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DOE OSTI2022

On the Convergence of Overlapping Schwarz Decomposition for Nonlinear Optimal Control

Here, we study the convergence properties of an overlapping Schwarz decomposition algorithm for solving nonlinear optimal control problems (OCPs). The algorithm decomposes the time domain into a set of overlapping subdomains, and solves all subproblems defined over subdomains in parallel. The convergence is attained by updating primal-dual information at the boundaries of overlapping subdomains. We show that the algorithm exhibits local linear convergence, and that the convergence rate improves exponentially with the overlap size. We also establish global convergence results for a general quadratic programming, which enables the application of the Schwarz scheme inside second-order optimization algorithms (e.g., sequential quadratic programming). The theoretical foundation of our convergence analysis is a sensitivity result of nonlinear OCPs, which we call "exponential decay of sensitivity" (EDS). Intuitively, EDS states that the impact of perturbations at domain boundaries (i.e., initial and terminal time) on the solution decays exponentially as one moves into the domain. Here, we expand a previous analysis available in the literature by showing that EDS holds for both primal and dual solutions of nonlinear OCPs, under uniform second-order sufficient condition, controllability condition, and boundedness condition. We conduct experiments with a quadrotor motion planning problem and a partial differential equations (PDE) control problem to validate our theory, and show that the approach is significantly more efficient than alternating direction method of multipliers and as efficient as the centralized interior-point solver.

42 ENGINEERING↗

DOE OSTI2021

Toward the predictive discovery of ambipolarly dopable ultra-wide-band-gap semiconductors: The case of rutile GeO 2

Ultrawide-band-gap (UWBG) semiconductors are promising for fast, compact, and energy-efficient power-electronics devices. Their wider band gaps result in higher breakdown electric fields that enable high-power switching with a lower energy loss. Yet, the leading UWBG semiconductors suffer from intrinsic materials' limitations with regard to their doping asymmetry that impedes their adoption in CMOS technology. Improvements in the ambipolar doping of UWBG materials will enable a wider range of applications in power electronics as well as deep-UV optoelectronics. These advances can be accomplished through theoretical insights on the limitations of current UWBG materials coupled with the computational prediction and experimental demonstration of alternative UWBG semiconductor materials with improved doping and transport properties. As an example, we discuss the case of rutile GeO2 (r-GeO 2 ), a water-insoluble GeO 2 polytype, which is theoretically predicted to combine an ultra-wide gap with ambipolar dopability, high carrier mobilities, and a higher thermal conductivity than β-Ga 2 O 3 . The subsequent realization of single-crystalline r-GeO 2 thin films by molecular beam epitaxy provides the opportunity to realize r-GeO 2 for electronic applications. Future efforts toward the predictive discovery and design of new UWBG semiconductors include advances in first-principles theory and high-performance computing software, as well as the demonstration of controlled doping in high-quality thin films with lower dislocation densities and optimized film properties.

36 MATERIALS SCIENCE↗

DOE OSTI2023

Convex Q-Learning in Continuous Time with Application to Dispatch of Distributed Energy Resources

Convex Q-learning is a recent approach to reinforcement learning, motivated by the possibility of a firmer theory for convergence, and the possibility of making use of greater a priori knowledge regarding policy or value function structure. This paper explores algorithm design in the continuous time domain, with a finite-horizon optimal control objective. The main contributions are (i) The new Q-ODE: a model-free characterization of the Hamilton-Jacobi-Bellman equation. (ii) A formulation of Convex Q-learning that avoids approximations appearing in prior work. The Bellman error used in the algorithm is defined by filtered measurements, which is necessary in the presence of measurement noise. (iii) Convex Q-learning with linear function approximation is a convex program. It is shown that the constraint region is bounded, subject to an exploration condition on the training input. (iv) The theory is illustrated in application to resource allocation for distributed energy resources, for which the theory is ideally suited.

