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DOE OSTI2026

An Introduction to Variational Calculus

Variational Calculus is an advanced topic in mathematics. This document exists to compile the basics of Variational Calculus in a readable and digestible manner for application by engineers. This document is a living document and will be updated as time moves forward. It is the hope that by reading this document, the basics of Variational Calculus can be readily applied to any system/function of interest. This does not serve as a replacement for textbooks or other learned sources but should act as a companion piece to better serve the reader in times of confusion and distress.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2021

A multi-dimensional Child–Langmuir law for any diode geometry

While prior theoretical studies of multi-dimensional space-charge limited current (SCLC) assumed emission from a small patch on infinite electrodes, none have considered emission from an entire finite electrode. In this paper, we apply variational calculus (VC) and conformal mapping, which have previously been used to derive analytic solutions for SCLC density (SCLCD) for nonplanar one-dimensional geometries, to obtain mathematical relationships for any multi-dimensional macroscopic diode with finite cathode and anode. We first derive a universal mathematical relationship between space-charge limited potential and vacuum potential for any diode and apply this technique to determine SCLCD for an eccentric spherical diode. We then apply VC and the Schwartz–Christoffel transformation to derive an exact equation for SCLCD in a general two-dimensional planar geometry with emission from a finite emitter. Particle-in-cell simulations using VSim agreed within 4%–13% for a range of ratios of emitter width to gap distance using the thinnest electrodes practical for the memory constraints of our hardware, with the difference partially attributed to the theory's assumption of infinitesimally thin electrodes. After generalizing this approach to determine SCLCD for any orthogonal diode as a function of only the vacuum capacitance and vacuum potential, we derive an analytical formulation of the three-dimensional Child–Langmuir law for finite parallel rectangular and disk geometries. These results demonstrate the utility for calculating SCLCD for any diode geometry using vacuum capacitance and vacuum potential, which are readily obtainable for many diode geometries, to guide experiment and simulation development.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2025

Extending the Mott–Gurney law to one-dimensional nonplanar diodes using point transformations

Recent studies have applied variational calculus, conformal mapping, and point transformations to generalize the one-dimensional (1D) space-charge limited current density (SCLCD) and electron emission mechanisms to nonplanar geometries; however, these assessments have focused on extending the Child–Langmuir law (CLL) for SCLCD in vacuum. Since the charge in the diode is independent of the coordinate system (i.e., covariant), we apply bijective point transformations to extend the Mott–Gurney law (MGL) for the SCLCD in a collisional or semiconductor gap to nonplanar 1D geometries. This yields a modified MGL that replaces the Cartesian gap distance with a canonical gap distance that may be written generally in terms of geometric scale factors that are known for multiple geometries. We tabulate results for common geometries. Such an approach may be applied to any current density, including non-space-charge limited gaps and SCLCD that may fall between the CLL and MGL.

Garner, Allen L. [Purdue Univ., West Lafayette, IN↗
DOE OSTI2025

A simple introduction to the SiMPL method for density-based topology optimization

We introduce a novel method for solving density-based topology optimization problems: Sigmoidal Mirror descent with a Projected Latent variable (SiMPL). The SiMPL method (pronounced as “the simple method”) optimizes a design using only first-order derivative information of the objective function. The bound constraints on the density field are enforced with the help of the (negative) Fermi–Dirac entropy, which is also used to define a non-symmetric distance function called a Bregman divergence on the set of admissible designs. This Bregman divergence leads to a simple update rule that is further simplified with the help of a so-called latent variable. Because the SiMPL method involves discretizing the latent variable, it produces a sequence of pointwise-feasible iterates, even when high-order finite elements are used in the discretization. Numerical experiments demonstrate that the method outperforms other popular first-order optimization algorithms. In conclusion, to outline the general applicability of the technique, we include examples with (self-load) compliance minimization and compliant mechanism optimization problems.

