each ply of a laminate. This Ply-Level Optimization (PLO) phase operates on the quantification of ply quality through predictable geometry-based defects such as gaps, overlaps, angle deviation, and steering. As you move from PLO to Laminate-Level Optimization (LLO) the design space grows exponentially, emphasizing the need for automated optimization. The work presented in this thesis expands CAPP’s functionality by comparing the planned fiber paths through the thickness of the laminate to mitigate stacked area defects and achieve an optimal laminate-level manufacturing strategy. Within CAPP, predicted gap and overlap defects are imported from Vericut Composites Programming (VCP) and then discretized to streamline the through-thickness comparison. Two objective functions are used to score different combinations of ply layup strategies based on defect stacking both globally and locally. Four combinatorial optimization algorithms were coupled with these objective functions to investigate the laminate-level manufacturing strategy design space and converge on the optimal plan. These algorithms were evaluated based on accuracy and efficiency through virtual testing on a complex tool surface. A separate LLO approach was developed to achieve near-optimal laminates in significantly less time. The end result is a software package which greatly reduces the required input from process planners, shortening the design-build cycle time and improving part quality.

AFP↗
DOE OSTI2020

An Optimization-Based Planning Tool for On-Demand Mobility Service Operations

Regions worldwide are adopting and exploring low-speed automated electric shuttle (AES) service as an on-demand shared mobility service in dense geofenced urban areas. Building on this concept, the National Renewable Energy Laboratory (NREL) recently developed the Automated Mobility District (AMD) toolkit. The AMD toolkit—comprising of a travel micro-simulation model and an energy estimation model—estimates the mobility and energy impacts of a given shuttle configuration within an AMD. Early-stage AMD deployments need to find optimal operational configurations that include: (a) passenger capacity of an AES, (b) time-dependent routes, and (c) fleet size (AES units) to satisfy the demand for the region. This research extends the AMD toolkit functionality by developing an optimization-based planning module that will assist in the operations of AES units. We developed a constrained mixed-integer program accounting for passenger waiting time, battery range, and passenger capacity of AES units. For scalability, we demonstrated the Tabu search-based solution technique for a real-world network—a proposed AMD deployment in Greenville, South Carolina, USA. Compared to rule-based operations, our developed solution yields higher travel time and energy savings for the network at different demand levels. The sensitivity analyses for waiting time thresholds indicate nonlinearity in the system performance, underscoring the need to meet shared-use mobility user-level expectations. The developed optimization framework can be adapted and extended to accommodate different categories of shared-use on-demand mobility services.

ADVANCED PROPULSION SYSTEMS,ENERGY PLANNING, POLIC↗
NASA NTRS2007

Advanced Image Processing for NASA Applications

The future of space exploration will involve cooperating fleets of spacecraft or sensor webs geared towards coordinated and optimal observation of Earth Science phenomena. The main advantage of such systems is to utilize multiple viewing angles as well as multiple spatial and spectral resolutions of sensors carried on multiple spacecraft but acting collaboratively as a single system. Within this framework, our research focuses on all areas related to sensing in collaborative environments, which means systems utilizing intracommunicating spatially distributed sensor pods or crafts being deployed to monitor or explore different environments. This talk will describe the general concept of sensing in collaborative environments, will give a brief overview of several technologies developed at NASA Goddard Space Flight Center in this area, and then will concentrate on specific image processing research related to that domain, specifically image registration and image fusion.

LeMoign, Jacqueline↗
DOE OSTI2024

Sustainable Port Operations: Powered by NREL

Seaports are vital economic hubs that allow the United States to compete on a global scale. But the heavy vehicles and cargo equipment that enable their operations also emit harmful air pollutants and greenhouse gas emissions. For nearly two decades, National Renewable Energy Laboratory (NREL) researchers have worked toward comprehensive seaport decarbonization. They fuse world-class analysis with deep vehicle and transportation systems knowledge to guide strategic deployment of low- and zero-emissions vehicles, charging and refueling infrastructure, and grid improvements. Together, these capabilities can enable sustainable port operations. This fact sheet outlines major seaport and airport decarbonization capabilities across the laboratory, including: fleet research, energy data, and insights for decarbonization; comprehensive hydrogen infrastructure deployment; optimized charging through grid integration; strategic blueprinting for clean, optimized technology deployment; and integrating diversity, equity, inclusion, and accessibility considerations into decarbonization efforts.

ADVANCED PROPULSION SYSTEMS,ENERGY CONSERVATION, C↗
DOE OSTI2025

Assessing the Impact of Lubrication on Efficiency and Life Cycle Economics of the US Wind Turbine Fleet: Cooperative Research and Development (Final Report)

As with any mechanical system, lubrication plays a key role in the performance of wind turbines used to generate electricity. The lubricant design offers a way to optimize the competing requirements of efficiency, component reliability, and maintenance strategy. This project will estimate the impact of improved lubrication on the levelized cost of energy of the US wind turbine fleet as a means of identifying opportunities for disruptive innovation or system-level optimization. The models developed will provide a clear understanding of the benefits and potential for advanced lubrication of wind turbines. The project will enable identification of high value targets for wind turbine component suppliers and a roadmap that highlights where the greatest return on technology investment can be achieved. This will promote efficient resource allocation in areas of new technology development.