Lu, Fan↗

DOE OSTI2021

Managing the techno-economic impacts of partial string failure in multistring energy storage systems

The role of energy storage systems (ESSs) is becoming increasingly important for today’s electric power systems. Unavailability of an ESS assigned to critical grid services may cause unwanted disruption of those services and hence, may have a significant techno-economic impact. Like any physical equipment, an ESS is vulnerable to various types of faults. Failure of one or more strings in a multistring ESS does not have to be the cause of shutting down the entire ESS. It can still operate with a partial number of strings and continue providing critical services to the grid, if there are no reliability or safety issues and is acceptable under applicable standards. However, it is important to make sure that the control strategies are adaptable to the changes in ESS capacity caused by failed strings. Also, depending on the previous operation and type of failure, the reallocation of duty cycle burden among available strings could be non-uniform. These complexities suggest that mitigation of the impact of partial failure in multistring ESSs is not trivial and needs careful consideration. This is the topic of this paper. The proposed work investigates the impact of partial failure of a large multistring ESS on the assigned service and develops strategies to adjust the ESS control duty cycles for reducing such impacts. In doing so, the paper proposes a novel two-stage framework that plans for the multistring failure using robust optimization theory and then adjusts in real-time using a rule-based algorithm, based on the real-time information on the power availability of the string. Illustrations provided in this work are based on frequency regulation use-case, which is a common application for many utility-scale ESSs. A 750 kilowatt (kW)/1500 kilowatt-hour (kWh) 3-string ESS is used for the demonstration in this work and the efficacy of the proposed method is demonstrated and compared against methods that do not incorporate string failure in their strategy. In particular, here we show that revenue loss of 93% can be incurred when partial string failure is not included in operation and planning. These losses in revenue are reduced by 60% with the proposed method.

25 ENERGY STORAGE↗

DOE OSTI2024

Polyhedral Relaxations for Optimal Pump Scheduling of Potable Water Distribution Networks

The classic pump scheduling or optimal water flow (OWF) problem for water distribution networks (WDNs) minimizes the cost of power consumption for a given WDN over a fixed time horizon. In its exact form, the OWF is a computationally challenging mixed-integer nonlinear program (MINLP). It is complicated by nonlinear equality constraints that model network physics, discrete variables that model operational controls, and intertemporal constraints that model changes to storage devices. To address the computational challenges of the OWF, this paper develops tight polyhedral relaxations of the original MINLP, derives novel valid inequalities (or cuts) using duality theory, and implements novel optimization-based bound tightening and cut generation procedures. The efficacy of each new method is rigorously evaluated by measuring empirical improvements in OWF primal and dual bounds over 45 literature instances. The evaluation suggests that our relaxation improvements, model strengthening techniques, and a thoughtfully selected polyhedral relaxation partitioning scheme can substantially improve OWF primal and dual bounds, especially when compared with similar relaxation-based techniques that do not leverage these new methods.

bound tightening↗

DOE OSTI2025

Benchmarking and Fidelity Response Theory of High-Fidelity Rydberg Entangling Gates

The fidelity of entangling operations is a key figure of merit in quantum information processing, especially in the context of quantum error correction. High-fidelity entangling gates in neutral atoms have seen remarkable advancement recently. A full understanding of error sources and their respective contributions to gate infidelity will enable the prediction of fundamental limits on quantum gates in neutral atom platforms with realistic experimental constraints. In this work, we implement the time-optimal Rydberg controlled-Z (CZ) gate, design a circuit to benchmark its fidelity, and achieve a fidelity, averaged over symmetric input states, of 0.9971 ( 5 ) , downward corrected for leakage error, which together with our recent work [Nature 634, 321–327 (2024)] forms a new state of the art for neutral atoms. The remaining infidelity is explained by an error model, consistent with our experimental results over a range of gate speeds, with varying contributions from different error sources. Further, we develop a fidelity response theory to efficiently predict infidelity from laser noise with nontrivial power spectral densities and derive scaling laws of infidelity with gate speed. Besides its capability of predicting gate fidelity, we also utilize the fidelity response theory to compare and optimize gate protocols, to learn laser frequency noise, and to study the noise response for quantum simulation tasks. Finally, we predict that a CZ gate fidelity of ≳ 0.999 is feasible with realistic experimental upgrades. Published by the American Physical Society 2025

