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DOE OSTI2026

SuperLab 2.0 Showcase: Connecting Five Labs to Tackle Grid Complexity and Unlock Unique Grid Asset Potential

SuperLab 2.0 (5-Lab Demo) is a collaborative, national-scale experiment showcasing the coordination of geographically distributed energy assets in real time. The demonstration integrates 25 physical and digital assets, spanning wind, PV, batteries, electrolyzers, DC fast chargers, microgrid controllers, building automation systems, small modular reactor (SMR), control centers, and gas turbines, across five DOE national laboratories-NLR, INL, NETL, LBNL, and SNL. These assets are unified using Energy Sciences Network (ESnet), a low-latency, high-performance U.S. Department of Energy's (DOE) network, and controlled via a centralized energy controller hosted at NLR's ARIES facility. The demonstration validates the ability to stress-test hybrid energy systems under dynamic scenarios to de-risk advanced control strategies for greater resilience and flexibility. SuperLab 2.0 (5-Lab Demo) showcased a major advancement in federated national laboratory collaboration, enabling real-time, cross-laboratory experimentation to coordinate geographically dispersed distributed energy resources (DERs) using various communication protocols and networks. SuperLab 2.0 (5-Lab Demo) built on previous demonstrations conducted between NLR-PNNL and NLR-INL connecting diverse assets including distant protection devices, a SMR simulator, and a high temperature electrolyzer (HTE). Previous demos were based on a single connection between two labs with minimal coordination challenges. The 5-Lab demo with a centralized controller, distributed testbeds across different geographical locations, and use of protocols-based communication represents a scenario closer to real-world grid operations that coordinate resources across a region to meet system needs. This experiment studied how local DER controllers interact with a centralized energy controller during normal and abnormal events to maintain reliability. The SuperLab team across the five labs implemented a notional power system model equivalent of transmission and distribution lines, represented by the data networks interconnecting the labs. Each lab continuously exchanged local parameters (such as P and Q) from its Hardware-In-Loop (CHIL) and Power Hardware-In-Loop (PHIL) assets through centralized energy controller at NLR, enabling real-time interaction and coordination across sites. By leveraging ESnet as the communication backbone, the team successfully operated the distributed assets as a unified power system, with each bus represented by a different laboratory. This setup mirrors how assets interact in real-world power systems across dispersed locations with various protocols and latencies. At each lab site, assets were operated using their own local controllers which were coordinated through an overarching operation and control layer of centralized energy controller, equivalent to how an energy management system (EMS) orchestrates assets across a regional or national grid. SuperLab's federated connectivity utilized a Digital Real-Time Simulators (DRTS)-type gateway to connect Controller Hardware-In-Loop (CHIL) and PHIL assets between labs. To enable this federated connection through ESnet, a deterministic network was established where latency variations were consistent. This consistency allowed the development of digital filters for the power system assets across CHIL and PHIL interfaces to avoid unstable and unreliable grid conditions. This report provides an overview of the cross-laboratory configuration and offers insights into interconnecting geographically distributed research assets to test them as if they were co-located. This experiment represents a step toward linking nine DOE national laboratories, enabling nation-wide simulations that can address utility-driven challenges with grid resilience, flexibility, and modernization.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2020

An Authentication Vulnerability Assessment of Connected Lighting Systems

Emerging connected lighting systems (CLS) that incorporate distributed intelligence, network interfaces, and sensors can become data-collection platforms that enable a wide range of valuable new capabilities as well as greater energy savings in buildings and cities. However, CLS technology is currently at an early stage of development, and its increased connectivity introduces cybersecurity risks that are new to the lighting industry and that must be addressed for successful integration with other systems. While a number of existing frameworks, guidelines, and tests for evaluating cybersecurity vulnerability may apply to CLS in whole or in part, there is currently no mandatory requirement for cybersecurity testing or certification. The lighting industry, including technology developers and specification organizations, is currently evaluating the suitability of existing frameworks and guidelines for CLS. To support these efforts, Pacific Northwest National Laboratory (PNNL) is conducting a series of studies intended to educate lighting industry stakeholders on specific cybersecurity practices and characterize their implementation in commercially available CLS with varying system architectures, network-communication technologies, and degrees of maturity. This study demonstrates that tests for authentication vulnerabilities can be developed with objective pass/fail criteria, therby facilitating comparisons between CLS. Based on the limited results of this study, it appears that the CLS that are being brought to market have varying levels of authentication vulnerability. It is hoped that these evaluations will support and perhaps accelerate industry discussions on the risks of specific security vulnerabilities, what vulnerabilities should be addressed by in-development of future lighting-specific best practices, and whether any such practices should be included in voluntary lighting standards.