Calculus of Variations and Optimization↗
DOE OSTI2020

Generalized Grad–Shafranov equation for non-axisymmetric MHD equilibria

The structure of static MHD equilibria that admit continuous families of Euclidean symmetries is well understood. Such field configurations are governed by the classical Grad–Shafranov equation, which is a single elliptic partial differential equation in two space dimensions. By revealing a hidden symmetry, here we show that in fact all smooth solutions of the equilibrium equations with non-vanishing pressure gradients away from the magnetic axis satisfy a generalization of the Grad–Shafranov equation. In contrast to solutions of the classical Grad–Shafranov equation, solutions of the generalized equation are not automatically equilibria, but instead only satisfy force balance averaged over the one-parameter hidden symmetry. We then explain how the generalized Grad–Shafranov equation can be used to reformulate the problem of finding exact three-dimensional smooth solutions of the equilibrium equations as finding an optimal volume-preserving symmetry.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2020

Variational nonlinear WKB in the Eulerian frame

Nonlinear WKB is a multiscale technique for studying locally plane-wave solutions of nonlinear partial differential equations (PDEs). Its application comprises two steps: (1) replacement of the original PDE with an extended system separating the large scales from the small and (2) reduction of the extended system to its slow manifold. In the context of variational fluid theories with particle relabeling symmetry, nonlinear WKB in the mean Eulerian frame is known to possess a variational structure. This much has been demonstrated using, for instance, the theoretical apparatus known as the generalized Lagrangian mean. On the other hand, the variational structure of nonlinear WKB in the conventional Eulerian frame remains mysterious. By exhibiting a variational principle for the extended equations from step (1) above, here we demonstrate that nonlinear WKB in the Eulerian frame is in fact variational. Remarkably, the variational principle for the extended system admits loops of relabeling transformations as a symmetry group. Noether’s theorem therefore implies that the extended Eulerian equations possess a family of circulation invariants parameterized by S 1 . As an illustrative example, we use our results to systematically deduce a variational model of high-frequency acoustic waves interacting with a larger-scale compressible isothermal flow.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2020

A comprehensive conductivity model for drift and micro-tearing modes

The parallel electrical conductivity is a crucial parameter in the study of the linear stability of drift-modes like the micro-tearing mode (MTM). The conductivity enters by closing the electromagnetic tearing layer equations. Recent progress in the understanding of the pedestal suggests that the MTM could play an important role in its structure and evolution. For this reason, we revisit and improve previous model conductivities. This parameter is generally derived from the linearized drift kinetic equation. In the past literature, it has been computed using either simplified collision operators or neglecting the spatial dependence away from the rational surface. Here, a fully consistent expression for the conductivity that would accurately model the pedestal has not been available. By applying a novel variational procedure and with the full Fokker Plank collision operator, including electron–electron collisions, we compute a closed expression for the parallel electrical conductivity in the form of a rational function.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2021

Excited states in variational Monte Carlo using a penalty method

Here, in this article, the authors present a technique using variational Monte Carlo to solve for excited states of electronic systems. This technique is based on enforcing orthogonality to lower energy states, which results in a simple variational principle for the excited states. Energy optimization is then used to solve for the excited states. This technique is applied to the well-characterized benzene molecule, in which ~10 000 parameters are optimized for the first 12 excited states. Agreement within ~0.2 eV is obtained with higher scaling coupled cluster methods; small disagreements with experiment are likely due to vibrational effects.

36 MATERIALS SCIENCE↗
DOE OSTI2020

Direct prediction of nonlinear tearing mode saturation using a variational principle

It is shown that the variational principle of multi-region relaxed magnetohydrodynamics (MRxMHD) can be used to predict the stability and nonlinear saturation of tearing modes in strong guide field configurations without resolving the dynamics and without explicit dependence on the plasma resistivity. While the magnetic helicity is not a good invariant for tearing modes, we show that the saturated tearing mode can be obtained as an MRxMHD state of a priori unknown helicity by appropriately constraining the current profile. The predicted saturated island width in a tearing-unstable force-free slab equilibrium is shown to reproduce the theoretical scaling at small values of Δ' and the scaling obtained from resistive magnetohydrodynamics simulations at large Δ'.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2021

