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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
DOE OSTI2022

Advances in the long-pulse steady-state high beta H-mode scenario with active controls of divertor heat and particle fluxes in EAST

Since the last IAEA-Fusion Energy Conference, the Experimental Advanced Superconducting Tokamak (EAST) research program has been, in support of ITER and CFETR, focused on development in terms of the long-pulse steady-state (fully noninductive) high beta H-mode scenario with active controls of the stationary and transient divertor heat and particle fluxes. The operational domain of the steady-state H-mode plasma scenario has been significantly extended with ITER-like tungsten mono-block divertor, plasma control and heating schemes. EAST has achieved several important milestones in the development of high β p H-mode scenario and its key physics and technologies. A 60 s-scale long-pulse steady-state high β p H-mode discharge with the major normalized plasma parameters similar to the designed performance of the CFETR 1GW fusion power operation scenario has been successfully established and sustained by pure RF heating and current drive. Several feedback control schemes have been developed for a sustained detachment with good core confinement. This includes control of the total radiation power, target electron temperature, and particle flux measured using divertor Langmuir probes or a combination of the control of target electron temperature and AXUV radiation near the X point. The detachment feedback control schemes have been integrated with small-ELM regimes and high β p scenario via neon seeding, enabling a core and edge compatible integrated high-beta scenario applicable to long-pulse operations. ELM suppression has been achieved using various methods, including resonant magnetic perturbations and impurity seeding. Full suppression of ELMs by using n=4 RMPs has been demonstrated for ITER for the first time in low input torque plasmas in EAST. Finally, EAST has been operated with helium to support the ITER research requirements for the first time. For a long-pulse, high bootstrap current fraction operation, a new lower tungsten divertor with active water-cooling has been installed, along with improvements in the heating and current drive capability.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2025

In situ multi-tier auto-ignition detection applied to dual-fuel combustion simulations

Here we use an anomaly detection methodology that is centered on analyzing fourth-order joint moments (co-kurtosis), particularly focusing on its application in auto-ignition of combustion problems with large numbers of species. Unsupervised anomaly detection is challenging to generalize across problem types and domains. A recent technique, centered on analyzing information in the fourth-order joint moment co-kurtosis, has shown promise, especially for high-dimensional scientific data. In this work we present developments to the co-kurtosis based anomaly detection method needed to make it effective and scalable for large-scale distributed scientific data, such as those generated by massively parallel simulations. An in situ co-kurtosis algorithm is employed as the anomaly detection method for identifying ignition kernels in simulations of turbulent combustion. Here, we extend an existing methodology which identifies regions of the domain where anomalies are present, and add another tier of anomaly detection where the individual samples contributing to the anomaly are identified. We apply this algorithm on-the-fly to a variety of turbulent reacting flow problems and compare it to the widely used (but significantly more expensive) chemical explosive mode analysis (CEMA). We demonstrate the ability of the method to detect and identify the onset of low and high temperature ignition which can be used for computational steering, as chemical and combustion anomalies occur intermittently at spatio-temporal locations unknown a priori. Finally, we apply our lightweight in situ algorithm to an exascale high-fidelity simulation with a total of 2.4 Trillion degrees of freedom, performed using an adaptive mesh refinement solver. Furthermore, through a scalability analysis, we show that the relative computational cost of this in-situ anomaly detection algorithm compared to an iteration of the reacting flow solver is negligible.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2025

Diagnostics: Chapter 8 of the special issue: on the path to tokamak burning plasma operation