42 ENGINEERING↗
DOE OSTI2025

Grid Resiliency using Hydro-based Microgrids During Wildfires

The primary objective of this project is to assess the techno-economic viability of hydropower resources with supplementary investments, including microgrid controllers, storage solutions, load banks, additional generation like diesel generators, communication links, and transmission infrastructure. The aim is to enable these systems to operate autonomously (in islanded mode) and ensure grid resiliency during and after wildfire events. The project seeks to establish a comprehensive framework for setting up hydropower-based microgrids, from risk estimation to final investment decisions. These microgrids can provide critical support during emergencies and offer additional grid stability and revenue opportunities during regular operations and other system contingencies.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2020

National-Tribal Critical Infrastructure Protection: Collaboration for Extraordinary National Security Benefit

This paper examines national and tribal collaborative opportunities to get ahead of the critical infrastructure insecurity problem. Recommendations are viewed through the lens of the Sandia Labs Tribal Cyber-Energy initiative and national security projects. Recommendations include 1) Collaboratively address national priority and shared challenges to gain faster and better solutions to national priority problems on a smaller yet comprehensive American Indian and Alaskan Native sovereign single-point of authority scale 2) Utilize newer standards-based technologies to provide scalable, capable, and manageable solutions for greatly expanded and connected national critical infrastructures 3) Employ Cyber-Physical-Resilient design preliminary analysis to define concept- to-disposition design requirements for preemptive critical infrastructure risk mitigation and baked-in security; 4) Develop data-centric protection to provide increased information asset protection as data shifts from data-owner operated on-premises infrastructure to virtual service provider data-steward owned and operated off-premises infrastructure; and 5) Balance shared solutions with the National Institute of Science and Technology (NIST) Cybersecurity and Risk Management frameworks, and the System Security Engineering Guidelines. As yet unallocated federal funding would support research, development, the timely application of National-Tribal critical infrastructure protection, and critical infrastructure Cyber disruption response and recovery with extraordinary mutual benefits for the foreseeable future. The Critical Infrastructure Insecurity Problem: Rapid modernization and expansive connectivity are due to advances in Information and Communications Technologies that have sweeping cyber impact across all critical infrastructure sectors. Supervisory Control and Data Acquisition and Industrial Control Systems are particularly impacted as systems long separated from the Internet are now being connected and computerized. Virtualization and mobility create a Data Everywhere-User Anywhere paradigm that has evaporated the enterprise network perimeter. There are multi-front technological challenges at play, where long depended on technologies simply don't scale to current needs resulting in a digital dichotomy of competing old and new standards. New standards-based technologies scale but are not as well-known or as widely deployed, which leaves decision makers, stakeholders, and the workforce in a quandary, caught mid-stream between the technological past and the virtual future. Rapid and expansive cyber threat accompanies disruptive change in connectivity and computational dependencies. A lack of action will exacerbate the problem if new technologies roll out without baked-in security design. The Risk: If National-Tribal CIP collaboration to design in security is not done, then an ongoing state of insufficient bolt-on security and elevated threat exposure will remain for years to come.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2021

