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NASA NTRS2009

The Principle of Energetic Consistency

A basic result in estimation theory is that the minimum variance estimate of the dynamical state, given the observations, is the conditional mean estimate. This result holds independently of the specifics of any dynamical or observation nonlinearity or stochasticity, requiring only that the probability density function of the state, conditioned on the observations, has two moments. For nonlinear dynamics that conserve a total energy, this general result implies the principle of energetic consistency: if the dynamical variables are taken to be the natural energy variables, then the sum of the total energy of the conditional mean and the trace of the conditional covariance matrix (the total variance) is constant between observations. Ensemble Kalman filtering methods are designed to approximate the evolution of the conditional mean and covariance matrix. For them the principle of energetic consistency holds independently of ensemble size, even with covariance localization. However, full Kalman filter experiments with advection dynamics have shown that a small amount of numerical dissipation can cause a large, state-dependent loss of total variance, to the detriment of filter performance. The principle of energetic consistency offers a simple way to test whether this spurious loss of variance limits ensemble filter performance in full-blown applications. The classical second-moment closure (third-moment discard) equations also satisfy the principle of energetic consistency, independently of the rank of the conditional covariance matrix. Low-rank approximation of these equations offers an energetically consistent, computationally viable alternative to ensemble filtering. Current formulations of long-window, weak-constraint, four-dimensional variational methods are designed to approximate the conditional mode rather than the conditional mean. Thus they neglect the nonlinear bias term in the second-moment closure equation for the conditional mean. The principle of energetic consistency implies that, to precisely the extent that growing modes are important in data assimilation, this term is also important.

Cohn, Stephen E.↗

NASA NTRSDate not supplied

Principles for Termination of Medical Care in Austere Analog Environments for Development of Spaceflight Protocols

INTRODUCTION: When compared to operations in low earth orbit, exploration class missions will have substantially limited resources and ground medical support while the risk of a significant medical event is projected to be higher. Termination of care (TOC) may need to be considered in certain instances. We aim to utilize data from earth-based analogs to identify common principles that can help develop future guidelines to this complex medical and ethical challenge. METHODS: A comprehensive literature review was conducted in medline, nasa.gov, Defense Technical Information Center(DTIC) and google scholar. Key search terms including “withdrawal of care, termination of care, termination of CPR, military medicine, wilderness medicine, futility, potentially inappropriate” and others were used to identify analog studies of relevance. These were qualitatively evaluated for recurring principles or themes that were reviewed and structured. RESULTS: Mission planning termination of care principles: definitions of clear medical goals, separate protocols for each relevant condition, protocols developed using best available evidence, crew involvement in development, protocols rehearsal pre-launch, and inclusion of palliative capabilities. In-mission termination of care principles: 1. Crew Medical Officer directed stabilization of the patient; 2. Consultation with mission control with standardized information exchange; 3. Multidisciplinary medical and ethical conference among the mission directors, flight surgeons and relevant specialist experts; 4. Multidisciplinary risk review examining both medical and mission risks for relevant options; 5. Provision of a transparent explanation of the process and decision to crew; 6. Allowing crew feedback and inquiry to review board; 7. Support of the crew in the enacted decision. DISCUSSION: By utilizing the best available evidence in conjunction with expert opinion we have identified common principles from earth-based analogs that could be used to help design future TOC protocols.

Samuel Stephenson↗

NASA NTRS2022

Principles for Architecting Autonomous Systems

This paper distills principles for developing autonomous systems based on experience and lessons learned from past efforts. The purpose of these principles is to establish a common understanding and knowledge of architectural elements to guide the development of next-generation multi-mission autonomous systems and ensure the safe and productive operation of space assets. An attempt has been made to ground these principles in fundamentals that should withstand the test of time while allowing for and enabling the advancement of technologies. They are not intended to prescribe a design nor a software representation. There may be multiple designs that can honor these principles. These principles are focused on autonomy for robotic assets. As such, they do not address autonomy for crewed assets nor autonomy that can collectively generate intelligent behavior without top-level system cognizance (e.g., intelligent swarm behavior). These areas would be a subject of future efforts.