Tsai, Richard Bing-Shiun (ORCID:0000000286758677)↗

DOE OSTI2021

Mitigating Phase Unbalance for Distribution Systems with High Penetrations of Solar PV (Final Technical Report)

Distribution system operators have traditionally limited unbalance among phases by maintaining similar loadings on each phase. High penetrations of distributed solar PV continually change the net loading on each phase, resulting in time-varying phase unbalances that can damage three-phase devices such as three-phase motors, violate grid codes, and increase technical losses. This project has developed several control strategies for the reactive power outputs of solar PV inverters in order to mitigate power quality issues related to phase unbalance. These control strategies include a decentralized approach that is solely based on local measurements, distributed and grouped approaches that consider subsets of loads and PV generators, and a centralized approach that leverages measurements from a variety of locations in order to compute optimal reactive power setpoints for each inverter. Variants of the controllers handle challenges relevant to practical implementations, including noisy measurements, delayed communications, and reactive power limits. Moreover, the project developed theory that provides convergence guarantees for systems with multiple interacting controllers as well as “balanceability” certificates that ensure satisfaction of phase unbalance requirements with variable loading. The controllers were integrated with NRECA’s Open Modeling Framework (omf.coop) and evaluated using actual distribution system models obtained from several NRECA member utilities. Application of the controllers results in significant improvements to phase unbalance in these test cases with decreases from base case levels of over 3% to under 0.5%, which is within the 2% IEC phase unbalance standard.

14 SOLAR ENERGY↗

DOE OSTI2022

Surrogate Hessian accelerated structural optimization for stochastic electronic structure theories

In this work, we present an efficient energy-based method for structural optimization with stochastic electronic structure theories, such as diffusion quantum Monte Carlo (DMC). This method is based on robust line-search energy minimization in reduced parameter space, exploiting approximate but accurate Hessian information from a surrogate theory, such as density functional theory. The surrogate theory is also used to characterize the potential energy surface, allowing for simple but reliable ways to maximize statistical efficiency while retaining controllable accuracy. We demonstrate the method by finding the minimum DMC energy structures of the selected flake-like aromatic molecules, such as benzene, coronene, and ovalene, represented by 2, 6, and 19 structural parameters, respectively. In each case, the energy minimum is found within two parallel line-search iterations. The method is near-optimal for a line-search technique and suitable for a broad range of applications. It is easily generalized to any electronic structure method where forces and stresses are still under active development and implementation, such as diffusion Monte Carlo, auxiliary-field Monte Carlo, and stochastic configuration interaction, as well as deterministic approaches such as the random-phase approximation. Accurate and efficient means of geometry optimization could shed light on a broad class of materials and molecules, showing high sensitivity of induced properties to structural variables.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2020

TensorFlow Quantum: A Software Framework for Quantum Machine Learning

We introduce TensorFlow Quantum (TFQ), an open source library for the rapid prototyping of hybrid quantum-classical models for classical or quantum data. This framework offers high-level abstractions for the design and training of both discriminative and generative quantum models under TensorFlow and supports high-performance quantum circuit simulators. We provide an overview of the software architecture and building blocks through several examples and review the theory of hybrid quantum-classical neural networks. We illustrate TFQ functionalities via several basic applications including supervised learning for quantum classification, quantum control, simulating noisy quantum circuits, and quantum approximate optimization. Moreover, we demonstrate how one can apply TFQ to tackle advanced quantum learning tasks including meta-learning, layerwise learning, Hamiltonian learning, sampling thermal states, variational quantum eigensolvers, classification of quantum phase transitions, generative adversarial networks, and reinforcement learning. We hope this framework provides the necessary tools for the quantum computing and machine learning research communities to explore models of both natural and artificial quantum systems, and ultimately discover new quantum algorithms which could potentially yield a quantum advantage.