Experimental Plan for the Vermiculite Study

Homes in which vermiculite, which can contain asbestos, is present are often deferred under the DOE Weatherization Assistance Program (WAP) because of uncertainty in how to safely weatherize such homes from a client and worker perspective and the potential costs associated with alternative approaches. Recognizing this situation, the Department of Energy (DOE) tasked the Oak Ridge National Laboratory (ORNL) to perform a research project that scientifically identifies the asbestos exposure risks in weatherizing homes with existing vermiculite insulation. Current approaches being used by Grantees and Subgrantees to weatherize homes with existing vermiculite insulation were identified as part of the development of this experimental plan based on a review of Grantee Health and Safety Plans and communications with weatherization program staff from seven states. Other than deferral, these approaches include the following:1.) Abating (i.e., removing) the existing vermiculite using funding sources other than WAP (e.g., state funds, utility funds, the Zonolite Attic Insulation Trust Fund, and possibly homeowner contributions) because abatement is not allowed using WAP funds per Weatherization Program Notice (WPN) 17-7. 2.) Weatherizing the house as normal after testing reveals that the vermiculite contains less than 1% asbestos. 3.) Avoiding areas of the house where vermiculite is installed and weatherizing the remaining areas of the house as normal. 4.) Encapsulating the existing vermiculite insulation in an attic by blowing cellulose or other insulation over it. 5.) Weatherizing the areas of the house where vermiculite is installed using unique/alternative approaches developed specifically for that house. Blower door testing is also impacted by the presence of vermiculite due to the concern of bringing asbestos fibers into the space. Some states address this by performing pressurized blower door tests, whereas other states prohibit blower door testing entirely when vermiculite is present. This research project will focus on gathering data on home occupant and weatherization worker exposures to asbestos before, during, and/or after the weatherization of the homes containing vermiculite insulation using five of the six approaches identified above. Abatement of the existing vermiculite insulation will not be studied because it is not allowed using WAP funding per WPN 17-7 and, thus, is not a sustainable approach for WAP.

36 MATERIALS SCIENCE↗
DOE OSTI2020

2020 State of the Science Report, Chapter 4: Risk to Marine Animals from Underwater Noise Generated by Marine Renewable Energy Devices

In all ocean environments, desirable locations for wave and tidal energy development have multiple natural sources of sound (e.g., waves, wind, and sediment transport), varying levels of anthropogenic and biological noise, and measurement quality challenges (e.g., flow-noise, self-noise). Many marine animals rely on sound for biological functions, including communication, social interaction, orientation, foraging, and evasion. The extent to which marine animals detect and produce sound varies by frequency (spanning roughly four decades from 10 Hz to 100 kHz) and is taxa-specific. Because of the relatively limited data available, hearing sensitivity is often generalized to taxonomic groups (e.g., cetaceans that have low-frequency hearing specialization). https://tethys.pnnl.gov/publications/state-of-the-science-2020-chapter-4-underwater-noise

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Hardware-in-the-Loop Evaluation for Potential High Limit Estimation-Based PV Plant Active Control

This paper validates the efficacy of an artificial intelligence (AI)-based photovoltaic (PV) plant control and optimization approach in enabling PV plants as accountable grid reliability service providers. The validation is performed in a realistic laboratory controller-hardware-in-the-loop environment, leveraging accurate PV plant modeling and standard industrial communication protocols. Through simulations that account for diverse weather conditions and active control scenarios, the results highlight the superior performance of the AI-based solution in comparison to a state-of-the-art reference-control grouping-based approach. Such a finding contributes to mitigating the risk of overcurtailment and uninstructed deviations of active PV plant controls, and offers practical guidance for its field deployment. Furthermore, it establishes a standardized testing framework for comparing various PV active control strategies.

hardware-in-the-loop↗
DOE OSTI2022

Intelligent Process Visualization through Nuclear Operation Process Modeling, Reasoning, and Object Detection from Field Videos (Final Report)