Variational design principles for nonequilibrium colloidal assembly

Using large deviation theory and principles of stochastic optimal control, we show that rare molecular dynamics trajectories conditioned on assembling a specific target structure encode a set of interactions and external forces that lead to enhanced stability of that structure. Such a relationship can be formulated into a variational principle, for which we have developed an associated optimization algorithm and have used it to determine optimal forces for targeted self-assembly within nonequilibrium steady-states. We illustrate this perspective on inverse design in a model of colloidal cluster assembly within linear shear flow. We find that colloidal clusters can be assembled with high yield using specific short-range interactions of tunable complexity. Shear decreases the yields of rigid clusters, while small values of shear increase the yields of nonrigid clusters. The enhancement or suppression of the yield due to shear is rationalized with a generalized linear response theory. Furthermore, by studying 21 unique clusters made of six, seven, or eight particles, we uncover basic design principles for targeted assembly out of equilibrium.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2024

Degradation of performance in ICF implosions due to Rayleigh–Taylor instabilities: A Hamiltonian perspective

The Rayleigh–Taylor instability (RTI) is an ubiquitous phenomenon that occurs in inertial-confinement-fusion (ICF) implosions and is recognized as an important limiting factor of ICF performance. To analytically understand the RTI dynamics and its impact on ICF capsule implosions, we develop a first-principle variational theory that describes an imploding spherical shell undergoing RTI. The model is based on a thin-shell approximation and includes the dynamical coupling between the imploding spherical shell and an adiabatically compressed fluid within its interior. Using a quasilinear analysis, we study the degradation trends of key ICF performance metrics (e.g., stagnation pressure, residual kinetic energy, and areal density) as functions of initial RTI parameters (e.g., the initial amplitude and Legendre mode), as well as the 1D implosion characteristics (e.g., the convergence ratio). We compare analytical results from the theory against nonlinear results obtained by numerically integrating the governing equations of this reduced model. Our findings emphasize the need to incorporate polar flows in the calculation of residual kinetic energy and demonstrate that higher convergence ratios in ICF implosions lead to significantly greater degradation of key performance metrics.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2025

Tree tensor network hierarchical equations of motion based on time-dependent variational principle for efficient open quantum dynamics in structured thermal environments

In this work, we introduce an efficient method, TTN-HEOM, for exactly calculating the open quantum dynamics for driven quantum systems interacting with highly structured bosonic baths by combining the tree tensor network (TTN) decomposition scheme with the bexcitonic generalization of the numerically exact hierarchical equations of motion (HEOM). The method yields a series of quantum master equations for all core tensors in the TTN that efficiently and accurately capture the open quantum dynamics for non-Markovian environments to all orders in the system–bath interaction. These master equations are constructed based on the time-dependent Dirac–Frenkel variational principle, which isolates the optimal dynamics for the core tensors given the TTN ansatz. The dynamics converges to the HEOM when increasing the rank of the core tensors, a limit in which the TTN ansatz becomes exact. We introduce TENSO, tensor equations for non-Markovian structured open systems, as a general-purpose Python code to propagate the TTN-HEOM dynamics. We implement three general propagators for the coupled master equations: two fixed-rank methods that require a constant memory footprint during the dynamics and one adaptive-rank method with a variable memory footprint controlled by the target level of computational error. We exemplify the utility of these methods by simulating a two-level system coupled to a structured bath containing one Drude–Lorentz component and eight Brownian oscillators, which is beyond what can presently be computed using the standard HEOM. Our results show that the TTN-HEOM is capable of simulating both dephasing and relaxation dynamics of driven quantum systems interacting with structured baths, even those of chemical complexity, with an affordable computational cost.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2025

Quantum Algorithm for Linear Non-unitary Dynamics with Near-Optimal Dependence on All Parameters

We introduce a family of identities that express general linear non-unitary evolution operators as a linear combination of unitary evolution operators, each solving a Hamiltonian simulation problem. This formulation can exponentially enhance the accuracy of the recently introduced linear combination of Hamiltonian simulation (LCHS) method [An, Liu, and Lin, Physical Review Letters, 2023]. For the first time, this approach enables quantum algorithms to solve linear differential equations with both optimal state preparation cost and near-optimal scaling in matrix queries on all parameters.

