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Common-Cause Component Group Modeling Issues in Probabilistic Risk Assess

Common cause failures (CCFs) have been recognized as significant risk contributors in probabilistic risk assessments (PRAs) for commercial nuclear power plants (NPPs) since 1980s. A series of reports including those of United States Nuclear Regulatory Commission (NRC) regulations (NUREGs) have been published from late 1980s to early 2000s to provide guidelines for performing CCF event data analysis and modeling CCF in PRA. However, there are still some issues existed in CCF modeling and CCF parameter estimations. One of such issues is the modeling of multiple common-cause component group (CCCG) for the same component in a PRA model. This paper exams the CCCG definition and the requirements from the PRA standard, investigates the CCCG modeling practices and issues existing in PRAs, and presents systematic approaches and guidelines to model CCCG in PRA properly and consistently.

99 GENERAL AND MISCELLANEOUS↗

Third-Party Supplier Risk Re-Classification Using Multi-Model Semantic Voting and External Web Augmentation

Risk decisions in many third-party risk management (TPRM) workflows rely on static inherent risk questionnaires (IRQ). These static forms provide a snapshot of the vendor from the business users’ perspective, as these requests are processed without cross-referencing for evidence. Consequently, responses can be misinformed or embellished with inaccuracies, thereby masking the vendor’s true risk to the enterprise. This paper presents a multi-stage verification framework to augment IRQs with web evidence and a deterministic ensemble of large language model assessors to reclassify risk. In a case study of 100 submissions previously misclassified as low risk, the proposed framework correctly identified 76% of the cases as high risk, while the existing workflow identified none. McNemar’s continuity corrected statistics of 74 were obtained with a two sided p-value of 2.65 × 10-23, indicating a significantly more effective workflow compared to the legacy model.

99 - GENERAL AND MISCELLANEOUS↗

Lung cancer mortality among construction workers: implications for early detection

Objectives This study examined predictors of lung cancer mortality, beyond age and smoking, among construction workers employed at US Department of Energy (DOE) sites to better define eligibility for low-dose CT (LDCT) lung cancer screening. Methods Predictive models were based on 17 069 workers and 352 lung cancer deaths. Risk factors included age, gender, race/ethnicity, cigarette smoking, years of trade or DOE work, body mass index (BMI), chest X-ray results, spirometry results, respiratory symptoms, beryllium sensitisation and personal history of cancer. Competing risk Cox models were used to obtain HRs and to predict 5-year risks. Results Factors beyond age and smoking included in the final predictive model were chest X-ray changes, abnormal lung function, chronic obstructive pulmonary disease (COPD), respiratory symptoms, BMI, personal history of cancer and having worked 5 or more years at a DOE site or in construction. Risk-based LDCT eligibility demonstrated improved sensitivity, specificity and positive predictive value compared with current US Preventive Services Task Force guidelines. The risk of lung cancer death from 5 years of work in the construction industry or at a DOE site was comparable with the risk from a personal cancer history, a family history of cancer or a diagnosis of COPD. LDCT eligibility criteria used for DOE construction workers, which includes factors beyond age and smoking, identified 86% of participants who eventually would die from lung cancer compared with 51% based on age and smoking alone. Conclusions Results support inclusion of risk from occupational exposures and non-malignant respiratory clinical findings in LDCT clinical guidelines.

Public, Environmental & Occupational Health↗

System risk quantification and decision making support using functional modeling and dynamic Bayesian network