This report is a deliverable for the “Final Report” task of DOE NEET Project 19-16790, "Context-Aware Safety Information Display for Nuclear Field Workers." This project's overall goal is to test the hypothesis that integrating computer vision and process reasoning methods will enable proactive visualization of the safe operation and maintenance processes of Nuclear Power Plants (NPP) for field workers. Augmented Reality (AR) glasses adopting such proactive safety information visualization techniques can significantly increase personnel safety and reduce the NPP’s operating costs. The current practice of monitoring NPPs requires workers to switch between digital models, data, and physical workspaces in identifying relevant but potentially occluded objects and in assessing the risks of operation and maintenance processes. On the other hand, frequently changed field conditions require field workers to report to supervisors for real-time guidance. Such guidance is essential to ensure that changing conditions will not invalidate or endanger the work order and other ongoing processes that may jeopardize NPP operations. Additionally, incorrect recognition of equipment objects can result in communication errors and safety problems. AR techniques can assist engineers in viewing the physical workspaces with objects labeled with detailed operation procedures and safety reminders during field operations. The project team developed an “Intelligent Context-Aware Safety Information Display” (ICAD) for supporting Nuclear Power Plant (NPP) field workers in achieving safe and efficient execution of a series of operational tasks in uncertain and changing workspaces of an NPP. Before designing the ICAD-AR prototype, the project team synthesized NPP operational knowledge models through literature review studies, surveys, interviews with domain experts, and knowledge modeling. The project team conducted an extensive study of the operational procedures of various NPPs, and digital technologies that can support the safe and efficient execution of those procedures in different NPP operational contexts. This literature review helped the project team conduct surveys and interviews with nuclear engineers and field workers to identify three categories of information. The NPP knowledge modeling efforts reveal that the three categories of information identified have different levels of importance in a typical procedure of carrying out a series of tasks to achieve a specific NPP operation goal (e.g., shutdown, mode changes). These three categories of information include 1) Workspace dynamics – the changing spatial arrangements of workspaces, tools, protection equipment, and supporting materials, 2) Workflow prognostics – the dynamic dependencies between different parts of an NPP that functionally support and influence each other in terms of safety and efficiency, and 3) Hazards – objects and spaces that contain hazardous materials or physical conditions that can pose risks to workers or mechanical systems. The project team has profiled the importance levels of these categories of information into a knowledge model. This knowledge model specifies what types of information are more critical for a given task in a given workspace so that computers can automatically identify critical objects and sensors in a scene for delivering context-ware safety information to field workers through AR devices. Significant research development of this project results in technical research outcomes and a prototyping system that illustrates the technical feasibility of establishing an ICAD-AR system supporting the proactive safety information display for nuclear field workers. This final report summarizes the project team’s technological achievements in the past three years. Overall, the project team completed the development and integration of five techniques into a prototype ICAD Augmented Reality (ICAD-AR) system and demonstrated the developed system’s real-time execution in a mechanical room. The project team completed the analysis of using this prototype in other types of workspaces based on 3D image data and digital design models collected from two additional workspaces (a water treatment plant and a flow loop training facility). The integrated techniques include 1) Natural Language Processing (NLP) algorithms supporting the generation and updates of nuclear fieldwork process models based on text analysis of work packages and operation manuals; 2) sensor log analysis for predicting control actions in given sensor reading contexts; 3) computer vision algorithms for automatic localization and navigation of workers; 4) object detection algorithms for identifying task-related objects and correlated sensors for safety checking; 5) AR technique as a platform for supporting the integration. The testing results of these five techniques have shown that 1) the sensor log analysis model can predict the next control action with an accuracy of 0.883; 2) the trained natural language processing model can extract more than 80% of the critical information from paper-based procedures (PBPs); 3) the navigation algorithm with the integration of Visual Inertial Odometry (VIO) and Non-Recursive Bayesian Filter methods make operator’s trajectory estimation resilient to drift error; 4) the computer vision algorithm can detect task-specific and safety-critical objects with an average accuracy of 95.3%. The project team used work procedures collected from a flow loop training facility and two datasets collected from two mechanical rooms simulating the workspaces of NPPs to demonstrate the technical capabilities of the developed ICAD-AR prototype. The demonstration validated the technical feasibility of establishing the ICAD-AR system for nuclear field workers and identified the challenges in 1) automatic text analysis of work packages; 2) use of limited samples of sensor logs for predicting the proper timings of control actions; 3) reliably tracking workers and their task progress in mechanical rooms with many similar objects.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2022

A Project Lifetime Approach to the Management of Induced Seismicity Risk at Geologic Carbon Storage Sites

The geologic storage of carbon dioxide (CO 2 ) is one method that can help reduce atmospheric CO 2 by sequestering it into the subsurface. Large-scale deployment of geologic carbon storage, however, may be accompanied by induced seismicity. We present a project lifetime approach to address the induced seismicity risk at these geologic storage sites. This approach encompasses both technical and nontechnical stakeholder issues related to induced seismicity and spans the time period from the initial consideration phase to postclosure. These recommendations are envisioned to serve as general guidelines, setting expectations for operators, regulators, and the public. They contain a set of seven actionable focus areas, the purpose of which are to deal proactively with induced seismicity issues. Although each geologic carbon storage site will be unique and will require a custom approach, these general best practice recommendations can be used as a starting point to any site-specific plan for how to systematically evaluate, communicate about, and mitigate induced seismicity at a particular reservoir.

