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DOE OSTI2023

Organizational System Resilience to Disinformation: A Viable Systems Model Exploration

This paper explores the utility of organizational system modeling frameworks to provide valuable insight into information flows within organizations and subsequently the opportunities for increasing resilience against disinformation campaigns targeting the system's ability to utilize information within its decision making. Disinformation is a growing challenge for many organizations and in recent years has created delay in decision making. Here the paper has utilized the viable systems model (VSM) to characterize organizational systems and used this approach to outline potential subsystem requirements to promote resilience of the system. The results of this paper can support the development of simulations and models considering the human elements within the system as well as support the development of quantitative measures of resilience.

96 KNOWLEDGE MANAGEMENT AND PRESERVATION↗
DOE OSTI2020

Addressing Human and Organizational Factors in Nuclear Industry Modernization: An Operationally Focused Approach to Process and Methodology

Utility owners and operators of commercial nuclear power plants in the United States (U.S.) are and will be modernizing their nuclear power plants by performing a digital transformation involving design of an integrated set of systems that together enable a technology centric operating plant. The Plant Modernization Pathway of the U.S. Department of Energy Light Water Reactor Sustainability Program has a strategic action plan that lays the groundwork for a digital transformation of the nuclear industry. The model for this transformation is an advanced concept of operations, with an end point vision, “To achieve the maximum aggregate benefit enabled by this digital transformation.” To achieve this, the digital infrastructure for a nuclear plant must be designed as an integrated set of systems that together enable a technology centric operating model. The digital transformation process obviously needs to involve technology considerations and systems engineering, but it also needs to include human and organizational expertise. Thus, human and organizational factors, including sociotechnical systems methods and techniques (e.g., Cognitive Systems Engineering, Systems Theoretic Accident Modeling and Processes, human systems integration, and Macroergonomics) need to be considered for digital transformation projects in order to effectively integrate human and organizational expertise efforts into the new work system that results from nuclear power plant digital modernization. That is, the work system is the basic unit of sociotechnical systems analysis and contains three components: personnel, technical, and organization and management. These components should be jointly optimized with respect to the interdependence of systems performance criteria of effectiveness, efficiency and safety. Joint optimization can be achieved through the application of three human and organization functions: knowledge representation, knowledge elicitation, and cross-functional integration. This report provides a strategic framework for effective integration of human and organizational expertise within nuclear power plant digital modernization efforts.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2023

Organizational and psychological measures for data center energy efficiency: barriers and mitigation strategies

Abstract It was last estimated that in 2020, data centers comprised approximately 2% of total US electricity consumption, with an estimated annual growth rate of 4%. As our country increasingly relies on information technology (IT), our data centers (DCs) will need to increase their energy efficiency (EE) to stabilize their energy consumption. The task of studying EE in DCs is complicated by the interconnected nature of humans and mission-critical technical systems. Moreover, the literature tends to focus on technology solutions such as improvements to IT equipment, cooling infrastructure, and software, without addressing organizational and psychological drivers. Our research demystifies the complex interactions between humans and DCs, by asking What non-technical barriers impede EE investment decision-making and/or implementing energy management strategies? To begin to answer this question, we perform a literature review of 86 resources, ranging from peer-reviewed journal publications to handbooks. We also consider related fields such as organizational behavioral management and energy intensive buildings. We develop a public Zotero library, perform content coding, and complete a rudimentary network analysis. Our findings from the literature review suggest that (1) technological solutions are abundant in the literature but fall short of providing practical guidance on the pitfalls of implementation, (2) making energy efficiency a priority at the executive level of organizations will be largely ineffective if the IT and facilities staff are not directly incentivized to increase EE, and (3) there is minimal current understanding of how the individual psychologies of IT and facilities staff affect EE implementation in DCs. In the next phase of our research, we plan to interview data center operators/experts to ground-truth our literature findings and collaboratively design decarbonization policy solutions that target organizational structure, empower individual staff, and foster a supportive external market.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2022

Reviewing and Exploring the Qualitative Impacts That Different Market and Regulatory Measures Can Have on Encouraging Energy Communities Based on Their Organizational Structure