Day, John↗

DOE OSTI2024

Putting the soil health principles to the test in Iowa

One of the most popular soil conservation campaigns is based on the USDA Natural Resource Conservation Service's Soil Health Principles (NRCS-SHPs). The NRCS-SHP program identifies four principles—maximize presence of living roots, minimize disturbance, maximize soil cover, and maximize biodiversity—with the underlying assumption that the more principles one follows, the greater improvements in soil health. Despite the popularity of the NRCS-SHPs, this underlying assumption has not been rigorously tested. To do so, we used nine long-term experiments all located in central Iowa, but with varying degree of NRCS-SHP adoption, to determine if greater adoption increases three slow-changing (maximum water holding capacity, bulk density [BD], and soil organic carbon) and three dynamic (microbial biomass carbon [MBC], potentially mineralizable carbon [PMC], and permanganate oxidizable carbon [POXC]) soil health indicators. We regressed these indicators with a soil health principle score that can scale soil management based on adoption of the NRCS-SHPs. Of the slow-changing soil properties, increased adoption of NRCS-SHPs only decreased soil BD (R2 = 0.22, p = 0.024). On the other hand, increased adoption of NRCS-SHPs strongly predicted increases in both MBC and PMC and across two sampling dates (R2 > 0.23, p < 0.015); POXC, however, did not increase with greater adoption. The consistent increases in MBC and PMC with greater adoption of NRCS-SHPs supports their usefulness as sensitive indicators of positive soil health change. Our study provides scientific evidence to support the NRCS-SHPs concept, improving its usefulness as an extension campaign, and stands as a step toward evidence-based soil conservation.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2025

First-Principles Cost Analysis of Advanced High-Temperature Nuclear Plants

Due to the vast number of recent nuclear reactor innovations, particularly those pertaining to generation IV reactor types like high-temperature gas cooled reactors (HTGRs) and sodium-cooled fast reactors (SFRs), and the newer deployment strategies envisioned, such as use of small modular reactors (SMRs) or even microreactors, reliable, detailed, and complete costs of these nuclear innovations are needed in wide availability. The types of models that generally achieve these objectives are those incorporating the fundamental nature of the real-world systems they aspire to predict, such as first-principles models. Furthermore, first principles models typically offer predictiveness that is not attained by most other types of individual-models. However, detailed, first-principles cost modeling of nuclear reactors and entire nuclear plants is relatively limited. To address this limitation in the availability of detailed, predictive models based on fundamentals, we recently developed a range of cost models, mostly based on first-principles methodologies, to project full lifecycle costs (LCCs) of nuclear power plants (NPPs) based on multiple parallel SM-HTG-pebble bed reactors (PBRs) and SM-SFRs.

Prosser, Jacob H. [Strategic Analysis, Inc., Arlin↗

NASA NTRS1975

The Rosiwal Principle and the regolithic distributions of solar-wind elements

In situ accumulation of solar elements is studied for the purpose of determining the extent of applicability of the Rosiwal Principle. The Rosiwal Principle states that the grain exposure area is proportional to the fraction of the unit volume occupied by the grains, and the test involves measurement of the relative concentrations of inert gases and reactive elements across sets of lunar fines samples for which mean grain size, sorting, and minimum radius of surface correlation are known. In some cases, the quantity of an element implanted into the lunar fines from the solar wind is found to be surface correlated, and the implications of this relationship are considered. According to the Rosiwal Principle, coarse soils should retain less inert gas than fine soil. The Principle can also be applied to species volatized or sputtered from the lunar surface and redeposited locally.

Criswell, D. R.↗

NASA NTRS1989

Treatment of coupled fluid-structure interaction problems by a mixed variational principle

A general three-field variational principle is obtained for the motion of an acoustic fluid enclosed in a rigid or flexible container by the method of canonical decomposition applied to a modified form of the wave equation in the displacement potential. The general principle is specialized to a mixed two-field principle that contains the fluid displacement potential and pressure as independent fields. Semidiscrete finite-element equations of motion based on this principle are displayed.

Felippa, Carlos A.↗

NASA NTRS1992

The energy-time uncertainty principle and the EPR paradox: Experiments involving correlated two-photon emission in parametric down-conversion

The energy-time uncertainty principle is on a different footing than the momentum position uncertainty principle: in contrast to position, time is a c-number parameter, and not an operator. As Aharonov and Bohm have pointed out, this leads to different interpretations of the two uncertainty principles. In particular, one must distinguish between an inner and an outer time in the definition of the spread in time, delta t. It is the inner time which enters the energy-time uncertainty principle. We have checked this by means of a correlated two-photon light source in which the individual energies of the two photons are broad in spectra, but in which their sum is sharp. In other words, the pair of photons is in an entangled state of energy. By passing one member of the photon pair through a filter with width delta E, it is observed that the other member's wave packet collapses upon coincidence detection to a duration delta t, such that delta E(delta t) is approximately equal to planks constant/2 pi, where this duration delta t is an inner time, in the sense of Aharonov and Bohm. We have measured delta t by means of a Michelson interferometer by monitoring the visibility of the fringes seen in coincidence detection. This is a nonlocal effect, in the sense that the two photons are far away from each other when the collapse occurs. We have excluded classical-wave explanations of this effect by means of triple coincidence measurements in conjunction with a beam splitter which follows the Michelson interferometer. Since Bell's inequalities are known to be violated, we believe that it is also incorrect to interpret this experimental outcome as if energy were a local hidden variable, i.e., as if each photon, viewed as a particle, possessed some definite but unknown energy before its detection.