This chapter presents the activity conducted by the ITPA topical group (TG) on Diagnostics over about the last 15 years. Following a general introduction of the ITER Diagnostics led by their measurement roles, the document is organized in several subchapters detailing the design support, research and development activity conducted by each of the specialist working groups (WGs) of the TG. Please note that the magnetic diagnostics were supported at the TG without a specific WG. Their status is included in the general introduction. In the following some highlights of the subchapter’s contents are provided. Recent advances in ITER first wall (FW) diagnostics for the measurements of plasma-metallic wall interaction in support of the ITER research plan are reported. An InfraRed imaging Video Bolometer for ITER has been developed and tested on several tokamaks to measure the radiated power loss. A laser-induced breakdown spectroscopy (LIBS) technique which utilizes a pulsed laser beam to ablate locally by forming a crater, will measure local tritium inventory in the FW material. Real-time Residual Gas Analyzers will measure the neutral gas composition in a divertor port and an equatorial port during plasma operation. Due to the full metallic FW environment, the plasma-wall interaction in ITER will face several challenges such as the compromised radiated power and divertor heat flux measurements by reflection. Ray tracing and analysis codes have been developed to eliminate and correct the effects of reflection in the measurements. The characteristics of the reflecting surfaces depending on the roughness and angle of the incidence have been measured by dedicated experiments, and the results were applied to the reflection elimination. For the measurement of the metallic impurity radiation induced by eroded metallic atoms, a vacuum ultraviolet spectrometer has been developed and tested. An extensive thermonuclear diagnostic suite will be required to support the operation of ITER and the planned experimental program for future burning plasma experiments. Due to the harsh environmental conditions, the implementation of diagnostic systems in ITER is a major challenge. These conditions include high levels of neutron and gamma fluxes, neutron heating, particle bombardment. Therefore, the selection and design of diagnostic systems must take into account a number of phenomena previously unseen in diagnostic design. For this reason, the measurement of neutrons and confined or lost fast ions, with particular emphasis on alpha particles, is critical to ITER. The diagnostics associated with these measurements will be important for future plasma-burning experiments at ITER. The high neutron emission and very large plasma size in ITER make neutron diagnostics the main diagnostic method used to measure plasma parameters such as fusion power, fusion power density, ion temperature, energy of fast ions and their spatial distributions in the plasma core. Active spectroscopy techniques are methods where a neutral particle beam is injected into the plasma and information on plasma parameters is extracted from the measurement of line emission resulting from the beam-plasma interaction, either by plasma ions or by beam atoms. Spatial localization is achieved by crossing the beamline and multiple observation lines. The ITER plasma will be a high temperature, moderately dense, fully ionized collisional plasma. The plasma facing surfaces are principally metallic being fashioned from beryllium or tungsten but many other elements, arising from either structural or from operational needs, may enter this plasma. The energy range of the emitted photons range from meV (infra-red) to multi keV (x-rays) and originate from all areas of the plasma volume. The primary role of passive emission diagnostics is to identify what is in the plasma from spectral signatures. Extracting quantitative information from these measurements such as impurity content, ion temperature, rotation, degree of detachment and radiated power depends on calibrated instruments, a physics model of the atomic and molecular processes and plasma transport and an analysis workflow that takes into account environmental effects such as reflections. The particular needs for ITER have prompted a multi-machine, many-year effort to address all these aspects and this chapter reviews the work on diagnostic design, experiments and new analysis techniques. An overview of the laser diagnostics to be implemented on ITER is also provided in this paper. This includes descriptions of the Thomson scattering in the core, edge and divertor regions, polarimetry and interferometry diagnostics used for measuring plasma density and also measurements of helium density in the divertor using Laser Induced Flourescence. Techniques which can allow improvements on current measurements are also addressed in particular expanding poloidal polarimetry measurements to measure field fluctuations and proposed use of dispersion interferometery which has a number of advantages over existing methods. This paper identifies particular areas where further research and testing on existing tokamaks is useful even at this advanced stage to inform the design of diagnostics for ITER. Outstanding areas of concern for the implementation of laser diagnostics, in particular with a view to reliable operation are identified. An overview of the latest developments of microwave diagnostic systems and techniques is given. The primary focus is the contributions for ITER—the next step burning plasma experiment—which is supplemented by describing recent progress of techniques applicable for fusion experiments beyond ITER. The contributions are intentionally kept concise, and are being supplemented by a rich list of references for further studies. Radiation induced effects are receiving continuous and well-deserved attention of the ITER diagnostic community and they are in many cases one of the primary design drivers of the ITER diagnostic systems. The paper summarizes recent progress in this area focusing primarily on the ITER diagnostics but in some cases provides also outlook for the possible solutions for even more demanding radiation environment of fusion reactors beyond ITER. Despite advancements in the area of modeling and simulation of various radiation induced effects, experimental testing in a nuclear environment as close as possible to the target one is still seen as unavoidable for proper qualification of particular diagnostic functional elements. Recent advancement within three diagnostic areas: optical diagnostics, magnetics and bolometers is covered. Encouraging results on qualification of silica glass vacuum window assemblies are presented. In the area of magnetic sensors, progress of irradiation tests performed on ITER in-vessel LTCC inductive sensors is presented with outlook for novel technological approaches to inductive sensors utilizing thick printing and photolithography technologies being highlighted. Summary of advancements in the area of steady state magnetic field sensors based on Hall effect is given. New results of neutron irradiation test of the ITER borosilicate glass inserts for vacuum electrical feedthroughs are summarized finding negligible swelling at target level of neutron fluence. Off-line irradiation tests of fiber optic current sensors for plasma current measurement demonstrated that both for gamma doses up to 5 MGy and a total neutron fluence up to 10 15 cm −2 , radiation induced changes are still compatible with required measurement accuracy on ITER. The ITER bolometers are given as an example how considering radiation effects may influence the diagnostic design. Finally, outlook for future main R&D directions is outlined. All optical and laser-based diagnostics in ITER will be using mirrors to guide plasma radiation toward detectors, cameras and sensors. In the hostile plasma, radiation and particle environment the optical characteristics of diagnostic mirrors will degrade directly affecting the entire performance of involved diagnostic systems. An assessment of factors affecting mirror performance is provided. Among the prime adverse factors are deposition of plasma impurities, sputtering of mirror surface and steam ingress in the vicinity of mirrors. Within the International Tokamak Physics Activity with active support by ITER central team and domestic agencies, the structured research and development (R&D) program on mitigation of risks for diagnostic mirrors is underway. Within this program the mirror material development, the passive mitigation of mirror degradation by using diagnostic ducts and shutters along with an active mirror recovery program comprising the in-situ mirror cleaning and calibration is underway. Recent developments in diagnostic mirror R&D are described in this Chapter along with an example of their implementation of R&D solutions in ITER Infrared Thermography diagnostic. An assessment of still open engineering and physics questions, considerations on mirror risks during an early phase of ITER operation are given along with an overview of diagnostic mirror evolution in the late ITER operation stage toward the demonstration fusion power plant. Several crucial areas of diagnostic R&D outlined in ITER Research Plan are addressed. The basic control groups in a fusion reactor can be broken-down in five categories: (1) plasma position, magnetic configuration, and plasma current control, (2) profile control and confinement optimization, (3) MHD control and suppression, (4) edge dissipation control, radiation and plasma exhaust control and (5) break-down optimization. These categories are coupled via the physics (a control action in one domain will affect the other domains) and via shared actuators (e.g. ECRH for impurity accumulation avoidance, current density distribution control and MHD suppression). Consequently, a supervisory control system should determine the priority of the various control tasks, their couplings, and the interfaces with the safety and interlock system. For the systematic development of the various controllers taking the complexity of the plasma and the control system into account, a model-based approach is required. A short historical overview is given of the developments in systems and control theory and control engineering with special emphasis on those developments that are most relevant for Nuclear Fusion research and operation. An overview is given of the state of the field of fusion plasma control for the control categories. It will be shown how synthetic diagnostics are being developed in ITER and how they are used in diagnostic design and design validation and how they can be in model-based controller synthesis using relatively simple models. In modern control methods, multiple diagnostics are used to constrain relatively simple models. The constrained models provide an estimate for the state. This opens the route to state controllers, such as model predictive control. A major challenge in nuclear fusion research is the coherent combination of data from heterogeneous diagnostics and modeling codes for machine control and safety as well as physics studies. Measured data from different diagnostics often provide information about the same subset of physical parameters. Additionally, information provided by some diagnostics might be needed for the analysis of other diagnostics. A joint analysis of complementary and redundant data allows, e.g. to improve the reliability of parameter estimation, to increase the spatial and temporal resolution of profiles, to obtain synergistic effects, to consider diagnostics interdependencies and to find and resolve data inconsistencies. Physics-based modeling and parameter relationships provide additional information improving the treatment of ill-posed inversion problems. A coherent combination of all kind of available information within a probabilistic framework allows for improved data analysis results. The concept of integrated data analysis (IDA) in the framework of Bayesian probability theory is outlined and contrasted with conventional data analysis. Components of the probabilistic approach are summarized and specific ingredients beneficial for data analysis at fusion devices are discussed.

ITER↗
DOE OSTI2024

Evaluation of methods for characterizing the fine particulate matter emissions from aircraft and other diffusion flame combustion aerosol sources

The U. S. Environmental Protection Agency in collaboration with the U. S. Air Force Arnold Engineering Development Complex conducted the VAriable Response In Aircraft nvPM Testing (VARIAnT) 3 and 4 test campaigns to compare nvPM emissions measurements from a variety of diffusion flame combustion aerosol sources (DFCASs), including a Cummins diesel engine, a diesel powered generator, two gas turbine start carts, a J85-GE-5 turbojet engine burning multiple fuels, and a Mini-CAST soot generator. The VARIAnT research program has conducted four test campaigns to date with the VARIAnT 3 and 4 test campaigns focusing on BC mass instrument performance, use of gas turbine engine sources for BC mass instrument calibration, and the characterization of the aerosols produced from the combustion sources. Results from both campaigns revealed agreement of about 20% between the AVL Micro-Soot Sensor, the Cavity Attenuated Phase Shift (CAPS PMSSA) monitor and the thermal-optical reference method for elemental carbon (EC), independent of the calibration source used. For the Artium LII-300, the measured mass concentrations in VARIAnT3 fall within 18% and in VARIAnT4 fall within 32% of the reference EC mass concentration when calibrated on a combustor rig in VARIAnT3 and on a LGT-60 start cart in VARIAnT4, respectively. It was also found that the three mass instrument types (MSS, CAPS PMSSA, and LII-300) can exhibit different BC to reference EC ratios depending on the emission source that appear to correlate to particle geometric mean mobility diameter, morphology, or some other parameter associated with particle geometric mean diameter (GMD) with the LII-300 showing a slightly stronger apparent trend with GMD. Systematic differences in LII-300 measured mass concentrations have been reduced by calibrating with a turbine combustion source (combustor or turbine engine). With respect to the particle size measurements made, the sizing instruments (TSI SMPS, TSI EEPS, and Cambustion DMS 500) were found to be in general agreement in terms of size distributions and concentrations with some exceptions. Teflon filter measurements of the total aerosol mass produced by the various DFCASs differed from the reference EC, BC, and integrated particle sized distribution measured aerosol masses. The Teflon filter measured mass was 30 to 40% greater than the reference EC and 50 to 60% greater than the BC mass for the J85 in both test campaigns. The measurements of particle size distributions and single particle analysis by miniSPLAT indicated the presence of large particles (>100 nm) having more compact morphologies, higher effective density, and a composition dominated by OC and ash. This increased large particle fraction is also associated with higher values of single scattering albedo measured by the CAPS PMSSA instrument and higher OC/EC measurements. These measurements indicate gas turbine engine emissions can be a more heterogeneous mix of particle types beyond the original E31 assumption that it is mainly composed of black carbon.