58 GEOSCIENCES↗
DOE OSTI2023

Developing energy flexibility in clusters of buildings: A critical analysis of barriers from planning to operation

This paper examines building energy flexibility at an aggregated level and addresses the main barriers and research gaps for the development of this resource across three design and development phases: market and policy, early planning and design, and operation. We review methodologies and tools and discuss barriers, challenges, and opportunities, incorporating policy, economic, technical, professional, and social perspectives. Although various legal and regulatory frameworks exist to foster the development of energy flexibility for small buildings, financing mechanisms are limited with a significant number of perceived risks undermining private investment. For the early planning and design phase, planners and designers lack appropriate tools and face interoperability challenges, which often results in insufficient consideration of demand response programs. The review of the operational phase highlighted the socio-technical challenges related to both the complexity of deployment and communication, as well as privacy and acceptability issues. Finally, the paper proposes a number of targeted research directions to address challenges and promote greater energy flexibility deployments, including capturing building demand side dynamics, improving baseline estimations and developing seamless connectivity between buildings and districts.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2020

Biology of extracellular vesicles secreted from senescent cells as senescence‐associated secretory phenotype factors

The increase of the morbidity rate in age‐related diseases, such as cancer, Alzheimer’s disease, arteriosclerosis and pulmonary fibrosis, has become a profound social problem. Recent reports have pointed out that senescent cells accumulated in the body with aging might cause these aged‐related pathologies. Cellular senescence is known as an irreversible cell cycle arrest induced by various stresses, and can function as an important tumor suppression mechanism to exclude the premalignant cells. In contrast, senescent cells provoke the phenomenon, termed the senescence‐associated secretory phenotype, which causes the secretion of various inflammatory proteins, and it is at risk of facilitating chronic inflammation and oncogenic transformation to surrounding cells. We have previously reported that senescent cells secrete not only inflammatory proteins, but also extracellular vesicles (EV). EV include various cellular components, such as proteins, lipids and nucleic acids, which are proven to be important factors for cell‐to‐cell communication. Recent evidence suggests that EV secreted from senescent cells might contribute to tumorigenesis and age‐associated pathologies as new senescence‐associated secretory phenotype factors. In addition, we also showed that the EV secretion pathway is one of the essential defense mechanisms to maintain cellular homeostasis by excretion of intercellular toxic substances into extracellular space. Herein, this review shows the biological functions of EV secreted from senescent cells. Geriatr Gerontol Int 2020; ••: ••–•• .

Misawa, Tomoka↗
DOE OSTI2026

Georgetown University – SYSM 5630 Systems Integration Verification and Validation : Todd Noste

At Lawrence Livermore National Laboratory in the National Ignition Facility Optics Group, we use the systems engineering approach for project management and as a design tool. Systems engineering is used in a graded approach to design and project management that is based on risk, informing how much rigor to apply. The tools and techniques from systems engineering offer a framework to organize projects with everyone speaking the same language to provide consistent and repeatable project success that satisfies the stakeholders’ needs and meets the mission. The classes have provided a framework with tools for communicating system design, requirements, verification and validation, and an operational context.

42 ENGINEERING↗
DOE OSTI2022

Stochastic scheduling of generating units with weekly energy storage: A hybrid decomposition approach

We propose a solution method for the large-scale stochastic unit commitment (SUC) problem with weekly-dispatched energy storage and significant weather-dependent stochastic generating capacity. Weekly storage facilities that mostly charge during weekends and discharge during weekdays require a weekly scheduling of generating units, which result in a large-scale optimization problem. This SUC problem is formulated as a two-stage stochastic model and we use the conditional value-at-risk as a risk measure. Using a Benders framework, the proposed solution method decomposes the problem into a mixed-integer linear master problem and linear and continuous subproblems. The master problem corresponds to the first-stage decisions throughout the week and includes all the commitment (binary) variables and their corresponding constraints. The subproblems correspond to the actual dispatch of the generating units on a weekly basis. Based on the success of column-and-constraint generation algorithms to solve robust optimization problems, we improve the low communication between the master problem and the subproblems in the standard Benders decomposition by adding primal variables and constraints from the subproblems to the master problem, which provides a better approximation of the recourse function. Furthermore, our computational experiments demonstrate the effectiveness of the proposed decomposition method using an instance of the South Carolina synthetic system with 90 generating units under 40 scenarios.