Chiao, Raymond Y.↗

NASA NTRS2017

Principles of Sociology in Systems Engineering

Systems engineering involves both the integration of the system and the integration of the disciplines which develop and operate the system. Integrating the disciplines is a sociological effort to bring together different groups, often with different terminology, to achieve a common goal, the system. The focus for the systems engineer is information flow through the organization, between the disciplines, to ensure the system is developed and operated with all relevant information informing system decisions. Robert K. Merton studied the sociological principles of the sciences and the sociological principles he developed apply to systems engineering. Concepts such as specification of ignorance, common terminology, opportunity structures, role-sets, and the reclama (reconsideration) process are all important sociological approaches that should be employed by the systems engineer. In bringing the disciplines together, the systems engineer must also be wary of social ambivalence, social anomie, social dysfunction, insider-outsider behavior, unintended consequences, and the self-fulfilling prophecy. These sociological principles provide the systems engineer with key approaches to manage the information flow through the organization as the disciplines are integrated and share their information. This also helps identify key sociological barriers to information flow through the organization. This paper will discuss this theoretical basis for the application of sociological principles to systems engineering.

Watson, Michael D.↗

NASA NTRS2019

Principles from Two Small SRM-Based Launcher Design/Developments

Two solid rocket motor based launch vehicles are in design and development at MSFC, a 4-stage Earth-to-Orbit vehicle cube-satellite launcher, and the 2-stage Mars Ascent Vehicle for the Mars sample return mission. Trade studies that refined these designs have benefited from developments in understanding sensitivities and approximate modeling. The development and practice of that has demonstrated 3 principles: PRINCIPLE I: Identify mission-specific key design drivers — particularly interactions (and focus knowledge-development on those). PRINCIPLE II: Agility — don’t lock down your derived requirements early — keep trading, and characterizing sensitivities. PRINCIPLE III: Use multi-fidelity tools to improve “understanding value generated per modeling effort cost.” The designer should expect different design solution techniques to derive from different mission needs. This paper shows how two launch vehicle designs developed and adapted to those needs.

Kibbey, Timothy P.↗

NASA NTRS2020

Model-Reference Adaptive Control of Distributed Lagrangian Infinite-Dimensional Systems Using Hamilton’s Principle

This paper presents a Hamilton's principle for distributed control of infinite-dimensional systems modeled by a distributed form of the Euler-Lagrange method. The distributed systems are governed by a system of linear partial differential equations in space and time. A generalized potential energy expression is developed that can capture most physical systems including those systems that have no spatial distribution. The Hamilton's principle is applied to derive distributed feedback control methods without resorting to the standard weak-form discretization approach to convert an infinite-dimensional systems to a finite-dimensional systems. It can be shown by the principle of least action that the distributed control synthesized by the Hamilton's principle is a minimum-norm control. A model-reference adaptive control framework is developed for distributed Lagrangian systems in the presence of uncertainty. The theory is demonstrated by an application of adaptive flutter suppression control of a flexible aircraft wing.

Nguyen, Nhan T.↗

NASA NTRSDate not supplied

Spaceflight Medical Evacuation Risk Assessment Principles - A Qualitative Investigation

BACKGROUND Future human space exploration beyond Low Earth Orbit (LEO) will require innovative solutions in many areas, primarily those that provide direct medical support to crew on long-duration missions and optimize their health and performance. The associated challenges therein will be numerous, including but not necessarily limited to extended one-way or "asynchronous" communication delays, minimal to non-existent resupply, and a prolonged transit time to "definitive care" ranging from 3-days to 9-months. At the same time, long-duration exploration spacecraft and crew will face restrictions on mass, power, volume, and data far more significant than that seen in current LEO settings. Given these limitations, medical risk assessment is of primary importance, especially evaluating the implications of a medical evacuation of an ill or injured crewmember. Such evacuations are complicated, potentially dangerous, and well may be impossible in certain phases of the mission. Regardless, such issues must be weighed against the risks of the injured crew remaining aboard a spacecraft with limited medical resources. OBJECTIVE This qualitative study drew from the experiences of subject matter experts (SMEs) in spaceflight and appropriate analog environments (i.e., military, disaster, and extreme environment fields) to identify unique principles common amongst medical evacuation considerations helpful in informing future risk assessment tools. Appropriate analog environments included austere operational settings where multiple factors (weather, logistics/limited resupply, denied/extreme environments, and patient condition) resulted in a limited ability to provide definitive local medical care. The fundamental principles in question revolved around scenarios where evacuation became a complicating yet necessary consideration and where life-threatening medical concerns had to be weighed against critical mission objective(s). The primary authors collected semi-structured data gathered through in-depth interviews with 16 subject matter experts (SMEs). Interview questions investigated how these SMEs consider and weigh the attendant risks present in medical evacuation scenarios. Among the critical questions posed were those that sought to understand how the SME balanced the challenges and requirements of medical evacuation (or keeping an injured patient "on-site" aka: "prolonged field care") against the evacuation operation's risks on impacting overarching mission success. The team analyzed interview transcripts for common themes and principles using the qualitative methods of thematic analysis based on consensus, co-occurrence, and comparison. As a result, nine primary risk consideration themes and nine contributing factor themes emerged, all of which will ideally inform future medical evacuation decision-making tools and operational decision-making for exploration class missions. Specific aims for this study included: 1. Identification of common principles used to assess risks and benefits of medical evacuations in extreme environments 2. Identification of common points of friction or complication and challenges in extreme environment evacuations