33 ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2024

End-Use Savings Shapes Measure Documentation: Thermostat Control for Load Shedding in Large Offices

This documentation focuses on a single End-Use Savings Shape measure - thermostat control for load shedding. The thermostat control for load shedding measure applies heating and cooling temperature setpoint offsets for reducing the heating and cooling load during peak window. The measure takes daily peak load schedule inputs generated by the method "Dispatch Schedule Generation" described in the "Supplemental Documentation: Dispatch Schedule Generation for Demand Flexibility Measures" to determine the start and end times of the peak window, and then adjusts the thermostat cooling and/or heating setpoints by an offset value from original schedules during the peak window to reduce the HVAC or whole building daily peak load. The measure is flexible and allows users to adjust the heating and cooling offset values respectively, but for this study, the adjustment for heating and cooling setpoints are set to -2 degrees Celsius and +2 degrees Celsius by default. The measure provides options of adding rebound control period (default 2 hours) after peak windows for the setpoints to be ramped back to default values, to prevent the system from generating higher peak demand with step changes of setpoints in post-peak periods . This measure is applicable t o large offices equipped with electric HVAC system (either electric cooling only or both electric heating and cooling), which account for approximately 8.72% of the ComStock floor area. The thermostat control for load shedding measure demonstrates 2-5% daily peak demand reduction and 0.068% total site energy savings (3 trillion British thermal units [TBtu]) for the U.S. commercial building stock modeled in ComStock.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

Valuing EV Managed Charging for Bulk Power Systems

When and where electric vehicle (EV) charging occurs has significant implications for power systems supporting widespread EV adoption, especially with high shares of wind and solar generation. This study extends previous works by leveraging detailed simulation models for EV adoption, EV use, EV charging, and bulk power system operations, and by linking them with methods for describing charging flexibility at both the individual vehicle and aggregate levels. This technical potential study focuses on how the value of EV managed charging (EVMC) changes depending on charging flexibility type (within-charging session or within-week scheduling), dispatch mechanism (direct load control or one of several price-based mechanisms), and managed charging participation rate. We show that naively aggregating EV charging flexibility from individual vehicles into megawatt-scale resources grossly overestimates the flexibility of the fleet, because such aggregate models can unrealistically pair, e.g., one already-fully-charged vehicle's ability to increase load with another already-charging vehicle's ability to accept more charge, effectively requesting a charging rate that is infeasible for the latter vehicle. We find per-vehicle bulk system value is highest at low participation rates for all dispatch mechanisms. Factoring in production cost savings, avoided firm capacity savings, and combustion-related power sector emissions savings, we estimate the value of EVMC at low participation rates (5%) to be $33/vehicle-year to $69/vehicle-yr for within-session charging flexibility and $40/vehicle-yr to $120/vehicle-yr for within-week charging flexibility in an envisioned 2038 New England power system and monetary value reported in 2016 U.S. dollars. At 100% participation, per-vehicle value declines to $25/vehicle-yr to $31/vehicle-yr for within-session charging flexibility and to $29/vehicle-yr to $36/vehicle-yr for within-week charging flexibility; however, 100% participation yields the highest total system savings.

ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2026

Meteorological and Soil Data from Ecohydrology Sensor Towers at Pump House and Snodgrass Mountain in East River Watershed, Colorado, 2019-2025

