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All sourcesNASA NTRSDOE OSTI
DOE OSTI2025

Local practically safe extremum seeking with assignable rate of attractivity to the safe set

We present Assignably Safe Extremum Seeking (ASfES), an algorithm designed to minimize a measured, static objective function while maintaining a measured, static metric of safety (a control barrier function or CBF) to be positive in a practical sense. We ensure that for trajectories with safe initial conditions, the violation of safety can be made arbitrarily small through appropriately chosen design constants. We also guarantee an assignable “attractivity” rate: from unsafe initial conditions, the trajectories approach the safe set, in the sense of the measured CBF, at a rate no slower than a user-assigned rate. Similarly, from safe initial conditions, the trajectories approach the unsafe set, in the sense of the CBF, no faster than the assigned attractivity rate. The feature of assignable attractivity is not present in the semiglobal version of safe extremum seeking, where the semiglobality of convergence is achieved by slowing the adaptation. We also demonstrate local convergence of the parameter to a neighborhood of the minimum of a quadratic objective function constrained to the safe set with a linear CBF. The ASfES algorithm and analysis are multivariable, but we also extend the algorithm to a Newton-Based ASfES scheme which we show is only useful in the scalar case. The proven properties of the designs are illustrated through simulation examples.

42 ENGINEERING↗
DOE OSTI2021

Safe Operations at Roadway Junctions - Design Principles from Automated Guideway Transit

Herein this paper describes a system-level view of a fully automated transit system comprising a fleet of automated vehicles (AVs) in driverless operation, each with an SAE level 4 Automated Driving System, along with its related safety infrastructure and other system equipment. This AV system-level control is compared to the automatic train control system used in automated guideway transit technology, particularly that of communications-based train control (CBTC). Drawing from the safety principles, analysis methods, and risk assessments of CBTC systems, comparable functional subsystem definitions are proposed for AV fleets in driverless operation. With the prospect of multiple AV fleets operating within a single automated mobility district, the criticality of protecting roadway junctions requires an approach like that of automated fixed-guideway transit systems, in which a guideway switch zone "interlocking" at each junction location deconflicts railway traffic, affirming safe passage. The analogous AV protection safety subsystem is defined as fail-safe equipment that monitors roadway intersections and junctions, communicates traffic signal status, perceives and communicates alerts and signals to AV connected vehicles concerning potential unsafe conditions, and performs related primary safety functions. Conclusions are drawn that the AV protection roadway intersection functions must be performed by local roadside equipment dedicated to protecting each roadway intersection and junction. Further, it is concluded that the communications technology connecting the infrastructure with the vehicle to perform this vital, fail-safe protection should meet specific functional and performance criteria.

33 ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2021

Distributionally Safe Path Planning: Wasserstein Safe RRT

In this paper, we propose a Wasserstein metric-based random path planning algorithm. Wasserstein Safe RRT (W-Safe RRT) provides finite-sample probabilistic guarantees on the safety of a returned path in an uncertain obstacle environment. Vehicle and obstacle states are modeled as distributions based upon state and model observations. Additionally, we define limits on distributional sampling error so the Wasserstein distance between a vehicle state distribution and obstacle distributions can be bounded. This enables the algorithm to return safe paths with a confidence bound through combining finite sampling error bounds with calculations of the Wasserstein distance between discrete distributions. W-Safe RRT is compared against a baseline minimum encompassing ball algorithm, which ensures balls that minimally encompass discrete state and obstacle distributions do not overlap. The improved performance is verified in a 3D environment using single, multi, and rotating non-convex obstacle cases, with and without forced obstacle error in adversarial directions, showing that W-Safe RRT can handle poorly modeled complex environments.

42 ENGINEERING↗
DOE OSTI2024

Fail-Safe Logic Design Strategies Within Modern FPGA Architectures

Fail-safe computing refers to computing systems that revert to a non-operational safe state when a fault occurs. In this paper, we investigate a circuit level technique as mitigation for single event upsets (SEUs) and fault injection attacks on field programmable gate arrays (FPGAs), and analyze the effectiveness of the technique as a fail-safe monitor for an encryption algorithm. The propagation of fault effects through FPGA primitives including lookup tables (LUTs) and programmable interconnect points (PIPs) is assessed within an FPGA architecture created using an open source tool, and validated using fault injection experiments on an FPGA. The analysis reveals additional vulnerabilities exist within reconfigurable architectures over those in equivalent fail-safe application specific integrated circuit (ASIC), thus requiring a more elaborate network of redundant circuits and checking logic. The configuration memory bits (CMBs), which configure routing and designate logic functions within the LUTs of the FPGA, add complexity to fail-safe design strategies by introducing additional fault conditions and fault propagation paths. A resource-efficient fail-safe circuit design technique called DEsign for Fail-safe in reCONfigurable systems (DEFCON) is proposed. The benefits and limitations associated with DEFCON are described in the context of fault injection experiments carried out as simulations and in FPGA hardware.