Risk-informed decision-making requires a probabilistic assessment of the likelihood of success of control action, given the system status. This paper presents a systematic state transition modeling approach integrating dynamic probabilistic risk assessment with a decision-making process using a dynamic Bayesian network (DBN) coupled with functional modeling. A functional model designed with multilevel flow modeling (MFM) technique was used to build a system state structure inferred by energy, mass, and information flow so that one can verify the developed model with respect to system functionality. The MFM model represents the causal relationship among the nodes, which captures the structure of process parameters and control units. Each node may have multiple possible states, and the DBN structured by the MFM model represents the time-domain transitions among the defined states. Furthermore, the MFM-DBN integrated state transition modeling is a white-box approach that allows one to draw the system's risk profile by updating the system states and supports the decisions probabilistically with physical inference. An example of a simple heating system has been used to illustrate this process, including decision-making support based on quantitative risk profile. For demonstrating its applicability to a complex system operational decision making, a case study of station blackout accident scenario leading to the seal loss of coolant accident in a nuclear power plant is presented. The proposed approach effectively provided the risk profile along time for each option so that the operators can make the best decision, which minimizes the plant risk.

42 ENGINEERING↗

Risk Importance Ranking of Fire Data Parameters to Enhance Fire PRA Model Realism

Fire is historically and analytically a significant contributor to nuclear power plant risk. The level of fire risk and the methods, tools and data for modeling this risk is highly debated by experts. One area of debate is the input data used in fire modeling and how to deal with this data’s high uncertainty. This report outlines initial work performed for determining the key parameters causing this uncertainty and how it propagates into nuclear power plant models. This research paves the way for the development of methods to reduce fire data uncertainty used in modeling. The Nuclear Regulatory Commission has mandated that nuclear power plants perform fire risk modeling. However, there are several issues with the current risk modeling implementation that affect the results. Approved modeling methods can be overly conservative and often do not match plant experience. Also, the data used in the modeling can have high uncertainties and is influenced by expert judgement. To evaluate input data uncertainty, researchers performed an initial review of several fire experiments done at Sandia National Laboratories. Uncertainties for fire data can come from many sources, such as experiment design constraints, environmental conditions, or other plant-specific aspects. There are many different significant and insignificant parameters driving the uncertainty. Additionally, the uncertainty of the different input data used in the fire modeling could have a significant or insignificant effect on the entire plant risk. A four-step methodology was developed to perform Integrated Probabilistic Risk Assessment Importance Ranking. A demonstration case using these steps was set up and three of the four steps were completed in fiscal year (FY) 2019 and the fourth step done FY 2020. These steps are: 1. The qualitative analysis of potential sources was conducted with the following items identified for the demonstration. • Maximum heat release rate • Time to maximum heat release rate • Duration of max heat release rate • Time to decay • Thermal conductivity of concrete • Specific heat of concrete • Density of concrete • Cable jacket thickness 2. A quantitative characterization of dominant sources of uncertainty was performed. A list of distributions and determined values of the dominant sources is shown in Appendix A. 3. A quantitative screening of the potential sources of uncertainty using Morris Elementary Effects Analysis was completed. An experimental model using the physics-based fire modeling tool Fire Dynamics Simulator was developed and coupled with the Risk Analysis Virtual Environment. The Morris analysis identified at least two parameters that can be eliminated as significant contributors (specific heat of concrete and cable jacket thickness). 4. Global importance measure (Global IM) analysis to generate a comprehensive ranking based on their influence on the plant risk. In this research, a moment-independent Global IM is used since it can address (a) uncertainty in the input parameters of the fire model, (b) uncertainty in the risk outputs, and (c) non-linearity and interactions among input parameters in the fire model, more accurately than the correlation-based and variance-based global methods. The observations from the research showed that, depending on the initial and boundary conditions of the fire scenarios, fire-induced damage could have a very small probability and could be dominated by the tail of the uncertainty distribution; hence, the accuracy of the correlation-based and variance-based methods is questionable. The moment-independent Global IM analysis in this research provides a better understanding of how experimental uncertainty data affects industry’s plant models and where improvements in that data will have the largest benefit for improving fire modeling accuracy in causing core damage. Among the five unscreened parameters obtained from the Morris EE analysis, the Global IM analysis results for the case study indicated that max heat release rate and fire location are the most important parameters. The report also outlines benefits of using a unified computational platform that integrates the underlying simulations (e.g., a fire progression model), quantitative screening (using the Morris EE method), and the Global IM analysis. A unified platform can (i) facilitate the ranking of input parameters considering multiple key fire scenarios simultaneously, rather than considering one scenario at a time, (ii) contribute to more explicit and accurate treatment of dependencies at multiple levels of Fire PRA, (iii) facilitate the sampling-based uncertainty quantification for Fire PRA, and (iv) help generating both “industry-wide” and "plant-specific" ranking of uncertainty sources in Fire PRA. Future research should be done to include additional parameters such as detection/suppression or cable fire spread. Adding a PRA software such as SAPHIRE to the RAVEN platform would help with plant model integration and improve treatment of fire-induced dependency. The I-PRA risk importance ranking methodology offered in this report can provide valuable information for efficiently (a) enhancing the realism of Fire PRA for existing plants and (b) supporting the development of Dynamic Fire PRA for advanced reactors and new plants.