This data package includes hourly meteorological and soil sensor data at eight ecohydrology monitoring sites in East River Watershed, Colorado as part of the Watershed Function Scientific Focus Area (WFSFA) research led by Lawrence Berkeley National Lab (LBNL). Four field sites were located on the hillslope of East River (ER) near Pump House (PH) at Mount Crested Butte (ER-PHS1 to 4), and the other four are in the Snodgrass Mountain (SG) area (SG-EHS5 to 8). In terms of vegetation cover, three sites are in montane grasslands (ER-PHS1, ER-PHS2, and SG-EHS5), three are below evergreen conifer canopy (ER-PHS3, SG-EHS6, and SG-EHS7), and two are below deciduous aspen canopy (ER-PHS4 and SG-EHS8). The monitoring period began in October 2019 at the East River sites, in October 2020 at SG-EHS5 and SG-EHS6, and in October 2021 at SG-EHS7 and SG-EHS8. In September 2024, all four East River sites were fully retired. The four Snodgrass Mountain sites remain active. Each site is equipped with a comprehensive suite of meteorological sensors on a tripod and soil sensors that measure weather, energy fluxes, and soil variables. This data package includes measurements from ten different types of sensors and up to thirteen individual sensors per site, including (1) a weather station (measurement height ranges from 2.8~3.8 meters (m) above ground), (2) a quantum sensor for photosynthetic active radiation (PAR) (2.4~3.3m), (3) a net radiometer (1.7~2.1m), (4) an infrared radiometer (1.6~2.2m), (5) a sonic distance sensor (1.5~1.9m), (6) a soil carbon dioxide (CO2) flux chamber (0m), (7) a soil heat flux plate (-0.05m below ground), (8) a soil oxygen sensor (-0.3m), (9) a soil water potential sensor (-0.3m), and (10) soil water content sensors at 3~4 depths (-1.15 ~ -0.1m). A total of twenty-three variables is reported in this data package, including (1) atmospheric variables: air temperature (TA), atmospheric pressure (PA), vapor pressure (VP), and vapor pressure deficit (VPD), (2) precipitation variables: rain precipitation (P) and snow depth (D_SNOW), (3) energy fluxes variables: four-component net radiation (NETRAD) (shortwave/longwave incoming/outgoing radiation, SW_IN, SW_OUT, LW_IN, LW_OUT), photosynthetic photon flux density (PPFD), and soil heat flux (G), (4) soil variables: soil water content (SWC), soil water potential (SWP), soil temperature (TS), soil bulk electrical conductivity (COND_SOIL), and soil gaseous oxygen concentration (O2_SOIL), (5) wind variables: two-dimensional wind speed (WS), gust speed (WS_MAX), and wind direction (WD), and (6) surface variables: surface infrared temperature (T_CANOPY) and soil CO2 flux (CO2_SOIL). Please see the Methods section for data processing and QA/QC steps taken to generate the hourly datasets. The following files are included in this data package (notes on version: v{x}-{y}, where x is the metadata version, and y is the data version, when applicable): (1) “metadata_site_v{x}-{y}.csv” - a site metadata file that summarizes location information of all sites, including site ID, description, coordinates, timeframe, elevation, and vegetation cover, (2) “metadata_instrument_v{x}-{y}.csv” - an instrument metadata file that summarizes sensor information of all sites, including sensor manufacturer and model, measurement height, and sampling and averaging interval of all variables, (3) "data_{SITE_ID}_v{x}-{y}.csv" - eight data files that contain hourly data of each site indicated by {SITE_ID} in the filename, (4) “/figure/data_{SITE_ID}_v{x}-{y}.png" - eight figures that help visualize data of each site indicated by {SITE_ID} in the filename, (5) “/photo/*” - photos of each site indicated by {SITE_ID} in the filename, and (6) four file level metadata (flmd.csv) and data dictionary (*_dd.csv) files that summarize file, header, column, and variable information of all files. Notes: (1) Measurement height: Each variable name is followed by conventional positional qualifiers “H_V_R”, where H indicates the relative horizontal positions of that specific variable, V the vertical positions, and R the replicates. In this data package, only the vertical qualifier V varies, and V increases from the highest vertical position (V=1) to the lowest. Variables with the same qualifier are not necessarily measured by the same sensor, and the same variable with the same qualifier across different sites are not necessarily measured at the same height. Please refer to “metadata_instrument.csv” for the sensor information and measurement heights, and whether a variable is measured below the canopy. (2) Variable availability: Snow depth is not available at ER-PHS3 and SG-EHS7. SWC, soil temperature, and soil bulk EC at the deepest depth (<-1m) are not available at SG-EHS6 and SG-EHS7. The missing value code for numeric variables is -9999, except for SWP. For SWP, the missing value code is +9999, because SWP values are negative. (3) Sampling frequency: Please refer to “metadata_instrument.csv” for the increase of sampling frequency of some variables from 30-min to 1-min at ER-PHS1 to 4 in July 2020. (4) Sensors: While the methods of each sensor are not detailed, all sensors are commercially available, and their methods can be found in their manuals. Please refer to “metadata_instrument.csv” for the sensor manufacturer and model information. This work was supported by the Watershed Function Science Focus Area at Lawrence Berkeley National Laboratory funded by the US Department of Energy, Office of Science, Biological and Environmental Research under Contract No. DE-AC02-05CH11231.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

SCEC/USGS Community Stress-Drop Validation Study: How Spectral Fitting Approaches Influence Measured Source Parameters

Spectral source parameters used to estimate an earthquake’s stress drop (⁠Δσ⁠) can vary significantly across measurement approaches. The Statewide California Earthquake Center/U.S. Geological Survey Community Stress‐Drop Validation Study was initiated to compare source parameter estimates, focusing initially on a dataset from the 2019 Ridgecrest earthquake sequence. As part of that validation effort, here we focus on one potential source of uncertainty: whether spectral fitting approaches alone, applied to a common set of spectra from the 2019 Ridgecrest sequence result in different source parameter estimates. By using a common set of benchmark spectra analyzed across a consistent frequency band of 1–40 Hz, we eliminate many sources of variability. A subgroup of validation study participants volunteered to estimate the low‐frequency displacement (⁠Ω 0 ⁠) and corner frequency (⁠ƒ c ⁠) by fitting a smooth function to benchmark displacement spectra. Participants used linear‐ or log‐sampled spectra, assumed a Brune or Boatwright spectral model, and applied different misfit criteria. We compare 17 approaches used to estimate ⁠Ω 0 ⁠, ƒ c ⁠, and Δσ for 54 earthquake spectra. Our results reveal that 35% of events have Δσ estimates within a factor of two, whereas others exhibit variations exceeding an order of magnitude. The variability in and can largely be attributed to whether a spectrum is consistent with the smooth function of an idealized simple crack model. The trade‐off between Ω 0 and ƒ c may be more pronounced when using linearly sampled spectra, as higher frequency spectral bumps control the fits. As expected, methods that assumed a Boatwright model tended to have lower Ω 0 and somewhat higher ƒ c compared to those assuming a Brune model, although resulting Δσ estimates are similar. Finally, when compared to the overall validation study results, the fitting approach alone may account for between 5% and 90% (25% on average) of the total variability in spectral Δσ⁠.

58 GEOSCIENCES↗
DOE OSTI2023

Probabilistic Evaluation of Geomechanical Risks in CO2 Storage: An Exploration of Caprock Integrity Metrics Using a Multilaminate Model

The probabilistic uncertainty assessment of geomechanical risk—specifically, caprock failure—attributable to CO2 injection, as presented in a simplified hypothetical geological model, was the focus of this study. Our approach amalgamates the implementation of a multilaminate model, the creation of a response surface model in conjunction with the Box–Behnken sampling design, the execution of associated numerical modeling experiments, and the utilization of Monte Carlo simulations. Probability distributions to encapsulate the inherent variability (elastic and mechanical properties of the caprock and reservoir) and uncertainty in prediction estimates (vertical displacement, total strain, and F value) were employed. Our findings reveal that the Young modulus of the caprock is a key factor controlling equivalent total strain but is insufficient as a stand-alone indicator of caprock integrity. It is confirmed that the caprock can accommodate significant deformation without failure, if it possesses a low Young’s modulus and high mechanical strength properties, such as the friction angle and uniaxial compressive strength. Similarly, vertical displacement was found to be an unreliable indicator for caprock integrity, as caprock failure can occur across a broad spectrum of vertical displacements, particularly when both the Young modulus and mechanical strength properties have wide ranges. This study introduces the F value as the most dependable indicator for caprock failure, although it is a theoretical attribute (the shortest distance between the Mohr circle and the nearest failure envelope used to measure the sensitivity to failure) and not physically measurable in the field. Deviatoric stress levels were found to vary based on stress regimes, with the maximum levels observed under extensive and compressive stress regimes. In conjunction with the use of the response surface method, this study demonstrates the efficacy of the multilaminate framework and the Mohr–Coulomb constitutive model in providing a simplified, yet effective, probabilistic model of the mechanical behavior of caprock failure, reducing mathematical and computational complexities.