25 ENERGY STORAGE↗
DOE OSTI2022

Real-Time Optimization Workflow Status Update

Economically optimal and safe operation of integrated energy systems (IES) requires optimization at many different time scales. A real-time optimization (RTO) workflow will attempt to maximize revenue and minimize operational costs on a time scale of minutes to hours. Such a workflow requires the use of a digital twin (DT), which is a virtual representation of a physical system. The DT is updated using real-time data from the physical system, and serves as a model in an optimization framework. The optimization results are then sent back to the physical system to complete the loop. This report details the progress made in developing building blocks for a DT/RTO framework. The Risk Analysis Virtual Environment (RAVEN) platform within the Framework for Optimization of Resources and Economics (FORCE) tool suite can perform many of the tasks required for building a DT and performing RTO. The first item of this report details RAVEN enhancements that enable RAVEN workflows to be run in various environments. Data communication between the physical system and its DT is essential for successful RTO. This includes preprocessing real-time data, loading data into a data warehouse, and querying the stored data. The second section of this report describes the progress made in implementing an adapter in Python in order for Deep Lynx to handle the data communication. Typical dispatch optimization frameworks are built on linear programming (LP). The prototype RTO workflow developed in this report uses an LP problem as a part of a receding-horizon- or economic model predictive control (EMPC) based optimization. The third section of this report details the framework of an RTO workflow in which the system consists of a simple electrical storage device. A DT can be built from a reduced-order model (ROM). Integrating a ROM into a typical LP optimization framework has been challenging because most optimization packages require the user to write algebraic expressions for the system model. The final section of this report shows how an externally built RAVEN ROM can be integrated in an RTO framework by using the Python package Pyomo. This demonstrates the RTO workflow capability from a software-only perspective and is an important step in demonstrating the capability to implement an RTO workflow for a physical system.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2024

Hardware-in-the-Loop Evaluation for Potential High Limit Estimation-Based PV Plant Active Control: Preprint

This paper validates the effectiveness of an Artificial Intelligence (AI)-driven PV plant control and optimization approach, namely, the Automated Learner for Intermittency Control by Extrapolation (ALICE), in empowering PV plant as a dependable grid reliability service provider. The validation is performed in a realistic laboratory controller-hardware-in-the-loop (CHIL) environment, leveraging accurate PV plant modeling and standard industrial communication protocol. Simulation results, considering both varying weather conditions and active control scenarios, demonstrate the superior performance of ALICE in improving the grid service delivery precision and reducing the over-curtailment compared to a state-of-the-art approach, i.e., reference-control grouping based approach. Such a work could help mitigate risks and provide practical guidance during the field deployment of ALICE, while establishing a standardized testing framework for evaluating various PV active control strategies.

hardware-in-the-loop↗
DOE OSTI2022

Security Architecture for Microgrid Integration

The purpose of this document is to present cyber security risk considerations and mitigations for community microgrids. The mitigations discussed herein specifically focus on cyber security technical requirements for the De-centralized Autonomous Community Controller (DAC) as part of the SECURE project’s technology development effort. These requirements also consider the associated security implementation challenges involved with the decentralized characteristics of microgrids where upstream communications to utility security management functions are lost. These security recommendations and technical requirements may be used by microgrid implementers and technology vendors to specify the security design of the microgrid systems and their components.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2023

CRITICAL FUNCTION ASSURANCE: Understanding Critical Function and Critical Function Delivery is Foundational for Meaningful ICS Security Improvement and Policy Efforts