Broughton, Michael↗

DOE OSTI2020

Computational modeling and neutron imaging to understand interface shape and solute segregation during the vertical gradient freeze growth of BaBrCl:Eu

In this work we apply continuum models to analyze phase change, heat transfer, fluid flow, solute transport, and segregation in order to understand prior neutron imaging observations of the vertical gradient freeze growth of Eu-doped BaBrCl. The models provide a rigorous framework in which to understand the mechanisms that are responsible for the complicated evolution of interface shape and dopant distribution in the growth experiment. We explain how a transition in the solid/liquid interface shape from concave to convex is driven by changes in radial heat transfer caused by furnace design. We also provide a mechanistic explanation of how dynamic growth conditions and changes of the flow structure in the melt result in complicated segregation patterns in this system. A growth pause caused by controller lock-up is shown to result in a band of solute depletion in accordance with classical theory. However, changing flow patterns during growth result in a non-monotonic axial distribution of solute that cannot be explained by simple application of classical segregation models. We assert that the approach presented here, namely the use of rigorous models in conjunction advanced diagnostics, such as neutron imaging, provides an exciting path forward for process optimization and control, accelerating the incremental advances that have, in the past, typically relied on empiricism, experience, and intuition.

36 MATERIALS SCIENCE↗

DOE OSTI2022

NSTX-U theory, modeling and analysis results

Here, the mission of the low aspect ratio spherical tokamak NSTX-U is to advance the physics basis and technical solutions required for optimizing the configuration of next-step steady-state tokamak fusion devices. NSTX-U will ultimately operate at up to 2 MA of plasma current and 1 T toroidal field on axis for 5 s, and has available up to 15 MW of neutral beam injection power at different tangency radii and 6 MW of high harmonic fast wave heating. With these capabilities NSTX-U will develop the physics understanding and control tools to ramp-up and sustain high performance fully non-inductive plasmas with large bootstrap fraction and enhanced confinement enabled via the low aspect ratio, high beta configuration. With its unique capabilities, NSTX-U research also supports ITER and other critical fusion development needs. Super-Alfvénic ions in beam-heated NSTX-U plasmas access energetic particle (EP) parameter space that is relevant for both α-heated conventional and low aspect ratio burning plasmas. NSTX-U can also generate very large target heat fluxes to test conventional and innovative plasma exhaust and plasma facing component solutions. This paper summarizes recent analysis, theory and modelling progress to advance the tokamak physics basis in the areas of macrostability and 3D fields, EP stability and fast ion transport, thermal transport and pedestal structure, boundary and plasma material interaction, RF heating, scenario optimization and real-time control.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2022

Microkinetic Modeling of the Transient CO 2 Methanation with DFT–Based Uncertainties in a Berty Reactor

The transient operation of methanation reactors can become desirable when coupled with fluctuating renewable energies in Power-to-Gas scenarios, which requires suitable kinetic approaches that can describe the transient catalytic phenomena. A combined experimental and theoretical investigation of the transient CO 2 methanation is conducted using concentration forcing to derive a suitable microkinetic model. Methanation experiments are performed with a Ni/SiO 2 catalyst in a Berty-type reactor at industrially relevant conditions. The microkinetics are based on previous work and were automatically constructed for the Ni(111) facet using the Reaction Mechanism Generator. A feasible set of energetic parameters of the microkinetic models was identified in a theory-constrained optimization procedure within the DFT uncertainty space that can accurately reproduce the experimental results on a first-principles basis. The microkinetic model unravels that the formation of H 2 O* and CH 3 * control the activity and selectivity of Ni(111) under the investigated conditions.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2025

Controlling Reaction Pathways of Ethylene Hydroformylation Using Isolated Bimetallic Rhodium–Cobalt Sites