Energy & Fuels↗
DOE OSTI2022

Accelerating Multiscale Materials Modeling with Machine Learning

The focus of this project is to accelerate and transform the workflow of multiscale materials modeling by developing an integrated toolchain seamlessly combining DFT, SNAP, LAMMPS, (shown in Figure 1-1) and a machine-learning (ML) model that will more efficiently extract information from a smaller set of first-principles calculations. Our ML model enables us to accelerate first-principles data generation by interpolating existing high fidelity data, and extend the simulation scale by extrapolating high fidelity data (10 2 atoms) to the mesoscale (10 4 atoms). It encodes the underlying physics of atomic interactions on the microscopic scale by adapting a variety of ML techniques such as deep neural networks (DNNs), and graph neural networks (GNNs). We developed a new surrogate model for density functional theory using deep neural networks. The developed ML surrogate is demonstrated in a workflow to generate accurate band energies, total energies, and density of the 298K and 933K Aluminum systems. Furthermore, the models can be used to predict the quantities of interest for systems with more number of atoms than the training data set. We have demonstrated that the ML model can be used to compute the quantities of interest for systems with 100,000 Al atoms. When compared with 2000 Al system the new surrogate model is as accurate as DFT, but three orders of magnitude faster. We also explored optimal experimental design techniques to choose the training data and novel Graph Neural Networks to train on smaller data sets. These are promising methods that need to be explored in the future.

36 MATERIALS SCIENCE↗
DOE OSTI2022

Total metals, sulfur and organic carbon data; Slate River floodplain, Crested Butte, CO; March 2021-October 2021

This data package includes processed and undiluted measurements for metal, sulfur and organic carbon concentrations from pore water (groundwater) samples from the Slate River floodplain of Crested Butte, CO, a focus field site for the SLAC Floodplain Hydro-Biogeochemistry SFA. The data was generated as part of the work targeting the overarching research question for the SLAC SFA: How do ubiquitous subsurface interfaces mediate molecular-scale biogeochemical processes and groundwater quality in floodplains and watersheds? Samples were collected between March and October of 2021. These measurements were all recorded at the Environmental Measurements Facility (EM-1) at Stanford University in Stanford, CA. Groundwater samples were extracted from a network of installed rhizon (Rhizosphere Research Products, part no. 19.60.21F, 0.6 micrometer mesh size) and piezometer wells within the river floodplain. All water samples were shaded from sun exposure during extraction from the subsurface and preserved at 2C until measured at EM-1.Analysis by ICP-MS:Measurements for total metals were performed on an inductively coupled plasma optical emission spectrometer (ICP-OES; iCAP 6300, Thermo Scientific, Cambridge, U.K.). Calibration standards were prepared from the mulit element stock solution (Sigma-Aldrich Multielement standard for ICP, St. Louis, MO) using matrix matched to sample solutions (2% HNO3). Calibration curves included 5 points with correlation coefficients of >0.99. The QC protocol includes a continuing calibration blank and quality control samples that are analyzed just after calibration and again every 20 samples and at the completion of the run. Acceptable QC responses must be between 90-110% of the certified value. Analysis by Total Organic Carbon:Dissolved organic carbon concentrations were quantified on a total organic carbon (TOC) analyzer (TOC-L, Shimadzu, Kyoto, Japan) running the NPOC method. Standard curves were developed using an Organic Carbon Standard from RICCA Chemical Company (Arlington,TX). A series of 4 to 6 standards were automatically diluted by the instrument in a concentration range that spans that of the samples. A blank sample was run just after the calibration curve and at the end of the run. A QC sample was run every 25 samples. Acceptable QC responses must be between 90-110% of the certified value.All files are in csv format.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Proton and neutron density distributions at supranormal density in low- and medium-energy heavy-ion collisions. II. Central Pb + Pb collisions

This paper represents a continuation of our investigation into the limitations on total, proton, and neutron particle number densities, as well as the asymmetry of proton and neutron density distributions achievable in central heavy-ion collisions. We explore these aspects at low and medium energies within the framework of the Boltzmann-Uhlenbeck-Uehling (pBUU) transport and time-dependent Hartree-Fock (TDHF) models. Previous studies, focusing on symmetric and asymmetric collisions of Ca and Sn nuclei [1], and initial results on Pb-nuclei collisions [2], emphasized the role of the Coulomb interaction in these events. Our findings indicated that: (i) the highest total densities predicted at 𝐸 beam = 800 MeV/nucleon were on the order of ≈ 2.5⁢𝜌 0 (𝜌 0 = 0.16 fm −3 ), (ii) the proton-neutron asymmetry for maximal densities, 𝛿=(𝜌$^{max}_{n}$− 𝜌$^{max}_{p}$)/(𝜌$^{max}_{n}$+𝜌$^{max}_{p}$), did not generally exceed the asymmetry in the initial state of the collision at all beam energies and tended to decrease during the reaction, and (iii) a significant portion of this asymmetry had its microscopic origin in Coulomb forces, masking the pure nuclear contribution. These new findings, particularly relevant in the astrophysical context, are further examined in this work, focusing on the heaviest target-projectile combination 212,208 Pb accessible in an experiment. We introduce the SkT3 Skyrme force model, not previously used for the Pb system, and compare it to the SV-bas and SV-sym34 models to explore the symmetry-energy dependence of the results. Contour plots of nucleonic densities are presented, contrasting the time evolution of the density distributions in low (TDHF) and high (pBUU) models. We also present the evolution of normalized maximal proton, neutron, and total nucleon number density with increasing beam energy in the full pBUU model and the Vlasov approximation, aiming to explore the impact of correlations in the reaction. The time evolution of the proton and neutron density distributions in the plane transverse to the beam direction is illustrated at both low and high beam energy. In conclusion, our detailed examination of the Pb system in this work provides further essential evidence that the aforementioned findings (i)–(iii) are only weakly dependent on system size and a symmetry-energy model, and thus, they are of more general importance.

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗
DOE OSTI2023

The evolution of HCO + in molecular clouds using a novel chemical post-processing algorithm

Modelling the chemistry of molecular clouds is critical to accurately simulating their evolution. To reduce computational cost, 3D simulations generally restrict their chemistry to species with strong heating and cooling effects. Time-dependent information about the evolution of other species is therefore often neglected. We address this gap by post-processing tracer particles in the SILCC-Zoom molecular cloud simulations. Using a chemical network of 39 species and 301 reactions (including freeze-out of CO and H 2 O) and a novel algorithm to reconstruct a density grid from sparse tracer particle data, we produce time-dependent density distributions for various species. We focus upon the evolution of HCO + , which is a critical formation reactant of CO but is not typically modelled on the fly. We find that ∼ 90 per cent of the HCO + content of the cold molecular gas forms in situ around n HCO + ∼ 10 3 –10 4 cm −3 , over a time-scale of approximately 1 Myr. The remaining ∼ 10 per cent forms at high extinction sites, with minimal turbulent mixing out into the less dense gas. We further show that the dominant HCO + formation pathway is dependent on the visual extinction, with the reaction H 3 + + CO contributing 90 per cent of the total HCO + production above A V, 3D = 3. We produce the very first maps of the HCO + column density, N(HCO + ), and show that it reaches values as high as 10 15 cm −2 . We find that 50 per cent of the HCO + mass is located within AV ∼ 10–30 in a density range of 10 3.5 –10 4.5 cm −3 . Our maps of N(HCO + ) are shown to be in good agreement with recent observations of the W49A star-forming region.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2022