97 MATHEMATICS AND COMPUTING↗

Development and Application of a Data-Driven Methodology for Validation of Risk-Informed Safety Margin Characterization Models

The document is the Final Technical Progress Report for the Nuclear Energy University Program’s Integrated Research Project (IRP) on “Development and Application of a Data-Driven Methodology for Validation of Risk-Informed Safety Margin Characterization Models” that supports the LWR Sustainability Program’s RISMC R&D Pathway. The project goal is to develop and demonstrate a data-driven methodology for validation of advanced computer models used in nuclear power plant safety analysis. Specifically, the advanced computer models are those in the toolkit developed to support risk-informed safety margin characterization (RISMC), an integrated deterministic/probabilistic safety analysis methodology developed in the Department of Energy’s Light Water Reactor Sustainability (LWR-S) program. The report reflects the progress made towards the project’s stated goal by contributions by researchers and graduate students from universities, with support from researchers from national laboratories and industry companies. The project organization, effort coordination and technical implementation are summarized, followed by discussion of main findings, issues, and path forward. Selected chapters provide a more detailed description of tasks, approaches and respective findings and recommendations. Noteworthy are contributions that serve as guidelines for methodology development. It is also noted that this report is complemented by other milestone reports (as stand-alone deliverables) that provide detailed discussion of the technical developments. The project results have been documented in a number (12) dissertations and these, 50+ peer-reviewed publications in technical journals and conference proceedings.

42 ENGINEERING↗

AI-powered topic modeling: comparing LDA and BERTopic in analyzing opioid-related cardiovascular risks in women

Topic modeling is a crucial technique in natural language processing (NLP), enabling the extraction of latent themes from large text corpora. Traditional topic modeling, such as Latent Dirichlet Allocation (LDA), faces limitations in capturing the semantic relationships in the text document although it has been widely applied in text mining. BERTopic, created in 2022, leveraged advances in deep learning and can capture the contextual relationships between words. In this work, we integrated Artificial Intelligence (AI) modules to LDA and BERTopic and provided a comprehensive comparison on the analysis of prescription opioid-related cardiovascular risks in women. Opioid use can increase the risk of cardiovascular problems in women such as arrhythmia, hypotension etc. 1,837 abstracts were retrieved and downloaded from PubMed as of April 2024 using three Medical Subject Headings (MeSH) words: “opioid,” “cardiovascular,” and “women.” Machine Learning of Language Toolkit (MALLET) was employed for the implementation of LDA. BioBERT was used for document embedding in BERTopic. Eighteen was selected as the optimal topic number for MALLET and 23 for BERTopic. ChatGPT-4-Turbo was integrated to interpret and compare the results. The short descriptions created by ChatGPT for each topic from LDA and BERTopic were highly correlated, and the performance accuracies of LDA and BERTopic were similar as determined by expert manual reviews of the abstracts grouped by their predominant topics. The results of the t-SNE (t-distributed Stochastic Neighbor Embedding) plots showed that the clusters created from BERTopic were more compact and well-separated, representing improved coherence and distinctiveness between the topics. Our findings indicated that AI algorithms could augment both traditional and contemporary topic modeling techniques. In addition, BERTopic has the connection port for ChatGPT-4-Turbo or other large language models in its algorithm for automatic interpretation, while with LDA interpretation must be manually, and needs special procedures for data pre-processing and stop words exclusion. Therefore, while LDA remains valuable for large-scale text analysis with resource constraints, AI-assisted BERTopic offers significant advantages in providing the enhanced interpretability and the improved semantic coherence for extracting valuable insights from textual data.