Bhakta, Priya A. [Univ. of New Mexico, Albuquerque↗
DOE OSTI2021

A Stellar Activity F-statistic for Exoplanet Surveys (SAFE)

In the search for planets orbiting distant stars, the presence of stellar activity in the atmospheres of observed stars can obscure the radial velocity signal used to detect such planets. Furthermore, this stellar activity contamination is set by the star itself and cannot simply be avoided with better instrumentation. Various stellar activity indicators have been developed that may correlate with this contamination. We introduce a new stellar activity indicator called the Stellar Activity F-statistic for Exoplanet surveys (SAFE) that has higher statistical power (i.e., probability of detecting a true stellar activity signal) than many traditional stellar activity indicators in a simulation study of an active region on a Sun-like star with a moderate-to-high signal-to-noise ratio. Also through simulation, the SAFE is demonstrated to be associated with the projected area on the visible side of the star covered by active regions. We also demonstrate that the SAFE detects statistically significant stellar activity in most of the spectra for HD 22049, a star known to have high stellar variability. Additionally, the SAFE is calculated for recent observations of the three low-variability stars HD 34411, HD 10700, and HD 3651, the latter of which is known to have a planetary companion. As expected, the SAFE for these three only occasionally detects activity. Furthermore, initial exploration appears to indicate that the SAFE may be useful for disentangling stellar activity signals from planet-induced Doppler shifts.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2023

An all-electronic fail-safe for stimulated Brillouin scattering suppression

The mitigation of transverse stimulated Brillouin scattering (SBS) via phase modulation is mandatory to avoid damage in high-energy laser systems. A novel fail-safe system that indirectly monitors the optical bandwidth applied to suppress SBS by monitoring the input, reflected, and through rf power of the SBS-suppression lithium-niobate phase modulator is demonstrated. The fail-safe system has high sensitivity and reliability provided by optimized redundant circuits for power monitoring and fail-safe decision logic. Calibration of the fail-safe’s thresholds is straightforward. Furthermore, the fail-safe circuitry reacts within 45 ns to stop an incorrectly modulated pulse by blocking the propagation of an electronic timing trigger.

fail-safe↗
DOE OSTI2025

Eye-Safe 1.5 and 2.0 Micron Laser Power Conversion Using Metamorphic InGaAs Photovoltaic Devices

Laser power transmission at 1.5 and 2.0 microns are considered eye-safe up to 0.1 W/cm2 irradiance. Further, the atmospheric bands at these two wavelengths may provide the highest optical transmission through the atmosphere in hazy conditions. By slowly changing the lattice-constant of InGaAs with a Compositionally Graded Buffer (CGB), we have fabricated InGaAs photovoltaic (PV) devices over a wide range of bandgaps useful for multijunction concentrating photovoltaic devices, thermophotovoltaic devices, and Laser Power Converters (LPC). Here, we have demonstrated monochromatic power conversion of 1.5-micron light with an eye-safe efficiency of 39.8% at 0.1 W/cm2 with InGaAs devices lattice-matched to InP with an Antireflection Coating (ARC). We have also demonstrated 30.2% and 24.5% eye-safe LPC efficiency of metamorphic InGaAs devices grown on GaAs substrates using GaInP and AlGaAsP CGBs, respectively. Finally, we have demonstrated metamorphic InGaAs devices grown on InP and GaAs substrates that are estimated to have eye-safe LPC efficiencies at 2.0 microns of 27.4% and 20.9% respectively. The efficiencies of all these LPC devices continues to increase up to about 30-70 times the eye-safe irradiance.

eye-safe↗
DOE OSTI2024

Experimental Safe Extremum Seeking for Accelerators

Here, we demonstrate the recent designs of safe extremum seeking (Safe ES) on the 1-km-long charged particle accelerator at the Los Alamos Neutron Science Center (LANSCE). Safe ES is a modification of extremum seeking (ES) which, in addition to minimizing an analytically unknown cost, also employs a safety filter based on an analytically unknown control barrier function (CBF) safety metric. Tuning is necessitated by accelerators being large complex systems, with many drifting parameters due to thermal effects and degradation. At the same time, safe operation (the maintenance of state constraints) is crucial, as damage brings astronomical costs, both financially and in operation downtime. Our measured (but analytically unknown) safety metric is the beam current. We perform multivariable Safe ES on three accelerator applications, in which we adapt 4, 6, and 3 magnet strength parameters, respectively. Two of the three applications are for validated simulation models of beamlines at LANSCE: the first for the proton radiography (pRad) beamline of 800-MeV protons for spot size tuning; the second on a high-performance code, HPSim, for tuning the low-energy beam transport (LEBT) region that contains a beam of 750-keV protons. The third is an experimental tuning of the steering magnets in the LEBT at LANSCE.