Pathway to Zero Energy Windows: Advancing Technologies and Market Adoption

As of 2021, buildings account for 39.1% of total U.S. primary energy use and 75% of total U.S. electricity use. Much of this energy is used to maintain a comfortable indoor environment. The building envelope consists of transparent and opaque elements that serve as a controllable barrier to help maintain the indoor environment regardless of external conditions. The envelope also allows the exchange of light and air, as well as other transfers with the external environment when it is beneficial for the building occupants. By leveraging desirable external environmental conditions (e.g., fresh air and natural light) and mitigating the influence of undesirable conditions (e.g., moisture, hot or cold temperatures, wind), the building envelope can reduce the need for space conditioning and electric light, and thus reduce energy use associated with lighting and heating, cooling, and ventilation equipment. In turn, high-performance building envelopes can reduce the substantial CO 2 emissions associated with energy use to satisfy heating, cooling, and lighting needs in buildings. The U.S. Department of Energy (DOE) Building Technologies Office's (BTO's) Emerging Technologies program supports R&D for technologies, systems, and software tools that can contribute to reductions in building energy use. Emerging Technologies funding is distributed competitively through solicitations (e.g., Funding Opportunity Announcements and National Lab Calls, which in general are open to applications from industry, academia, national laboratories, and other entities) and other mechanisms. This document focuses on R&D for windows and window system technologies and will provide guidance for BTO's investments in developing the next generation of high-performance, affordable, cost competitive windows, as well as integrated daylighting and shading technologies in partnership with industry and researchers. This document also addresses areas where DOE invests in software and design tools that translate sophisticated and complex physics into easy-to-use energy performance and optimization methods used by industry and other stakeholders for implementation.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2023

Energy Frontier Research Centers: Center for the Computational Design of Functional Layered Materials (CCDM) August 1, 2014 - July 31, 2018; Center for Complex Materials from First Principles (CCM) August 1, 2018 - July 31, 2021 (Final Report)

The mission of the DOE Energy Frontier Research Centers CCDM (2014-2018) and CCM (2018-2021) was to theoretically develop, computationally apply, and experimentally validate electronic structure methods for all materials, with a focus on the complex materials, especially layered and two-dimensional materials, strongly-correlated materials, and liquid water. This was achieved by over 200 published journal articles authored by about 17 senior investigators from physics and chemistry and from theory, computation, and experiment, plus their collaborators. In particular, the Centers confirmed the predictive power of the SCAN (strongly constrained and appropriately normed) density functional, which was constructed to satisfy 17 known exact constraints and several appropriate norms. Without being fitted to real bonded systems, and at a modest computational cost, SCAN correctly predicted covalent, ionic, metallic, hydrogen, and van der Waals bonds in many challenging materials. SCAN gave an improved description of defects in semiconductors, surface properties of metals, seven phases of ice, liquid water, liquid and supercooled silicon, subtle structural distortions in ferroelectrics, formation energies and structural predictions for solids, and critical pressures for structural phase transitions. Perhaps most remarkably, SCAN correctly described some strongly-correlated materials that were previously believed to be beyond the reach of density-functional approximations. SCAN is the only density functional that correctly predicts the band gap closing under chemical doping of the cuprate high-temperature superconducting materials. SCAN also predicts a landscape of competing stripe and magnetic phases in the cuprates. For some materials with some codes, SCAN has convergence problems that are greatly reduced by the CCM-developed r 2 SCAN, without loss of accuracy or rigor. SCAN and r 2 SCAN still make some self-interaction error, which is greatly reduced by the CCDM/ CCM-developed local orbital scaling correction (LOSC). These Centers further proved that the fundamental energy gaps of a solid from an orbital energy difference and from total energy differences are the same for a large class of generalized Kohn-Sham (GKS) functionals, including SCAN and standard hybrid functionals, and that symmetry breaking arises when a dynamic density fluctuation drops to zero frequency. The Centers identified new mechanisms for catalysis in layered materials with ions intercalated between the layers, investigated charge density waves both in model systems and in real layered materials, studied changes of band gap with the number of layers, and explored topological ultrathin films, bent nanoribbons, and defects.

08 HYDROGEN↗
DOE OSTI2023

WHONDRS River Corridor Sediment and Water Geochemistry and In Situ Sensor Data from Machine-Learning-Informed Sites across the Contiguous United States (v6)

This dataset supports a broader study examining hyporheic zone respiration rates to improve predictive models at a contiguous United States (CONUS) scale. The CONUS-Scale Model-Sample Study (CM) was designed following ICON (integrated, coordinated, open, and networked) principles to facilitate a model-experiment (ModEx) iteration approach, leveraging crowdsourced sampling across the CONUS. New machine learning models were created every month to guide sampling locations. Data from the resulting samples were used to test and rebuild the machine learning models for the next round of sampling guidance. Sampling began in April 2022 and ended in October 2023. In addition to the widely distributed CONUS sites, a more spatially focused sampling occurred in the Yakima River Basin, WA in summer 2022. Data from this more spatially intensive sampling occurred under the label “Second Spatial Study (SSS)” and were also included in the machine learning models. Other data types collected from SSS that were not part of CM were published in a separate data package (https://data.ess-dive.lbl.gov/view/doi:10.15485/1969566). This data package was originally published in February 2023. It was updated in June 2023 (v2; new and modified files); December 2023 (v3; new and modified files); June 2024 (v4; new and modified files); April 2024 (v5; new and modified files); and September 2025 (v6; modified files). See the change history section in the readme for more details. For details on how to navigate data packages generated by this project, see https://data.ess-dive.lbl.gov/portals/PNNLRiverCorridorSFA/About. This dataset is comprised of two folders of field photos and videos, one folder of raw Fourier transform ion cyclotron resonance mass spectrometry (FTICR-MS) data and one main data folder containing (1) file-level metadata; (2) data dictionary; (3) field metadata; (4) readme; (5) international generic sample number (IGSN) mapping file; (6) field protocols; (7) a subfolder with sample data; and (8) a subfolder with sensor data. The sample data subfolder contains (1) surface water and sediment dissolved organic carbon (DOC, measured as non-purgeable organic carbon, NPOC) data and averages; (2) surface water and sediment total nitrogen data and averages; (3) surface water major cations and anions and averages; (4) sediment grain size data; (5) sediment iron (II) data and averages; (6) wet sediment mass, dry sediment mass, water mass, and wet sediment volume in incubation and sediment ICR vials; (7) sediment incubation respiration rate data and averages; (8) normalized respiration rate data and averages; (9) methods codes; (10) sediment specific surface area; (11) sediment percent carbon and nitrogen; (12) sediment gravimetric moisture and averages; (15) sediment X-ray diffraction (XRD) data; (16) sediment adenosine triphosphate (ATP) and averages; (17) a subfolder with sediment incubation respiration data, scripts, and plots; (18) surface water and sediment FTICR methods; and (19) a subfolder of 9.4 Tesla (9.4T) FTICR-MS data. This folder contains five subfolders, one containing the sediment .xml data files, one containing the water .xml files, one containing the sediment CoreMS output files, one containing the water CoreMS output files, and the other containing instructions and scripts for processing the files in CoreMS (https://github.com/EMSL-Computing/CoreMS).The sensor data subfolder contains (1) a subfolder with miniDOT dissolved oxygen and temperature data and plots; (2) miniDOT dissolved oxygen and temperature summary data; and (3) miniDOT installation methods. All files are .csv, .pdf, .R, .xml, .d, .html, .Rmd, .py, .cal, .json, .jpg, .jpeg, .png, .mov, or .mp4. CORRECTION: Carbon and nitrogen content are reported as percentages. The current column headers "01395_C_percent_per_mg" and "01397_N_percent_per_mg" are incorrect. These should read "01395_C_percent" and "01397_N_percent" and will be corrected in the next version of this data package. We thank the United States Forest Service, Washington Department of Fish and Wildlife, Washington Department of Natural Resources, Cowiche Canyon Conservatory, Washington State Parks and Recreation Commission (Scientific Research Permit #210901), and the Confederated Tribes and Bands of the Yakama Nation for access to field locations where the samples labeled “SSS” were collected. We also thank the Yakama Nation Tribal Council and Yakama Nation Fisheries for working with us to facilitate sample collection and optimization of data usage according to their values and worldview. WHONDRS consortium members were asked to provide any acknowledgments for the collection of samples labeled “CM” and the following is a list of acknowledgments that were submitted with their corresponding Site IDs: (MART) Research activities were conducted in part on the Wind River Experimental Forest within the Gifford Pinchot National Forest; (MP- 100379) Philadelphia is part of Lenapehoking, the ancestral homelands of the Lenape peoples; (MP-102398) Land surveyed is the ancestral homelands of the Nookhose'iinenno (Arapaho), Tsis tsis'tas (Cheyenne), and Nuuchu (Ute); (MP-100749 and MP- 100747) Georgia Coastal Ecosystem LTER, OCE-1832178; (SP-70 and SP-72) Eastern Shoshone, Shoshone-Bannock; (MP- 102944) Funded by Oregon Watershed Enhancement Board. On the traditional lands of the Confederated Tribes of the Siletz, Confederated Tribes of the Grand Rhonde, and the Clatsop-Nehalem Confederated Tribe; (MP- 100607) Holiday Creek is located on the traditional territory of the Monacan Indian Nation; (SP-45) Lafayette Blue Springs State Park; (MP-102420) NSF DEB-2016749; (MP-100019) New Hampshire Agriculture Experiment Station; (SP-35) Rayonier (land owner; https://www.rayonier.com/); (MP- 101276) US Department of Energy, Office of Science, Biological and Environmental Research, Subsurface Biogeochemical Research, Watershed Dynamics and Evolution SFA at ORNL; (MP- 103224) Watershed Dynamics and Evolution SFA at ORNL; (MP- 101584) Traditional lands of the Oceti Sakowin (Dakota, Lakota, Nakoda) and Anishinaabe Peoples.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Differential Organic Carbon Mineralization Responses to Soil Moisture in Three Different Soil Orders Under Mixed Forested System: Supporting Data