Research & Experimental Medicine↗

Feasibility Study of Developing Alternative Common-Cause Failure Model for Event Assessment

This report is a revision of the original report, INL/LTD-14-33376. The original report, which was a limited distribution to the Nuclear Regulatory Commission (NRC) only and not available to the public, was revised as this report for public distribution. The report presents the feasibility study of alternative common-cause failure (CCF) models that could be used for event assessment in the Standardized Plant Analysis Risk (SPAR) models. The current CCF model used by the SPAR models is the alpha factor model. The proposed alternative CCF models are the partial alpha factor model and general dependency model. These alternative CCF models are reviewed and compared to the current alpha factor model, with the partial alpha factor model being identified as the preferred CCF model that could be used for event assessment in the SPAR models.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Impacts of Suppressing Excessive Light Rain on Aerosol Radiative Effects and Health Risks

Global climate models (GCMs) have been used widely to study radiative forcing and health risks of aerosols. A recent study using two GCMs found that light rain plays a dominant role in controlling aerosol loading. However, “too much light rain and too little heavy rain” is a longstanding bias in GCMs. It is unclear how much light rain affects aerosol-cloud-radiation interactions and health risks from air pollution. Here, in this work, we show that, with the correction of the rainfall intensity spectrum in the National Center for Atmospheric Research Community Atmosphere Model version 5.3 by introducing a stochastic deep convection scheme, the reduced frequency of light rain (1–20 mm d -1 ) results in changes of aerosol direct radiative effects (DRE) of up to -0.5 ± 0.03 W/m 2 and aerosol cloud radiative effects (CRE) of up to -0.9 ± 0.03 W/m 2 . The total (CRE + DRE) radiative effects of light rain-mediated aerosol changes exceed the present-day anthropogenic forcing of aerosols relative to preindustrial levels from the Coupled Model Intercomparison Project (CMIP5&6) models. However, the correction of the rainfall intensity spectrum has little effect on anthropogenic aerosol forcing (defined as the radiative perturbation due to changes in aerosol concentrations between the industrial era and preindustrial levels). Due to increased exposure to fine particulates (PM 2.5 ), the estimated global total premature mortality is much higher than previously estimated, by 300,000 ± 60,000 deaths per year, and is more severe in populous regions such as India and China. The findings in this study highlight the need to understand uncertainties in radiative effects and health risks of aerosols due to simulation biases of precipitation in GCMs.

54 ENVIRONMENTAL SCIENCES↗

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↗

Evaluation of Potential Impacts of Free Chlorine during Washing of Fresh-Cut Leafy Greens on Escherichia coli O157:H7 Cross-Contamination and Risk of Illness

Addition of chlorine-based antimicrobial substances to fresh-cut leafy green wash water is done to minimize microbial cross-contamination during processing. We developed the FDA Leafy Green Risk Assessment Model (FDA-LGRAM) to quantify the impact of free chlorine concentration in wash water during fresh-cut lettuce processing on the extent of water-mediated cross-contamination between shredded lettuce and the associated risk of illness due to exposure to Escherichia coli O157:H7. At different contamination prevalence and levels of E. coli O157:H7 on incoming lettuce heads, the model compared the predicted prevalence of contaminated fresh-cut lettuce packages and the risk of illness per serving between: (1) a scenario where fresh-cut lettuce was packaged without washing; and (2) scenarios involving washing fresh-cut lettuce with different levels of free chlorine (0 ppm, 5 ppm, 10 ppm, 15 ppm, and 20 ppm) prior to packaging. Our results indicate that the free chlorine level in wash water has a substantial impact on the predicted prevalence of contaminated fresh-cut lettuce packages and the risk of illness associated with E. coli O157:H7 in fresh-cut lettuce. Results showed that the required level of free chlorine that can minimize water-mediated cross-contamination and reduce the corresponding risk of illness depended on contamination prevalence and levels of E. coli O157:H7 on incoming lettuce heads. Our model also indicated that the pathogen inactivation rate in wash water via free chlorine was a key model parameter that had a significant impact on the extent of cross-contamination during washing and the predicted associated risk of illness.