43 PARTICLE ACCELERATORS↗
DOE OSTI2024

Trends in the administration of COVID-19 vaccines with other vaccines in the United States reported to V-safe during December 14, 2020—May 19, 2023

Introduction COVID-19 vaccines may be administered with other vaccines during the same healthcare visit. COVID-19 monovalent (Fall 2021) and bivalent (Fall 2022) vaccine recommendations coincided with annual seasonal influenza vaccination. Data describing the frequency of the co-administration of COVID-19 vaccines with other vaccines are limited. Methods We used V-safe, a voluntary smartphone-based U.S. safety surveillance system established by the CDC, to describe trends in the administration of COVID-19 vaccines with other vaccines reported to V-safe during December 14, 2020 – May 19, 2023. Results Of the 21 million COVID-19 vaccinations reported to V-safe, 2.2% (459,817) were administered with at least 1 other vaccine. Co-administration most frequently occurred during the first week of October 2023 (27,092; 44.1%). Most reports of co-administration included influenza vaccine (393,003; 85.5%). Co-administration was most frequently reported for registrants aged 6 months-6 years (4,872; 4.4%). Conclusion Reports of co-administration to V-safe peaked during October 2023, when influenza vaccination most often occurs, possibly reflecting increased opportunities for multiple vaccinations and greater acceptability of the co-administration of COVID-19 vaccine with other vaccines, especially influenza vaccine.

60 APPLIED LIFE SCIENCES↗
DOE OSTI2022

SAFE-OCC: A novelty detection framework for Convolutional Neural Network sensors and its application in process control

Herein we present a novelty detection framework for Convolutional Neural Network (CNN) sensors that we call Sensor-Activated Feature Extraction One-Class Classification (SAFE-OCC). We show that this framework enables the safe use of computer vision sensors in process control architectures. Emergent control applications use CNN models to map visual data to a state signal that can be interpreted by the controller. Incorporating such sensors introduces a significant system operation vulnerability because CNN sensors can exhibit high prediction errors when exposed to novel (abnormal) visual data. Unfortunately, identifying such novelties in real-time is nontrivial. To address this issue, the SAFE-OCC framework leverages the convolutional blocks of the CNN to create an effective feature space to conduct novelty detection using a desired one-class classification technique. This approach engenders a feature space that directly corresponds to that used by the CNN sensor and avoids the need to derive an independent latent space. We demonstrate the effectiveness of SAFE-OCC via simulated control environments.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2021

Toward active disruption avoidance via real-time estimation of the safe operating region and disruption proximity in tokamaks

This paper describes a real-time capable algorithm for identifying the safe operating region around a tokamak operating point. The region is defined by a convex set of linear constraints, from which the distance of a point from a disruptive boundary can be calculated. The disruptivity of points is calculated from an empirical machine learning predictor that generates the likelihood of disruption. While the likelihood generated by such empirical models can be compared to a threshold to trigger a disruption mitigation system, the safe operating region calculation enables active optimization of the operating point to maintain a safe margin from disruptive boundaries. The proposed algorithm is tested using a random forest disruption predictor fit on data from DIII-D. The safe operating region identification algorithm is applied to historical data from DIII-D showing the evolution of disruptive boundaries and the potential impact of optimization of the operating point. Real-time relevant execution times are made possible by parallelizing many of the calculation steps and implementing the algorithm on a graphics processing unit. Lastly, a real-time capable algorithm for optimizing the target operating point within the identified constraints is also proposed and simulated.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2025

Safe Physics-Informed Machine Learning for Dynamics and Control

This tutorial paper focuses on safe physics-informed machine learning in the context of dynamics and control, providing a comprehensive overview of how to integrate physical models and safety guarantees. As machine learning techniques enhance the modeling and control of complex dynamical systems, ensuring safety and stability remains a critical challenge, especially in safety-critical applications like autonomous vehicles, robotics, medical decision-making, and energy systems. We explore various approaches for embedding and ensuring safety constraints, including structural priors, Lyapunov and Control Barrier Functions, predictive control, projections, and robust optimization techniques. Additionally, we delve into methods for uncertainty quantification and safety verification, including reachability analysis and neural network verification tools, which help validate that control policies remain within safe operating bounds even in uncertain environments. The paper includes illustrative examples demonstrating the implementation aspects of safe learning frameworks that combine the strengths of data-driven approaches with the rigor of physical principles, offering a path toward the safe control of complex dynamical systems.