The emergence of energy communities represents a promising option to democratize the energy system by empowering consumers to take a more active role. This can aid in achieving energy and environmental goals as well as encouraging more equitable distribution of costs and revenues between all parties on the energy system. Despite this potential, energy communities are still a nascent solution, the success of which is heavily influenced by regulations. As a result, there are a wide variety of organizational structures for energy communities at this time. This paper provides a review of the policy landscape in Spain as it relates to energy communities. This work also presents a formalized method for characterizing different energy community structures and provides a qualitative assessment of the impacts of different measures to encourage energy communities with respect to their organizational structure. Findings suggest that many market-focused measures, including wholesale, local flexibility, capacity, and multisector market measures favor larger, more integrated communities, while regulatory, legal, and organizational measures, including peer-to-peer trading, aggregation, and self-consumption favor smaller, more distributed communities. Additionally, when developing policies to encourage the growth of energy communities, policymakers should be cognizant of the progression of policies in the context of the desired outcomes for energy community growth specific to the region or country and its goals.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2020

Organizational Conflicts of Interest Disclosure Update Statement (FY2019)

The National Technology & Engineering Solutions of Sandia, LLC (NTESS) Prime Contract department manages an organizational conflicts of interest (OCI) program that is designed to provide NTESS employees an accessible means to assist in identifying potential OCI risk and providing development support services to avoid, neutralize, or mitigate the risk. The OCI program is responsible for maintaining a regulatory infrastructure, such as corporate OCI policy and training content, to comply with NTESS's obligations set forth in prime contract clauses H-4: ORGANIZATIONAL CONFLICT OF INTEREST (OCI) — SPECIAL PROVISION and Section I Department of Energy Acquisition Regulation 952.209-72, Organizational Conflicts of Interest, Alternate I, paragraph (c)(1), Disclosure After Award. Risk identification is a key OCI program priority. Providing employees with a straight-forward, accessible and navigable mechanism to identify potential OCI risk will assist the OCI program in meeting this priority.

96 KNOWLEDGE MANAGEMENT AND PRESERVATION↗
DOE OSTI2023

Addressing Human and Organizational Factors in Nuclear Industry Modernization: A Sociotechnically Based Strategic Framework

The modernization of nuclear power plants will require an advanced concept of operations, involving an integrated set of tightly coupled systems in which all stakeholders act in a coordinated manner. For this modernization effort to be enabled, we developed a human and organizational factors approach based on a broad sociotechnical framework. Starting from core human factors principles, we conducted a literature review of the methods and approaches relevant to the modernization problem. These included not only core disciplines such as cognitive systems engineering, systems theoretic accident modeling and processes, human systems integration, resilience engineering, and macroergonomics but also related topics of safety culture and organizational change. From this literature, we developed a conceptual framework centered around the work system with its four interacting components: people, technology, process, and governance. In an effective work system, these four components are jointly optimized according to three systems criteria: efficiency, effectiveness, and safety. System failure may result from excessive emphasis on any one criterion. The actual work of attaining joint optimization in a given work system can be accomplished by utilizing three high-level functions: knowledge elicitation, knowledge representation, and cross-functional integration. Finally, we illustrated the utility of this approach by applying it to practical problems and case studies.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗
DOE OSTI2021

Addressing Human and Organizational Factors In Nuclear Industry Modernization: A Sociotechnically-Based Strategic Framework

The modernization of nuclear power plants will require an advanced concept of operations, involving an integrated set of tightly coupled systems in which all stakeholders act in a coordinated manner. For this modernization effort to be enabled, we developed a human and organizational factors approach, based on a broad sociotechnical framework. Starting from core human factors principles, we conducted a literature review of the methods and approaches relevant to the modernization problem. These included core disciplines such as cognitive systems engineering, systems theoretic accident modeling and processes (STAMP), human systems integration, resilience engineering, and macroergonomics but also related topics of safety culture and organizational change. From this literature, we developed a conceptual framework centered around the work system with its four interacting components: people, technology, process, and governance. In an effective work system, these four components are jointly optimized according to three systems criteria: efficiency, effectiveness, and safety. System failure may result from excessive emphasis on any one criterion. The actual work of attaining joint optimization in a given work system can be accomplished by utilizing three high level functions: knowledge elicitation, knowledge representation, and cross-functional integration. We illustrated the utility of this approach by applying it to practical problems and case studies. The complete report is available in [1]; this paper is a description of our approach and report contents.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2022

Organizational Principles of Hyporheic Exchange Flow and Biogeochemical Cycling in River Networks Across Scales