59 BASIC BIOLOGICAL SCIENCES↗

Assessing climate change impacts on live fuel moisture and wildfire risk using a hydrodynamic vegetation model

Abstract. Live fuel moisture content (LFMC) plays a critical role in wildfire dynamics, but little is known about responses of LFMC to multivariate climate change, e.g., warming temperature, CO2 fertilization, and altered precipitation patterns, leading to a limited prediction ability of future wildfire risks. Here, we use a hydrodynamic demographic vegetation model to estimate LFMC dynamics of chaparral shrubs, a dominant vegetation type in fire-prone southern California. We parameterize the model based on observed shrub allometry and hydraulic traits and evaluate the model's accuracy through comparisons between observed and simulated LFMC of three plant functional types (PFTs) under current climate conditions. Moreover, we estimate the number of days per year of LFMC below 79 % (which is a critical threshold for wildfire danger rating of southern California chaparral shrubs) from 1960 to 2099 for each PFT and compare the number of days below the threshold for medium and high greenhouse gas emission scenarios (RCP4.5 and 8.5). We find that climate change could lead to more days per year (5.2 %–14.8 % increase) with LFMC below 79 % between the historical (1960–1999) and future (2080–2099) periods, implying an increase in wildfire danger for chaparral shrubs in southern California. Under the high greenhouse gas emission scenario during the dry season, we find that the future LFMC reductions mainly result from a warming temperature, which leads to 9.1 %–18.6 % reduction in LFMC. Lower precipitation in the spring leads to a 6.3 %–8.1 % reduction in LFMC. The combined impacts of warming and precipitation change on fire season length are equal to the additive impacts of warming and precipitation change individually. Our results show that the CO2 fertilization will mitigate fire risk by causing a 3.5 %–4.8 % increase in LFMC. Our results suggest that multivariate climate change could cause a significant net reduction in LFMC and thus exacerbate future wildfire danger in chaparral shrub systems.

54 ENVIRONMENTAL SCIENCES↗

Normal Tissue Complication Probability (NTCP) Prediction Model for Osteoradionecrosis of the Mandible in Patients With Head and Neck Cancer After Radiation Therapy: Large-Scale Observational Cohort

Osteoradionecrosis (ORN) of the mandible represents a severe, debilitating complication of radiation therapy (RT) for head and neck cancer (HNC). At present, no normal tissue complication probability (NTCP) models for risk of ORN exist. The aim of this study was to develop a multivariable clinical/dose-based NTCP model for the prediction of ORN any grade (ORN{sub I-IV}) and grade IV (ORN{sub IV}) after RT (±chemotherapy) in patients with HNC.

62 RADIOLOGY AND NUCLEAR MEDICINE↗

Developing Generic Prior Distributions for Common Cause Failure Alpha Factors and Causal Alpha Factors

This report is a revision of the original report, INL/LTD-17-43723. Distribution of the original report was to the Nuclear Regulatory Commission (NRC) only, and the report was not made available to the public. The original report was revised as this report for public distribution. This report presents the latest update of generic prior distributions for common cause failure (CCF) alpha factors, as well as the development of new generic prior distributions for CCF causal alpha factors. The history of CCF treatment and parameter estimations is reviewed. The existing process for developing generic prior distributions is reviewed and used to develop new priors for CCF alpha factors and causal alpha factors. For causal alpha factors, different priors are developed for the five different CCF cause groups: Component (GC), Design (GD), Environment (GE), Human (GH), and Other (GO). These generic prior distributions could be used in the Standardized Plant Analysis Risk (SPAR) models for CCF parameter estimation. The issues and preliminary thoughts regarding prior distribution development are documented. Potential future work is then proposed for improving the process of developing priors.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