Modern life is enabled by a complex and interdependent web of critical functions, including energy, communications, transportation, food, and water. Automation has significantly reduced or replaced human interactions in the delivery of these functions, resulting in a web of goods and services that are made available 24/7 only through unique and intentional deployments of microprocessors, software, and firmware technologies. The prospect of cyber-enabled sabotage of these processes disrupts traditional risk determination models. Critical Function Assurance (CFA) is a foundational approach to identifying, prioritizing, and mitigating the risk that is inherent in the delivery of critical functions that depend on digital technology. It provides rapid focus to what matters most and illuminates elements and areas of risk that otherwise are often overlooked. This focus enables effective application of available security resources and optimizes security strategy and policy efforts. This paper introduces CFA to decision makers and risk executives (including CEOs, COOs, CFOs, and CISOs) whose organizations support and deliver the critical functions that underpin national defense, societal health and safety, and a vibrant economy.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2023

Optimizing Information Automation Using a New Method Based on System-Theoretic Process Analysis: Tool Development and Method Evaluation

This report is an update to a prior report that describes progress and findings for a program of research supporting the design and optimization of information automation systems for nuclear power plants. Much of the domestic nuclear fleet is currently focused on modernizing technologies and processes, including transitioning toward digitalization in the control room and throughout the plant, along with a greater interest in the use of automation, artificial intelligence, robotics, and other emerging technologies. While there are significant opportunities to apply these technologies toward greater plant safety, efficiency, and overall cost-effectiveness, optimizing their design and avoiding potential safety and performance risks depends on ensuring that human performance-related organizational and technical design issues are identified and addressed early in the design process. This report describes modeling tools and techniques, based on sociotechnical systems theory, to support these design goals and their application in the current research effort. The report is primarily intended for senior nuclear energy stakeholders, including regulators, corporate management, and senior plant management. We have developed and employed a method to design an optimized information automation ecosystem (IAE) based on the systems-theoretic constructs underlying sociotechnical systems theory in general and the Systems-Theoretic Accident Modeling and Processes (STAMP) approach in particular. We argue that an IAE can be modeled as an interactive information control system whose behavior can be understood in terms of dynamic control, feedback, and communication relationships amongst the system’s technical and organizational components. We have employed two STAMP-based tools in this effort. The first is Causal Analysis based on STAMP (CAST), an accident and incident analysis technique that was used to examine a performance- and safety-related incident at an industry partner’s plant involving the unintentional activation of an emergency diesel generator. This analysis provided insight into the behavior of the plant’s current information control structure within the context of a specific, significant event. The second tool is Systems Theoretic Process Analysis (STPA) which is a proactive risk analysis tool used to examine existing and potential, planned sociotechnical systems. STPA was used to identify risk factors in the current design of a generic nuclear power plant (NPP) preventive maintenance system. Our analyses focused on identifying near-term system improvements and longer-term design requirements for an optimized IAE system. CAST analysis findings indicate an important underlying contributor to the incident under investigation, and a significant risk to information automation system performance, was perceived time and schedule pressure, which exposed weaknesses in interdepartmental coordination between and within responsible plant organizations and challenged the resilience of established plant processes, until a human caused the eventual event. These findings are discussed in terms of their risk to overall system performance and their implications for information automation system resilience and brittleness. STPA findings exposed several areas of concern in the design of current preventive maintenance systems. We also present two preliminary information automation models. The proactive issue resolution (PIR) model is a test case of an information automation concept with significant near-term potential for application and subsequent reduction in significant plant events. The IAE model is a more general representation of a broader, plantwide information automation system and represents an end-state vision for our work. From our results, we have generated an initial set of preliminary system-level requirements and safety constraints for these models. We have also focused on early development of easy to learn, easy to use “transportable” tools for sociotechnical systems analysis. We intend these to be used by NPP personnel as a means of gaining reliable and relatively quick insight into (1) sociotechnical systems factors impacting incidents and accidents, (2) potential sociotechnical risk factors in existing or planned system designs, and (3) potential weaknesses in a system’s safety and/or information control structure. We conclude the report with a set of summary recommendations, a discussion of planned and potential follow-on research and development, and a draft list of system-level requirements and safety constraints for optimized information automation systems.

99 GENERAL AND MISCELLANEOUS↗