Drgona, Jan↗
DOE OSTI2022

Leveraging SETS resilience capabilities for safe-to-fail infrastructure under climate change

As the rehabilitation of infrastructure is outpaced by changes in the profile, frequency, and intensity of extreme weather events, infrastructure’s service disruptions and failures become increasingly likely. Safe-to-fail approaches for infrastructure planning and design improve the capacity of cities to adapt for uncertain climate futures by identifying social, ecological, and technological systems (SETS) capabilities to prepare for potential failure scenarios. In this work, we argue for transforming infrastructure planning and design to effectively utilize safe-to-fail approaches by navigating the opportunities and trade-offs of SETS resilience capabilities. From a technological vantage point, traditional infrastructure planning approaches account for social and ecological domains as external design conditions rather than embedded system characteristics. Safe-to-fail approaches directly challenge the isolation of the technological domain by necessitating a recognition that SETS domains are interconnected and interdependent in infrastructure systems, as such risks and system capabilities for resilience must be managed cohesively.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2020

Multi-Agent Safe Policy Learning for Power Management of Networked Microgrids

This paper presents a supervised multi-agent safe policy learning (SMAS-PL) method for optimal power management of networked microgrids (MGs) in distribution systems. While unconstrained reinforcement learning (RL) algorithms are black-box decision models that could fail to satisfy grid operational constraints, our proposed method considers AC power flow equations and other operational limits. Accordingly, the training process employs the gradient information of operational constraints to ensure that the optimal control policy functions generate safe and feasible decisions. Furthermore, we have developed a distributed consensus-based optimization approach to train the agents’ policy functions while maintaining MGs’ privacy and data ownership boundaries. After training, the learned optimal policy functions can be safely used by the MGs to dispatch their local resources, without the need to solve a complex optimization problem from scratch. Lastly, numerical experiments have been devised to verify the performance of the proposed method.

, policy gradient↗
DOE OSTI2022

Fast charging of Li-ion cells: Effect of separator membranes and mapping of “safe lines” to avoid Li plating

An experimental method is introduced that uses microprobe Li/Cu reference electrodes to map "safe" charging regimes to avoid Li metal plating on graphite anodes at rates to 8C. With this method, a Li-ion cell closely approaches the Li plating condition but avoids descending into this regime. This "safe" approach is used to demonstrate effects of the microporous separator on Li plating in cells consisting of a layered nickel-manganese -cobalt oxide cathode and graphite anode. We argue that most of the difference in behaviors for different separators arises from time delayed Li + ion percolation through the membrane. In conclusion, our study suggests that explicitly treating kinetics of phase transitions in the lithiated graphite anode is essential for electrochemical models predicting "safe" lines for fast charging cells.

25 ENERGY STORAGE↗
DOE OSTI2024

Infrared-safe energy weighting does not guarantee small nonperturbative effects

Infrared and collinear (IRC) safety has long been used a proxy for robustness when developing new jet substructure observables. This guiding philosophy has been carried into the deep learning era, where IRC-safe neural networks have been used for many jet studies. For graph-based neural networks, the most straightforward way to achieve IRC safety is to weight particle inputs by their energies. However, energy-weighting by itself does not guarantee that perturbative calculations of machine-learned observables will enjoy small nonperturbative corrections. Here, in this paper, we demonstrate the sensitivity of IRC-safe networks to nonperturbative effects, by training an energy flow network (EFN) to maximize its sensitivity to hadronization. We then show how to construct Lipschitz energy flow networks (L-EFNs), which are both IRC safe and relatively insensitive to nonperturbative corrections. We demonstrate the performance of L-EFNs on generated samples of quark and gluon jets, and showcase fascinating differences between the learned latent representations of EFNs and L-EFNs.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2024

Optimal Management of Grid-Interactive Efficient Buildings via Safe Reinforcement Learning

Reinforcement learning (RL)-based methods have achieved significant success in managing grid-interactive efficient buildings (GEBs). However, RL does not carry intrinsic guarantees of constraint satisfaction, which may lead to severe safety consequences. Besides, in GEB control applications, most existing safe RL approaches rely only on the regularisation parameters in neural networks or penalty of rewards, which often encounter challenges with parameter tuning and lead to catastrophic constraint violations. To provide enforced safety guarantees in controlling GEBs, this paper designs a physics-inspired safe RL method whose decision-making is enhanced through safe interaction with the environment. Different energy resources in GEBs are optimally managed to minimize energy costs and maximize customer comfort. The proposed approach can achieve strict constraint guarantees based on prior knowledge of a set of developed hard steady-state rules. Simulations on the optimal management of GEBs, including heating, ventilation, and air conditioning (HVAC), solar photovoltaics, and energy storage systems, demonstrate the effectiveness of the proposed approach.

Huo, Xiang↗