17 WIND ENERGY↗
DOE OSTI2023

Multiphysics analysis of fuel Fragmentation, Relocation, and dispersal Susceptibility–Part 2: High-Burnup Steady-State operating and fuel performance conditions

The US nuclear industry is pursuing increased cycle lengths and increasing the peak rod-averaged burnup in an effort to increase the economic viability of the US nuclear fleet. Increasing burnup will afford economic viability by enabling utilities to optimize core designs to reduce the number of fresh fuel assemblies per cycle and allow nuclear power plants to operate for a longer period of time. Longer operating periods will also decrease the number of outages experienced by a nuclear power plants and, therefore, offer utilities significant operational savings. However, extending the peak rod-averaged burnup beyond 62 GWd/tU results in operating fuel rods to higher burnup under higher power conditions. This operating regime is expected to result in higher fuel temperatures, fission gas release (FGR), and rod internal pressures (RIPs) that may challenge historical safety basis and affect high-burnup (HBU) experimental testing. In particular, these conditions directly affect fuel fragmentation, relocation, and dispersal (FFRD) susceptibility, so understanding the pretransient operating conditions is critical for developing test plans that evaluate the FFRD and develop strategies to mitigate it. This paper evaluates the operating conditions and fuel performance of HBU (greater than62 GWd/tU rod average) fuel. Additionally, it investigates fuel performance sensitivities and discusses the effect on fuel performance. Here, this work used two codes. Virtual Environment for Reactor Applications (VERA) was used to calculate steady-state power histories, identify HBU operating conditions using 10 different realistic HBU core designs, and down-select rods to a representative subset of fuel rods for subsequent BISON evaluation. The BISON fuel performance code was used to investigate steady-state HBU operating conditions and assess uncertainties associated with FGR and its effect on fuel temperatures and RIPs. The VERA and BISON results will provide direct input for HBU experimental testing and support subsequent TRACE and BISON transient fuel performance analyses.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
DOE OSTI2022

Integration of Control Methods and Digital Twins for Advanced Nuclear Reactors

Advanced nuclear reactors offer a new set of features to energy generation, due to their ability to adapt to variable energy demand, operate autonomously, be deployed in rural locations and monitored remotely, afford compact size and lower power ratings, and rely on novel technologies to achieve safer operations. Thus, a requirement for the success of these reactors is the use of intelligent forms of control to track changing power demands, make autonomous decisions, and reduce the need for human involvement. Regulatory requirements pertaining to control of nuclear reactors could be met via historical means of control; however, these are not expected to enable the level of highly autonomous operations desired in advanced nuclear reactors. Historical control methods rely on both logical and high-performance (HP) control. These two types of control are usually used separately, with a human element being introduced whenever decisions are cascaded from one science to another. AI/ML control, on the other hand, can replace the human element in the current U.S. fleet of nuclear power plants (NPPs) by acting as a supervisory optimizer that understands the plant internal/external variables in order to make control decisions, and can easily handle non-linear and multi-input/multi out (MIMO) decisions—another requirement for advanced nuclear reactors that could be difficult to handle via logical and HP control. Because of the harsh operating environments produced in advanced reactors, resulting in the frequent failure of sensors and other types of equipment, and considering the lack of operating history for advanced nuclear reactors, control of advanced nuclear reactors would necessitate relying on a model that can track and adapt to the actual process (i.e., a digital twin). This digital twin can make approximations when knowledge and data are unavailable and would evolve as more knowledge is gained. The reactor control must also be risk-informed to account for the high-consequence nature of advanced reactors. This report introduces a high-level (i.e., not method- or process-specific) integration of the three different control and digital twinning methods able to meet the requirements for advanced nuclear reactors. These methods could be applied during both the operational and design stages of these reactors. The aim is to demonstrate how each method interfaces with and highlights enabling solutions necessitated by the unique features of advanced nuclear reactors.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2021

Spatially and Temporally Resolved Velocimetry for Hypersonic Flows

The development of new hypersonic flight vehicles is limited by the physical understanding that may be obtained from ground test facilities. This has motivated the present development of a temporally and spatially resolved velocimetry measurement for Sandia National Laboratories (SNL) Hypersonic Wind Tunnel (HWT) using Femtosecond Laser Electronic Excitation Tagging (FLEET). First, a multi-line FLEET technique has been created for the first time and tested in a supersonic jet, allowing simultaneous measurements of velocities along multiple profiles in a flow. Secondly, two different approaches have been demonstrated for generating dotted FLEET lines. One employs a slit mask pattern focused into points to yield a dotted line, allowing for two- or three-component velocity measurements free of contamination between components. The other dotted-line approach is based upon an optical wedge array and yields a grid of points rather than a dotted line. Two successful FLEET measurement campaigns have been conducted in SNL’s HWT. The first effort established optimal diagnostic configurations in the hypersonic environment based on earlier benchtop reproductions, including validation of the use of a 267 nm beam to boost the measurement signal-to-noise ratio (SNR) with minimal risk of perturbing the flow and greater simplicity than a comparable resonant technique at 202 nm. The same FLEET system subsequently was reconstituted to demonstrate the ability to make velocimetry measurements of hypersonic turbulence in a realistic flow field. Mean velocity profiles and turbulence intensity profiles of the shear layer in the wake of a hypersonic cone model were measured at several different downstream stations, proving the viability of FLEET as a hypersonic diagnostic.