DAKOTA (Design Analysis Kit for Optimization and Terascale) v.6.14

Sandia's Dakota software supports science and engineering transformation through advanced exploration of simulations. Specifically, Dakota manages and analyzes ensembles of simulations to provide broader and deeper perspective for analysts and decision makers. This enables them to: (1) enhance understanding of risk, (2) improve products, and (3) assess simulation credibility. In its simplest mode, Dakota can automate typical parameter variation studies through a generic interface to a computational model. Dakota also delivers advanced parametric analysis techniques enabling design exploration, optimization, model calibration, risk analysis, and quantification of margins and uncertainty with such models. It directly supports verification and validation activities. The algorithms implemented in Dakota aim to address challenges in performing these analyses with complex science and engineering models from desktop to high performance computers. Sandia National Laboratories is a multimission laboratory managed and operated by National Technology & Engineering Solutions of Sandia, LLC, a wholly owned subsidiary of Honeywell International Inc., for the U.S. Department of Energy’s National Nuclear Security Administration under contract DE-NA0003525 SAND2021-10468 O

Adams, BrianM.↗

DAKOTA (Design Analysis Kit for Optimization and Terascale) v.6.16

Sandia's Dakota software supports science and engineering transformation through advanced exploration of simulations. Specifically, Dakota manages and analyzes ensembles of simulations to provide broader and deeper perspective for analysts and decision makers. This enables them to: (1) enhance understanding of risk, (2) improve products, and (3) assess simulation credibility. In its simplest mode, Dakota can automate typical parameter variation studies through a generic interface to a computational model. Dakota also delivers advanced parametric analysis techniques enabling design exploration, optimization, model calibration, risk analysis, and quantification of margins and uncertainty with such models. It directly supports verification and validation activities. The algorithms implemented in Dakota aim to address challenges in performing these analyses with complex science and engineering models from desktop to high performance computers. Sandia National Laboratories is a multimission laboratory managed and operated by National Technology & Engineering Solutions of Sandia, LLC, a wholly owned subsidiary of Honeywell International Inc., for the U.S. Department of Energy’s National Nuclear Security Administration under contract DE-NA0003525 SAND2021-10468 O

Adams, BrianM.↗

Modeling household online shopping demand in the U.S.: a machine learning approach and comparative investigation between 2009 and 2017

Despite the rapid growth of online shopping and research interest in the relationship between online and in-store shopping, national-level modeling and investigation of the demand for online shopping with a prediction focus remain limited in the literature. Here, this paper differs from prior work and leverages two recent releases of the U.S. National Household Travel Survey (NHTS) data for 2009 and 2017 to develop machine learning (ML) models, specifically gradient boosting machine (GBM), for predicting household-level online shopping purchases. The NHTS data allow for not only conducting nationwide investigation but also at the level of households, which is more appropriate than at the individual level given the connected consumption and shopping needs of members in a household. We follow a systematic procedure for model development including employing Recursive Feature Elimination algorithm to select input variables (features) in order to reduce the risk of model overfitting and increase model explainability. Among several ML models, GBM is found to yield the best prediction accuracy. Extensive post-modeling investigation is conducted in a comparative manner between 2009 and 2017, including quantifying the importance of each input variable in predicting online shopping demand, and characterizing value-dependent relationships between demand and the input variables. In doing so, two latest advances in machine learning techniques, namely Shapley value-based feature importance and Accumulated Local Effects plots, are adopted to overcome inherent drawbacks of the popular techniques in current ML modeling. The modeling and investigation are performed at the national level, with a number of findings obtained. The models developed and insights gained can be used for online shopping-related freight demand generation and may also be considered for evaluating the potential impact of relevant policies on online shopping demand.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