Hyporheic zones increase freshwater ecosystem resilience to hydrological extremes and global environmental change. However, current conceptualizations of hyporheic exchange, residence time distributions, and the associated biogeochemical cycling in streambed sediments do not always accurately explain the hydrological and biogeochemical complexity observed in streams and rivers. Specifically, existing conceptual models insufficiently represent the coupled transport and reactivity along groundwater and surface water flow paths, the role of autochthonous organic matter in streambed biogeochemical functioning, and the feedbacks between surface-subsurface ecological processes, both within and across spatial and temporal scales. While simplified approaches to these issues are justifiable and necessary for transferability, the exclusion of important hyporheic processes from our conceptualizations can lead to erroneous conclusions and inadequate understanding and management of interconnected surface water and groundwater environments. This is particularly true at the landscape scale, where the organizational principles of spatio-temporal dynamics of hyporheic exchange flow (HEF) and biogeochemical processes remain largely uncharacterized. This article seeks to identify the most important drivers and controls of HEF and biogeochemical cycling based on a comprehensive synthesis of findings from a wide range of river systems. We use these observations to test current paradigms and conceptual models, discussing the interactions of local-to-regional hydrological, geomorphological, and ecological controls of hyporheic zone functioning. This improved conceptualization of the landscape organizational principles of drivers of HEF and biogeochemical processes from reach to catchment scales will inform future river research directions and watershed management strategies.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2025

The Impact of Cultural Values and Organizational Processes on Nuclear Security Operations

Human performance is a pivotal factor in the design, testing, maintenance, and operation of security systems. The effectiveness of these systems relies not only on the capabilities, limitations, motives, and attitudes of the individuals involved, but also on the quality of training, instructional content, and evaluation methods provided. To uphold security standards, seamless integration between technologies and operators necessitates reliable human input. In security operations, human errors, often attributed to blame, sanctions, low motivation, individual accountability, or complacency, are primary causes of system failures. Complacency, characterized by a false sense of security, reflects a lack of awareness of potential threats and is a significant contributing factor to lapses in security. Security incidents arise from various factors, many extend beyond individual control, highlighting the need for a holistic approach to human performance that integrates organizational processes and team collaboration. Historically, errors have been attributed to individual moral or cognitive failures. However, insights from Operational Experiences (OEs) suggest that organizational processes weakness and deficiencies in nuclear cultural values contribute more significantly to security failures than individual mistakes. This paper consolidates lessons learned from diverse international nuclear security cultures and aims to highlight the importance of security culture in shaping global perspectives on nuclear security. It underscores the role of cultural values in shaping nuclear security practices and enhancing the resilience of security systems in the nuclear sector.

Zineddin, Dr. Z. [ORNL] (ORCID:0009000848740725)↗
DOE OSTI2024

Best practices: Organizational execution

This article, the fourth and final installment in the DOE–IDEA series, focuses on organizational execution and how strong management practices, teamwork, and preparedness contribute to successful district energy systems. It highlights case studies from Ashley Energy and Cornell University to illustrate effective operational strategies. Ashley Energy demonstrates the importance of emergency preparedness and rapid response. After a major flood disrupted its plant, the organization restored service in under 72 hours by relying on pre-established plans, vendor relationships, and trained staff. The case emphasizes proactive contingency planning, understanding insurance processes, and empowering skilled personnel to improvise during crises. Cornell University’s example highlights the role of collaboration and transparency in long-term success. Its district energy system benefits from strong data sharing, real-time energy monitoring, and active involvement of faculty and students in system planning and innovation. This culture of teamwork and data-driven decision-making supports sustainability goals and continuous system improvement. Overall, the article shows that effective organizational execution—through preparedness, collaboration, and data transparency—is essential for maintaining reliable, efficient, and sustainable district energy systems.