This data contains data from 90-day long incubation study which aimed to look at the soil moisture-texture relationship on soil organic carbon (SOC) cycling. Soils were collected from three distinct soil textures from mixed forests in 2017: sandy (Georgia, 2017-05-01), loamy (Missouri, 2017-06-14) and clayey (Texas, December 2017) were incubated at different soil moisture levels (air-dried, 25% water holding capacity (WHC), 50% WHC, 100% WHC and 175% WHC) at room temperature for a period of 90 days. Files contain microbial respiration, active and slow SOC pools, and their respective mineralization rates, extractable organic carbon (C), and C-acquiring extracellular enzymes. Findings from these data were used in Singh et al. (2021). This study aimed to examine the interactive effect of soil moisture and texture on SOC mineralization. Soil samples of three distinct textures (sandy, loamy, and clayey) were collected from mixed forests of Georgia, Missouri, and Texas, respectively. Soil cores of 5 cm diameter were collected from numerous random locations at each site from 0-15 cm depth after scraping the litter layer and mixed thoroughly to obtain a composite sample per site. Three additional soil cores were collected to determine the WHC using pressure plate extractors. Soil samples were composited, and triplicate soil samples were incubated in mason jars for a period of 90 days at room temperature under different moisture regimes: air dried, 25% WHC, 50% WHC, at WHC and 100% saturation. Soil respiration was measured weekly, and destructive sampling was conducted at 1, 15, 60, and 90 days to determine extractable organic C, C acquiring enzyme activity, and active and slow SOC pools with their respective mineralization rates. The C acquiring enzyme activity was the total activity of α-glucosidase, β-glucosidase, cellobiohydrolase, and β-xylosidase enzymes. Gas samples for microbial respiration measurements were collected from headspace of incubation jars through the sampling ports on the lids and then analyzed using a Shimadzu Gas Chromatograph (GC-2014). Prior to sampling, the vials were evacuated. Blank correction was also done by collecting gas samples from empty incubation jars. Double pool exponential decay model was used in SigmaPlot to determine the active and slow SOC pools and their mineralization rates (Farrar et al., 2012; Jagadamma et al., 2014). The C-acquiring extracellular enzymes were measured using the microplate method by German et al., (2011). Microbial community structure was determined using the phospholipid fatty acid (PLFA) and neutral lipid fatty acid (NLFA) analyses (Buyer and Sasser, 2012). This dataset has seven data files provided in comma-separate (*.csv) format. Additional metadata are provided: seven data dictionaries and a file-level metadata file in comma separate (*.csv) format and a user guide in PDF (*.pdf) format.