Applied Dynamical Systems↗
DOE OSTI2025

McCormick envelopes in mixed-integer PDE-constrained optimization

McCormick envelopes are a standard tool for deriving convex relaxations of optimization problems that involve polynomial terms. Such McCormick relaxations provide lower bounds, for example, in branch-and-bound procedures for mixed-integer nonlinear programs but have not gained much attention in PDE-constrained optimization so far. This lack of attention may be due to the distributed nature of such problems, which on the one hand leads to infinitely many linear constraints (generally state constraints that may be difficult to handle) in addition to the state equation for a pointwise formulation of the McCormick envelopes and renders bound-tightening procedures that successively improve the resulting convex relaxations computationally intractable. We analyze McCormick envelopes for a model problem class that is governed by a semilinear PDE involving a bilinearity and integrality constraints. We approximate the nonlinearity and in turn the McCormick envelopes by averaging the involved terms over the cells of a partition of the computational domain on which the PDE is defined. This yields convex relaxations that underestimate the original problem up to an a priori error estimate that depends on the mesh size of the discretization. These approximate McCormick relaxations can be improved by means of an optimization-based bound-tightening procedure. We show that their minimizers converge to minimizers to a limit problem with a pointwise formulation of the McCormick envelopes when driving the mesh size to zero. We provide a computational example, for which we certify all of our imposed assumptions. The results point to both the potential of the methodology and the gaps in the research that need to be closed. Our methodology provides a framework first for obtaining pointwise underestimators for nonconvexities and second for approximating them with finitely many linear inequalities in an infinite-dimensional setting.

Approximations and Expansions↗
DOE OSTI2025

A mixed-integer PDE-constrained optimization formulation for constructing electromagnetic cloaks with multiple materials

We study the design of an electromagnetic cloak from multiple materials with an additional constraint on the mass of the cloak. Our problem is an example of a topology optimization problem, and we formulate this problem as a mixed-integer partial-differential equation constrained optimization (MIPDECO) problem, where Maxwell’s equation models the propagation of the wave through the cloak and surrounding medium. We use binary variables to model the assignment of the different materials, and their relevant properties (permittivity and density). The mass constraint adds a nontrivial constraint to this problem. We propose a two-phase strategy to solve this problem. In the first phase, we solve a continuous relaxation, and then propose a new variant of the feasibility pump that exploits the structure of the PDE to obtain an initial integral solution candidate. In the second phase, we use a trust-region approach to improve this incumbent. We also consider a continuation or mesh-sequencing approach to find better solutions faster on consecutively finer meshes. We present detailed numerical results to illustrate the effectiveness of our approaches for constructing multi-material cloaks with a mass constraint.

Calculus of Variations and Optimization↗
DOE OSTI2020

An ideal MHD δW stability analysis that bypasses the Newcomb equation

In the following work, we demonstrate the efficacy of a Riccati δW ideal MHD stability analysis that bypasses the numerically intractable integration of the Newcomb equation. By transforming the linear Newcomb equation into a quadratic Riccati equation, an accurate and equivalent δW analysis is performed that is shown to enjoy some numerical advantages. Additionally, we demonstrate that the Riccati approach is better conditioned than its Newcomb counterpart at the magnetic axis, and we apply dynamical systems insights to examine its behavior at singular points. We further discuss the constraints involved in solving for the extremal admissible perturbations of a δW analysis.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2020

Phase equilibrium of liquid water and hexagonal ice from enhanced sampling molecular dynamics simulations

We study the phase equilibrium between liquid water and ice Ih modeled by the TIP4P/Ice interatomic potential using enhanced sampling molecular dynamics simulations. Our approach is based on the calculation of ice Ih-liquid free energy differences from simulations that visit reversibly both phases. The reversible interconversion is achieved by introducing a static bias potential as a function of an order parameter. The order parameter was tailored to crystallize the hexagonal diamond structure of oxygen in ice Ih. Furthermore, we analyze the effect of the system size on the ice Ih-liquid free energy differences, and we obtain a melting temperature of 270 K in the thermodynamic limit. This result is in agreement with estimates from thermodynamic integration (272 K) and coexistence simulations (270 K). Since the order parameter does not include information about the coordinates of the protons, the spontaneously formed solid configurations contain proton disorder as expected for ice Ih.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