33 ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2020

Fleet-wide Electrification Impacts Assessment for the Valley Transportation Authority

This report explores the long-term electrification opportunities for the Valley Transit Authority’s (VTA) transit bus fleet. The potential for transit bus electrification at VTA as well as the economic impacts of partial and complete electrification are explored. We use the Revenue Operation and Device Optimization model to determine the optimal charging, operation and lowest capital and operating cost solution to achieve different levels of electrification to meet their existing routes. This study finds that, relying on only depot charging, around 70% of the daily trips by VTA’s transit bus fleet can be replaced with battery electric buses (BEBs) today. The benefits and drawbacks of five methods for improving the electrification potential beyond that achievable with only depot charging are discussed including (1) increase charger power, (2) purchase of larger vehicle batteries, (3) en-route charging, (4) purchasing additional buses and swapping them to enable the existing routes/blocks1 to be met, and (5) route/block redesign. A strategy is developed to enable full fleet electrification by increasing charger power or allowing intraday charging as a proxy for the options mentioned above. This method allows us to develop an understanding of the impacts and trade-offs of full fleet electrification. Two charging strategies are examined. Immediate charging, when the bus is charged as soon as it arrives at a depot or en-route charging station, and smart charging, which uses a controller to determine the best times to charge to achieve the lowest charging cost, while maintaining the same trip schedules. Smart charging is effective at reducing the peak power consumption, which can be reduced by between 31% and 65% compared to immediate charging. This translates directly to lower electricity demand charges and lower costs for possible distribution system upgrades. The total lifetime net present value (NPV) costs for different scenarios are presented in Figure ES-1. Scenarios are separated into three sections. The first stacked bar on the left is the base case (business-as-usual) where all buses are diesel hybrids, the next four bars include partial and full fleet electrification utilizing only immediate charging, and the last four bars include partial and full fleet electrification utilizing smart charging. The results show that smart charging scenarios are within ±4% of the lifetime NPV cost of the diesel-hybrid only (business-as-usual) scenario. The scenarios with full fleet electrification (i.e., including intraday charging) are 4% lower cost and those with partial fleet electrification (i.e., without intraday charging) are 2%–3% higher. However, it is important to note that the intraday charging scenarios do not include any additional costs for the equipment necessary to achieve intraday charging (e.g., additional chargers, larger batteries, new route design). Additionally, it is worth noting that the Low Carbon Fuel Standard (LCFS) credit received for implementing electric buses is essential to achieving these results.

33 ADVANCED PROPULSION SYSTEMS↗
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

Optimizing Information Automation Using a New Method Based on System-Theoretic Process Analysis: Tool Development and Method Evaluation

This report is an update to a prior report that describes progress and findings for a program of 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 throughout the plant, along with a greater interest in the 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 early in the design process. This report describes modeling tools and techniques, based on sociotechnical systems theory, to support these design goals and their application in the current research effort. The report is primarily 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, feedback, and communication relationships amongst the system’s technical and organizational components. We have employed two STAMP-based tools in this effort. The first is Causal Analysis based on STAMP (CAST), an accident and incident analysis technique that was used to examine a performance- and safety-related incident at an industry partner’s plant involving 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. The second tool is Systems Theoretic Process Analysis (STPA) which is a proactive risk analysis tool used to examine existing and potential, planned sociotechnical systems. STPA was used to identify risk factors in the current design of a generic nuclear power plant (NPP) preventive maintenance system. Our analyses focused on identifying near-term system improvements and longer-term design requirements for an optimized IAE system. CAST analysis findings indicate an important underlying contributor to the incident under investigation, and a significant risk to information automation system performance, was perceived time and 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 eventual event. These findings are discussed in terms of their risk to overall system performance and their implications for information automation system resilience and brittleness. STPA findings exposed several areas of concern in the design of current preventive maintenance systems. We also present two preliminary information automation models. The proactive issue resolution (PIR) 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 and represents an end-state vision for our work. From our results, we have generated an initial set of preliminary system-level requirements and safety constraints for these models. We have also focused on early development of easy to learn, easy to use “transportable” tools for sociotechnical systems analysis. We intend these to be used by NPP personnel as a means of gaining reliable and relatively quick insight into (1) sociotechnical systems factors impacting incidents and accidents, (2) potential sociotechnical risk factors in existing or planned system designs, and (3) potential weaknesses in a system’s safety and/or information control structure. We conclude the report with a set of summary recommendations, a discussion of planned and potential follow-on research and development, and a draft list of system-level requirements and safety constraints for optimized information automation systems.

99 GENERAL AND MISCELLANEOUS↗