96 KNOWLEDGE MANAGEMENT AND PRESERVATION↗
DOE OSTI2020

Guidance on Including Social, Organizational and Technical Influences in Nuclear Utility and Plant Modernization Plans

The objective of this report is to provide the nuclear power industry with guidance on including socio-technical issues in plans developed for current and future modernization efforts. Socio-technical issues of concern include social, organizational and related technical aspects of modernized systems. These can be addressed using a set of systematic analysis and design methods developed to address socio-technical issues of the sort facing the nuclear power industry. The next phase of this work will involve developing and implementing a modernization plan that includes socio-technical tools and methods identified and discussed in a report by Dainoff and colleagues (2020). The plan is expected to be developed and implemented in cooperation with a nuclear utility that has expressed interest in participating. The Dainoff et al report provides the foundation for the present effort and presents a methodological tool set for analyzing socio-technical issues applicable to many modernization efforts. The tools described by Dainoff et al are based on principles of human factors engineering, safety engineering, and systems engineering and are discussed within the specific context of nuclear utility modernization and transformation efforts. It is expected that the plan and the concepts described in the current report will be developed and implemented with a nuclear utility partner. The plan developed with the nuclear utility partner will have a substantially higher level of detail than the guidance provided in this report, particularly with regard to details of plan logistics, etc.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2022

Vouchers to Enable Laboratory and Organizational Collaboration for Innovation and Technology Improvements (VELOCITI) (Abstract)

For the past several years, the National Renewable Energy Laboratory (NREL) and Sandia National Laboratories (SNL) have provided technical assistance to the recipients of Department of Energy (DOE) -funded voucher programs, namely American-Made Challenges (AMC), the Incubator Program, and the Small Business Vouchers Program. Drawing on lessons learned and from first-hand experiences, NREL and SNL are co-leading a new holistic and streamlined voucher program aimed at strengthening ties between American innovators and the national labs. This new program, “Vouchers to Enable Laboratory and Organizational Collaboration for Innovation and Technology Improvements,” or VELOCITI, will leverage the successful elements of past programs, create administrative efficiencies, and enable the buildout of a national program to drive strong relationships between entrepreneurs and the national labs to accelerate the roll-out of new technologies in the US solar sector.

14 SOLAR ENERGY↗
DOE OSTI2024

Vouchers to Enable Laboratory and Organizational Collaboration for Innovation and Technology Improvements (VELOCITI) Round 6 (Abstract)

For the past several years, the National Renewable Energy Laboratory (NREL), Sandia National Laboratories (SNL), and Pacific Northwest National Laboratory (PNNL) have provided technical assistance to the recipients of Department of Energy (DOE)-funded voucher programs, namely American-Made Challenges (AMC), the Incubator Program, and the Small Business Vouchers Program. Drawing on lessons learned and from first-hand experiences, NREL is leading a new holistic and streamlined voucher program aimed at strengthening ties between American innovators and the national labs. This new program, “Vouchers to Enable Laboratory and Organizational Collaboration for Innovation and Technology Improvements,” or VELOCITI, will leverage the successful elements of past programs, create administrative efficiencies, and enable the buildout of a national program to drive strong relationships between entrepreneurs and the national labs to accelerate the roll-out of new technologies in the US solar sector. This work will develop a comprehensive techno-economic assessment to understand the potential of repurposed batteries to achieve the DOE’s target of 5 cents per kWh Levelized Cost of Storage (LCOS), thereby facilitating the more affordable and widespread adoption of solar energy.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2024

Organizational Resilience in the Context of Information Quality: An Agent-Based Simulation of Structural and Cognitive Influences

This study examines how organizational structure and stress levels affect decision-making with poor quality information. Using an agent-based model, it finds loosely structured organizations are timely but less effective at filtering bad information, while tightly structured ones are slower but better at filtering. The research highlights a trade-off between timeliness and robustness and suggests an optimal stress level for decision-making efficacy.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2024

A typology of organizational readiness for change based on a latent profile analysis

Companies have to undergo many change processes to succeed in the transforming economy. However, many change processes fail because employees are insufficiently accompanied through the process in a targeted manner. This study of N = 427 employees from a steel industry company undergoing a transformation process examines whether the organizational readiness for change (ORC) of highly affected employees can be classified into profiles, how these profiles can be predicted by various antecedents, and whether outcome variables such as job satisfaction can be explained by profile membership. Based on five facets of ORC (i.e., individual valence and positive affect), a total of six ORC profiles were identified: Proactives , Acceptors , Opens , Neutrals , Reluctants and Deniers . Employees’ optimism and the degree of perceived interpersonal and informational fairness can predict profile membership. It was shown that profiles significantly differ in relevant outcome variables satisfaction and intention to leave. These results contribute to the basic understanding of ORC and provide an initial approach for improving ORC profiles which could increase the success rate of change processes in companies.