Designing efficient ligand-free heterogeneous catalysts for ethylene hydroformylation to produce C 3 oxygenates is of importance for both fundamental research and practical applications, but it is often hindered by insufficient catalytic activity and selectivity. Here, this work designs isolated rhodium–cobalt (Rh–Co) sites confined within a ZSM-5 zeolite to enhance ethylene hydroformylation rates and selectivity while maintaining catalyst stability. By adjusting the Co/Al ratio in Co-ZSM-5, different sizes of Co are formed; subsequent Rh introduction produces isolated Rh 1 Co x clusters with different Rh–Co coordination numbers (CNs). In-situ characterizations and density functional theory calculations reveal that a Rh–Co CN of 3, corresponding to an isolated Rh 1 Co 3 site, provides optimal bindings to reaction intermediates and thus achieves the highest hydroformylation rates among supported Rh-based catalysts. This study demonstrates the role of coordination-tuning via a secondary metal in effectively controlling the reaction pathway over single Rh atom catalysts.

03 NATURAL GAS↗

DOE OSTI2022

Towards Digital and Performance-Based Supervisory HVAC Control Delivery

Upgrading supervisory HVAC control in commercial buildings is one of the most attractive decarbonization tools at our disposal. Modern controls are software programs and can in theory be deployed at scale and with a low up-front carbon "pulse". In practice, however, control delivery is a disjointed and inefficient process, dominated by manual handoffs of imprecise English language documents. A particularly high barrier exists between control implementation and building energy modeling (BEM) which results in control sequences typically not being tested for correctness or performance before implementation. Together with industry partners, DOE and the national labs are developing an ecosystem of tools and standards that can support fully digital performance-based control delivery workflows. This paper describes this ecosystem, which consists of three mutually supportive efforts. Semantic models of buildings and their systems enable automatic configuration and installation of control software. Platform-neutral control descriptions separate control algorithms from control platforms and enable the creation of libraries of reference control implementations. Dynamic whole-building energy-control simulation that can execute physically realistic control sequences makes it possible to test and evaluate the performance of control sequences and then directly compile them for installation and execution in control systems. In addition to digitizing and streamlining project-level control delivery, these standards and related software support benchmarking of control algorithms, both rule-based and optimization-based, and help to both advance the state of the art and to implement ratings and programs that encourage the adoption of high-performance control.

building controls↗

DOE OSTI2023

Exceptional enhancement of mechanical properties in high-entropy alloys via thermodynamically guided local chemical ordering

Understanding the local chemical ordering propensity in random solid solutions, and tailoring its strength, can guide the design and discovery of complex, paradigm-shifting multicomponent alloys. First, we present a simple thermodynamic framework, based solely on binary enthalpies of mixing, to select optimal alloying elements to control the nature and extent of chemical ordering in high-entropy alloys (HEAs). Next, we couple high-resolution electron microscopy, atom probe tomography, hybrid Monte-Carlo, special quasirandom structures, and density functional theory calculations to demonstrate how controlled additions of Al and Ti and subsequent annealing drive chemical ordering in nearly random equiatomic face-centered cubic CoFeNi solid solution. We establish that short-range ordered domains, the precursors of long-range ordered precipitates, inform mechanical properties. Specifically, a progressively increasing local order boosts the tensile yield strengths of the parent CoFeNi alloy by a factor of four while also substantially improving ductility, which breaks the so-called strength–ductility paradox. Finally, we validate the generality of our approach by predicting and demonstrating that controlled additions of Al, which has large negative enthalpies of mixing with the constituent elements of another nearly random body-centered cubic refractory NbTaTi HEA, also introduces chemical ordering and enhances mechanical properties.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2023

Wet to Dry Controls Lanthanide Scandate Synthesis

The choice of temperature and gas conditions used in a water pressure-controlled reactor is guided by density functional theory (DFT) to synthesize nearly phase pure lanthanide scandate nanoparticles (LnScO 3 , Ln = La, Nd, Sm, Gd). In this synthetic method, low water vapor partial pressures, well below water’s gas liquidus, inhibit particle growth, while an excess of water vapor results in undesired rare earth hydroxide and oxyhydroxide secondary phases. The optimal humidity for high-purity LnScO 3 particle synthesis is shown to vary with the lanthanide; DFT is used to calculate the thermodynamics of secondary phase formation for each lanthanide tested, such that the role of water vapor may be quantified and used to maintain phase purity (greater than 96 mol%) across the series. Furthermore, the combination of thermodynamic calculation and experimental confirmation with this pressure-controlled reactor provides an opportunity to explore analogous syntheses of other inorganic perovskite nanoparticles.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2022