Carbon acquiring enzyme activity↗
DOE OSTI2024

HarDWR - Harmonized Water Rights Records

A dataset within the Harmonized Database of Western U.S. Water Rights (HarDWR). For a detailed description of the database, please see the meta-record v2.0. Changelog v2.0 - Recalculated based on data sourced from WestDAAT - Changed using a Site ID column to identify unique records to using aa combination of Site ID and Allocation ID - Removed the Water Management Area (WMA) column from the harmonized records. The replacement is a separate file which stores the relationship between allocations and WMAs. This allows for allocations to contribute to water right amounts to multiple WMAs during the subsequent cumulative process. - Added a column describing a water rights legal status - Added "Unspecified" was a water source category - Added an acre-foot (AF) column - Added a column for the classification of the right's owner v1.02 - Added a .RData file to the dataset as a convenience for anyone exploring our code. This is an internal file, and the one referenced in analysis scripts as the data objects are already in R data objects. v1.01 - Updated the names of each file with an ID number less than 3 digits to include leading 0s v1.0 - Initial public release Description Here we present an updated database of Western U.S. water right records. This database provides consistent unique identifiers for each water right record, and a consistent categorization scheme that puts each water right record into one of seven broad use categories. These data were instrumental in conducting a study of the multi-sector dynamics of inter-sectoral water allocation changes though water markets (Grogan et al., *in review*). Specifically, the data were formatted for use as input to a process-based hydrologic model, Water Balance Model (WBM), with a water rights module (Grogan et al., *in review*). While this specific study motivated the development of the database presented here, water management in the U.S. West is a rich area of study (e.g., Anderson and Woosly, 2005; Tidwell, 2014; Null and Prudencio, 2016; Carney et al., 2021) so releasing this database publicly with documentation and usage notes will enable other researchers to do further work on water management in the U.S. West. We produced the water rights database presented here in four main steps: (1) data collection, (2) data quality control, (3) data harmonization, and (4) generation of cumulative water rights curves. Each of steps (1)-(3) had to be completed in order to produce (4), the final product that was used in the modeling exercise in Grogan et al. (*in review*). All data in each step is associated with a spatial unit called a Water Management Area (WMA), which is the unit of water right administration utilized by the state in which the right came from. Steps (2) and (3) required use to make assumptions and interpretation, and to remove records from the raw data collection. We describe each of these assumptions and interpretations below so that other researchers can choose to implement alternative assumptions an interpretation as fits their research aims. Motivation for Changing Data Sources The most significant change has been a switch from collecting the raw water rights directly from each state to using the water rights records presented in WestDAAT, a product of the Water Data Exchange (WaDE) Program under the Western States Water Council (WSWC). One of the main reasons for this is that each state of interest is a member of the WSWC, meaning that WaDE is partially funded by these states, as well as many universities. As WestDAAT is also a database with consistent categorization, it has allowed us to spend less time on data collection and quality control and more time on answering research questions. This has included records from water right sources we had previously not known about when creating v1.0 of this database. The only major downside to utilizing the WestDAAT records as our raw data is that further updates are tied to when WestDAAT is updated, as some states update their public water right records daily. However, as our focus is on cumulative water amounts at the regional scale, it is unlikely most records updates would have a significant effect on our results. The structure of WestDAAT led to several important changes to how HarWR is formatted. The most significant change is that WaDE has calculated a field known as `SiteUUID`, which is a unique identifier for the Point of Diversion (POD), or where the water is drawn from. This separate from `AllocationNativeID`, which is the identifier for the allocation of water, or the amount of water associated with the water right. It should be noted that it is possible for a single site to have multiple allocations associated with it and for an allocation to be able to be extracted from multiple sites. The site-allocation structure has allowed us to adapt a more consistent, and hopefully more realistic, approach in organizing the water right records than we had with HarDWR v1.0. This was incredibly helpful as the raw data from many states had multiple water uses within a single field within a single row of their raw data, and it was not always clear if the first water use was the most important, or simply first alphabetically. WestDAAT has already addressed this data quality issue. Furthermore, with v1.0, when there were multiple records with the same water right ID, we selected the largest volume or flow amount and disregarded the rest. As WestDAAT was already a common structure for disparate data formats, we were better able to identify sites with multiple allocations and, perhaps more importantly, allocations with multiple sites. This is particularly helpful when an allocation has sites which cross WMA boundaries, instead of just assigning the full water amount to a single WMA we are now able to divide the amount of water between the number of relevant WMAs. As it is now possible to identify allocations with water used in multiple WMAs, it is no longer practical to store this information within a single column. Instead the stAllocationToWMATab.csv file was created, which is an allocation by WMA matrix containing the percent Place of Use area overlap with each WMA. We then use this percentage to divide the allocation's flow amount between the given WMAs during the cumulation process to hopefully provide more realistic totals of water use in each area. However, not every state provides areas of water use, so like HarDWR v1.0, a hierarchical decision tree was used to assign each allocation to a WMA. First, if a WMA could be identified based on the allocation ID, then that WMA was used; typically, when available, this applied to the entire state and no further steps were needed. Second was the spatial analysis of Place of Use to WMAs. Third was a spatial analysis of the POD locations to WMAs, with the assumption that allocation's POD is within the WMA it should belong to; if an allocation still had multiple WMAs based on its POD locations, then the allocation's flow amount would be divided equally between all WMAs. The fourth, and final, process was to include water allocations which spatially fell outside of the state WMA boundaries. This could be due to several reasons, such as coordinate errors / imprecision in the POD location, imprecision in the WMA boundaries, or rights attached with features, such as a reservoir, which crosses state boundaries. To include these records, we decided for any POD which was within one kilometer of the state's edge would be assigned to the nearest WMA. Other Changes WestDAAT has Allowed In addition to a more nuanced and consistent method of assigning water right's data to WMAs, there are other benefits gained from using the WestDAAT dataset. Among those is a consistent categorization of a water right's legal status. In HarDWR v1.0, legal status was effectively ignored, which led to many valid concerns about the quality of the database related to the amounts of water the rights allowed to be claimed. The main issue was that rights with legal status' such as "application withdrawn", "non-active", or "cancelled" were included within HarDWR v1.0. These, and other water rights status' which were deemed to not be in use have been removed from this version of the database. Another major change has been the addition of the "unspecified water source category. This is water that can come from either surface water or groundwater, or the source of which is unknown. The addition of this source category brings the total number of categories to three. Due to reviewer feedback, we decided to add the acre-foot (AF) column so that the data may be more applicable to a wider audience. We added the ownerClassification column so that the data may be more applicable to a wider audience. File Descriptions The dataset is a series of various files organized by state sub-directories. In addition, each file begins with the state's name, in case the file is separate from its sub-directory for some reason. After the state name is the text which describes the contents of the file. Here is each file described in detail. Note that st is a placeholder for the state's name. stFullRecords_HarmonizedRights.csv: A file of the complete water records for each state. The column headers for each of this type of file are: state - The name of the state to which the allocations belong to. FIPS - The two digit numeric state ID code. siteID - The site location ID for POD locations. A site may have multiple allocations, which are the actual amount of water which can be drawn. In a simplified hypothetical, a farm stead may have an allocation for "irrigation" and an allocation for "domestic" water use, but the water is drawn from the same pumping equipment. It should be noted that many of the site ID appear to have been added by WaDE, and therefore may not be recognized by a given state's water rights database. allocationID - The allocation ID for the water right. For most states this is the water right ID, and what is recommended to use should a right be looked up on a given state's water rights database. The water amounts associated with these IDs tend to be finer scaled than those associated with siteID. It should be noted that some allocations may be extracted from multiple sites, particularly for larger Places of Use. ownerClassification - A classification of the types of owners for water rights. The most common is `Private` which incorporates a wide range of entities. Several classifications would be grouped into a government category, most of which are for the U.S. Federal Government. These allocations could be listed as "Federal", "United States of America", or as the names of any number of federal agencies. The last major grouping of entities is for "Native American"s. priorityDate - The date we use as the water right priority date for our modeling analysis. This is the legal priority date when it is available. However, for some rights, specifically from California and New Mexico, we used a pseudo priority date (e.g. well completion date or start of well drilling date) when a legal priority date was not available. The most questionable dates come from New Mexico, where the only date associated with certain water right records was the date the allocation was recorded in the database. As the allocation record creation tended to be within a few months of the filing of the application of the water right, from manually double checking the water rights, and our analysis focuses on aggregating water rights on the timescale of years, we determined it was acceptable to use such dates to include as many records as possible. primaryBeneficialUse - From the numerous state water use categories, WaDE categorized them into 21 categories WestDAAT. This column is the original WaDE category for the primary water use at the PoD site. allocationBeneficialUse - From the numerous state water use categories, WaDE categorized them into 21 categories for WestDAAT. This column is the original WaDE category

Economics↗