Köhler, Alina↗
DOE OSTI2020

The CYBER security – Competency Health and Maturity Progression (CYBER-CHAMP) model: Extending the National Initiative for Cybersecurity Education (NICE) Framework Across Organizational Security

Problem Statement: There is a pervasive talent deficit in the cybersecurity industry that prevents employers from being able to fill their open positions efficiently. A holistic approach to security is required to ensure organizations have adequate prevention and response capabilities in case of a cyberattack. Specifically, industrial control systems (ICS’s) and their operational technology (OT) components have become a constant target for cyberattacks. Research Questions: It is proposed that the NICE Framework should be extended in the following areas: 1) Include guidance regarding the job roles and competencies for both IT and OT professionals. 2) Offer step-by-step solutions, based on the work role mappings from the NICE Framework, to increase cybersecurity through employee training and education. 3) Provide a streamlined, lifecycle approach to building a cybersecurity program. Contribution: The CYBER security – Competency Health and Maturity Progression (CYBER-CHAMP©) model provides a customized solution for businesses to understand their education gaps in organizational security and target areas for improvement. Rationale: The Framework for Improving Critical Infrastructure Cybersecurity v1.1 addresses ICS but does not offer a measurement of cybersecurity maturity or clear methods to ascertain an organization’s current risk profile. In Phases 1 and 5 of the model, measurements are provided to help an organization build their current and target risk profiles. The NICE framework provides a structure for planning an IT cybersecurity workforce, but the OT aspects of cybersecurity are only briefly discussed. The model uses Phases 2-3 to examine the competencies of an organization’s workforce, which includes both IT and OT roles. Current frameworks do not offer next steps to increase an organization’s cybersecurity. During Phase 4, employees’ roles are mapped to training, education, and/or certifications from common vendors. Investigative Approach: The model provides measurements and metrics for both an organization’s status and continual improvement. This improvement methodology includes guidance for creating an overall strategic plan for security improvement via products designed to increase an organization’s operational readiness through workforce competency health. Lessons Learned: Depending on who was participating, there were contradicting answers given in Phase 1 due to different security cultures in the organization. This revelation has influenced the steps listed in the User’s Guide, where Phase 1’s first recommended step is to assemble a team that champions the facilitation and implementation of the model in the organization. During Phase 2, the discovery was made that organizations may be missing roles that are necessary to perform critical cybersecurity functions. By understanding the functional roles and competencies needed, they can contract or hire cybersecurity help to fill these gaps. Implications: Using the model, organizations can discuss quantitative measures for improvement as a business case for advancing their security program. Future research can validate and extend the present theory and model to a variety of environments. It is of interest to investigate additional security roles and knowledge domains that are used to build standardized cybersecurity curriculum.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2024

Organizational Influence on Supply Chain for Digital Energy Infrastructure: Business Models, and Policy Landscape

Significant investment is driving the essential modernization and digitization of U.S. energy infrastructure, but the United States faces a key challenge in this grid transformation: our renewable and clean energy supply chains have limited capacity to source necessary digital assets through U.S. or allied sources. Batteries and their associated power electronic interfaces are key components to delivering clean and more resilient energy delivery, providing much-needed fast ramping, emergency discharge, generation, and operations support to the electric grid. These services have grown to be invaluable over the past 10 years and will soon be an irreplaceable component of energy delivery. While there have been significant strides to move supply chains for raw and critical materials to U.S. and allied nations, the control and power electronic industry has lagged, in part because of lower cost margins. For example, the United States now has growing capacity to manufacture solar photovoltaic (PV) panels, but 90% of the inverters—which are essential to the conversion of DC to AC for grid connection and controls—are made in or source parts from the People’s Republic of China (PRC). While a global supply chain is beneficial for many economic and supply diversification reasons, presence of foreign entities of concern (FEOC) in a dominant role in this supply chain brings additional concerns for national security of infrastructure. The BESS relationship and new clean energy have features that warrant discussions and additional focus on impact for technology security, given their critical role. This review considers the impact and solutions for complex business and policy landscapes in clean energy supply chain, and the benefit trade-offs, focusing on the Battery Energy Storage System case study, and its complex organizational relationships across both the US, Allied countries and Foreign Entities of Concern. While many examples in this paper are presented on PRC focused manufacture, this could apply to any potentially adversarial relationship

25 - ENERGY STORAGE↗