Hierarchical Model-Free Transactional Control of Building Loads to Support Grid Services

A transition from generation on demand to consumption on demand is one of the solutions to overcome the many limitations associated with the higher penetration of renewable energy sources. Such a transition, however, requires a considerable amount of load flexibility in the demand side. Demand response (DR) programs can reveal and utilize this demand flexibility by enabling the participation of a large number of grid-interactive efficient buildings (GEB). Existing approaches on DR require significant modelling or training efforts, are computationally expensive, and do not guarantee the satisfaction of end users. To address the aforementioned limitations, this software code considers a scalable hierarchical model-free transactional control approach that incorporates elements of virtual battery, game theory, and model-free control (MFC) mechanisms. The developed approach separates the control mechanism into upper and lower levels. The MFC modulates the flexible GEB in the lower level with guaranteed thermal comfort of end users in response to the optimal pricing and power signals determined in the upper layer using a Stackelberg game integrated with aggregate virtual battery constraints. Additionally, the usage of MFC necessitates less burdensome computational and communication requirements, thus, it is easily deployable even on small, embedded devices. This software code enables the use of residential and small-size commercial buildings to offer a potentially substantial source of ancillary grid services that are currently underutilized. A hierarchical, model-free transactive building control provides a smooth interface between the grid service requests of utilities and the reliable control required by participating buildings. Model-free control, which supports distributed control architecture, will be a more scalable solution that can be deployed in neighborhood-size systems as well as individual buildings. The proposed approach contributes to the body of knowledge on two main aspects. First, it couples the MFC with the game-theoretic control and proposes a scalable model-free transactive control approach. MFC does not require any modeling effort or model training for the various building loads. This is very beneficial since deriving an accurate model for every single unit participating in DR programs and obtaining all the parameters about the units (e.g., thermal coefficients, standby losses) are infeasible. Also, MFC is computationally efficient, easily deployable even on small, embedded devices, and can be implemented in real time. Second, it integrates the concept of virtual battery into DR via the Stackelberg game. The concept of virtual battery enables efficient coordination and aggregation of a large number of flexible GEB with guaranteed thermal comfort of end users.

Olama, Mohammed [Oak Ridge National Lab. (ORNL), O↗

DOE OSTI2026

The emergent photophysics and photochemistry of molecular polaritons: a theoretical and computational investigation (Final Technical Report)

When molecules are placed between closely spaced mirrors, they interact strongly with the photons that are trapped between them, generating new quantum states which are no longer exclusively material nor photonic alone, but rather, coherent superpositions of both. These hybrid states are known as molecular polaritons, given that they arise from the strong interaction between the electric field of light and the electrical polarization of the molecules. Recently, experimental advances in nano‐ and microfabrication of molecular polariton architectures have successfully demonstrated their feasibility to control the rate and outcome of a certain class of chemical reactions in condensed phases. Importantly, these reactions proceed in strongly dissipative environments such as liquid solvents and lossy mirrors that allow for photons to escape from their confinement. The purpose of this research is to formulate quantum mechanical theories and computational tools that can elucidate the origin of these intriguing phenomena and simultaneously predict capabilities that this new generation of molecular materials affords. Attention is placed on harnessing polaritons to carry out photophysics and photochemistry that challenge currently existing paradigms, such as the optimization of energy conversion processes in organic solar cell or light‐emitting devices, or unconventional phenomena such as long‐range excitation energy transfer, remote control of chemical reactions, and a new quantum mechanical regime of chemical reactivity due to wavefunction overlaps amongst a large number of molecular polaritons (Bose condensation). This research explores a frontier of Chemistry and Physics where electrons, vibrations, and photons interact strongly with each other to generate emergent behavior that can be creatively exploited to address contemporary challenges in Basic Energy Sciences.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