A T Almand↗

DOE OSTI2025

First-Principles Cost Analysis of Advanced High-Temperature Nuclear Plants

Prosser, Jacob H. [Strategic Analysis, Inc., Arlin↗

DOE OSTI2025

A Type II Hamiltonian Variational Principle and Adjoint Systems for Lie Groups

We present a novel Type II variational principle on the cotangent bundle of a Lie group which enforces Type II boundary conditions, i.e., fixed initial position and final momentum. In general, such Type II variational principles are only globally defined on vector spaces or locally defined on general manifolds; however, by left translation, we are able to define this variational principle globally on cotangent bundles of Lie groups. Type II boundary conditions are particularly important for adjoint sensitivity analysis, which is our motivating application. As such, we additionally discuss adjoint systems on Lie groups, their properties, and how they can be used to solve optimization problems subject to dynamics on Lie groups.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2024

Infrastructure first principles for the Anthropocene

Abstract There appears to be a growing decoupling between the conditions that infrastructures were designed for and today’s rapidly changing environments. Infrastructures today are largely predicated on the technologies, goals, and governance structures from a century ago. While infrastructures continue to deliver untold value, there is growing evidence that these critical, basic, and lifeline systems appear ill-equipped to confront the volatility, uncertainty, accelerating conditions, and complexity that define them and their changing environments. Innovative and disruptive first principles are needed to guide infrastructures in the Anthropocene. Drawing from emerging infrastructure research and disciplines that appear better able to confront disruption and change, a novel set of first principles are identified: (1) Plan for complex conditions and surprise; (2) Recouple with agility and flexibility; (3) Govern for exploration and instability; (4) Build consensus as control decentralizes; (5) Restructure to engage with porous boundaries; and, (6) Cyberthreat planning is now mission critical. These principles should guide infrastructure planning recognizing the changing nature and increasingly obsolete boundaries that have defined engineered systems in the modern era.

Chester, Mikhail (ORCID:0000000293542102)↗

NASA NTRS1975

A finite-state, finite-memory minimum principle, part 2

In part 1 of this paper, a minimum principle was found for the finite-state, finite-memory (FSFM) stochastic control problem. In part 2, conditions for the sufficiency of the minimum principle are stated in terms of the informational properties of the problem. This is accomplished by introducing the notion of a signaling strategy. Then a min-H algorithm based on the FSFM minimum principle is presented. This algorithm converges, after a finite number of steps, to a person - by - person extremal solution.

Sandell, N. R., Jr.↗

NASA NTRS1975

Useful extremum principle for the variational calculation of matrix elements. II

Recent work (Gerjuoy et al., 1974) on variational principles for diagonal bound state matrix elements of arbitrary Hermitian operators is extended. In particular, it is shown that the previously derived minimum principle for the trial auxiliary function appearing in such variational principles can be constructed using a modified Hamiltonian possessing not heretofore recognized positive definite properties. Thus there is at least one alternative to the particular modified Hamiltonian on which the results of Gerjuoy et al. (1974) originally were based.

Gerjuoy, E.↗

NASA NTRS1976

Quantum principles and free particles

The quantum principles that establish the energy levels and degeneracies needed to evaluate the partition functions are explored. The uncertainty principle is associated with the dual wave-particle nature of the model used to describe quantized gas particles. The Schroedinger wave equation is presented as a generalization of Maxwell's wave equation; the former applies to all particles while the Maxwell equation applies to the special case of photon particles. The size of the quantum cell in phase space and the representation of momentum as a space derivative operator follow from the uncertainty principle. A consequence of this is that steady-state problems that are space-time dependent for the classical model become only space dependent for the quantum model and are often easier to solve. The partition function is derived for quantized free particles and, at normal conditions, the result is the same as that given by the classical phase integral. The quantum corrections that occur at very low temperatures or high densities are derived. These corrections for the Einstein-Bose gas qualitatively describe the condensation effects that occur in liquid helium, but are unimportant for most practical purposes otherwise. However, the corrections for the Fermi-Dirac gas are important because they quantitatively describe the behavior of high-density conduction electron gases in metals and explain the zero point energy and low specific heat exhibited in this case.

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