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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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At least 397 records · Page 22
All sourcesNASA NTRSDOE OSTI
DOE OSTI2021

The tepary bean genome provides insight into evolution and domestication under heat stress

Tepary bean (Phaseolus acutifolis A. Gray), native to the Sonoran Desert, is highly adapted to heat and drought. It is a sister species of common bean (Phaseolus vulgaris L.), the most important legume protein source for direct human consumption, and whose production is threatened by climate change. Here, we report on the tepary genome including exploration of possible mechanisms for resilience to moderate heat stress and a reduced disease resistance gene repertoire, consistent with adaptation to arid and hot environments. Extensive collinearity and shared gene content among these Phaseolus species will facilitate engineering climate adaptation in common bean, a key food security crop, and accelerate tepary bean improvement.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2025

Dynamics of inverse metal oxides on metal catalysts using spectro-kinetics: reversible Brønsted acid site formation and irreversible reduction

Brønsted acid sites (BASs) in inverse catalysts are vital for the selective hydrogenolysis of polyols, specifically cleaving secondary C–O bonds. These BASs form dynamically in situ in an H 2 environment. While H 2 enables rapid BAS generation on short timescales, it reduces the catalyst at prolonged exposures. The active center for BAS generation, the kinetics of BAS formation, its reverse decomposition, and the irreversible oxide reduction have lacked direct experimental evidence. Here, aided by advanced spectro-kinetic studies, we identify trimeric W 3 O x sites on Pt as the active centers for BAS generation, whereas isolated WO x species on SiO 2 act merely as spectator species, demonstrated using an inverse WO x /Pt catalyst as a representative system. A detailed kinetic profile capturing the dynamics of W 3 O x sites on Pt is also established. The rate constant for BAS formation is two orders of magnitude higher than for its decomposition, which is one order of magnitude faster than the irreversible site reduction. Co-fed H 2 O suppresses the site reduction by ∼50%. Furthermore, the H 2 partial pressure plays an important role. While lower gas-phase H 2 partial pressure does not influence the reversible BAS formation, it can significantly (∼3×) suppress catalyst reduction. Finally, these findings offer critical insights into optimizing reaction conditions through periodic H 2 pulsing, enhancing catalyst stability and performance in hydrogenolysis reactions.

Sourav, Sagar [Indian Inst. of Technology (IIT), M↗
DOE OSTI2022

Multi-extreme conditions at the Second Target Station

Three concepts for the application of multi-extreme conditions under in situ neutron scattering are described here. The first concept is a neutron diamond anvil cell made from a non-magnetic alloy. It is shrunk in size to fit existing magnets and future magnet designs and is designed for best pressure stability upon cooling. This will allow for maximum pressures above 10 GPa to be applied simultaneously with (steady-state) high magnetic field and (ultra-)low temperature. Additionally, an implementation of miniature coils for neutron diamond cells is presented for pulsed-field applications. The second concept presents a set-up for laser-heating a neutron diamond cell using a defocused CO 2 laser. Cell, anvil, and gasket stability will be achieved through stroboscopic measurements and maximum temperatures of 1500 K are anticipated at pressures to the megabar. The third concept presents a hybrid levitator to enable measurements of solids and liquids at temperatures in excess of 4000 K. This will be accomplished by a combination of bulk induction and surface laser heating and hyperbaric conditions to reduce evaporation rates. The potential for deployment of these multi-extreme environments within this first instrument suite of the Second Target Station is described with a special focus on VERDI, PIONEER, CENTAUR, and CHESS. Furthermore, considerations for deployment on future instruments, such as the one proposed as TITAN, are discussed. Overall, the development of these multi-extremes at the Second Target Station, but also beyond, will be highly advantageous for future experimentation and will give access to parameter space previously not possible for neutron scattering.

47 OTHER INSTRUMENTATION↗
DOE OSTI2021

Carotenoid biomarkers in Namibian shelf sediments: Anoxygenic photosynthesis during sulfide eruptions in the Benguela Upwelling System

Significance Anoxygenic photosynthesis by phototrophic sulfur bacteria is prevalent in microbial mat ecosystems and in restricted, highly stratified aquatic environments. This limited distribution reflects their simultaneous requirements for an anoxic habitat, reduced sulfur to supply electrons for carbon fixation, and an appropriate light regime. Although these conditions were often satisfied in ancient seas, as shown by the distinctive carotenoid and chlorophyll pigments preserved in geological samples going back as far as 1.65 billion y, we can find no record of these organisms growing in today’s generally well-ventilated oceans. An array of carotenoids in sediments from the Namibian shelf suggests that green sulfur bacteria, despite their sensitivity to oxygen, can proliferate during episodic toxic gas eruptions in the Benguela Upwelling System.

Ma, Jian↗
DOE OSTI2023

Mobility-On-Demand Transportation: A System for Microtransit and Paratransit Operations

New rideshare and shared-mobility services have transformed urban mobility in recent years. Therefore, transit agencies are looking for ways to adapt to this rapidly changing environment. In this space, ridepooling has the potential to improve efficiency and reduce costs by allowing users to share rides in high-capacity vehicles and vans. Most transit agencies already operate various ridepooling services including microtransit and paratransit. However, the objectives and constraints for implementing these services vary greatly between agencies. This brings multiple challenges. First, off-the-shelf ridepooling formulations must be adapted for real-world conditions and constraints. Second, the lack of modular and reusable software makes it hard to implement and evaluate new ridepooling algorithms and approaches in real-world settings. Therefore, we propose an on-demand transportation scheduling software for microtransit and paratransit services. This software is aimed at transit agencies looking to incorporate state-of-the-art rideshare and ridepooling algorithms in their everyday operations. We provide management software for dispatchers and mobile applications for drivers and users. Lastly, we discuss the challenges in adapting state-of-the-art methods to real-world operations.

Wilbur, Michael↗
DOE OSTI2022

Behavior of Tidally Triggered Earthquakes Depends on Fluid Conditions

Seismicity at The Geysers geothermal field and in Oklahoma is heavily influenced by industrial activities related to energy production, though the mechanism in which earthquakes are induced or triggered is different. At The Geysers, much of the seismicity is linked to thermoelastic stresses caused by injecting cold water into hot rocks, whereas in Oklahoma, the seismicity is linked to a reduction of confining stress on faults due to increasing pore pressure resulting from wastewater injections. Here, in this study, we show that these contrasting conditions are also evident in tidally triggered earthquakes. At The Geysers, earthquakes preferentially occur during maximum extensional stress, which does not occur at the same time as maximum shear stress on optimally oriented faults in the regional stress field. In Oklahoma, earthquakes preferentially occur during maximum shear stress on optimally oriented faults rather than maximum extensional stress. The magnitude of tidal extensional stress is naturally much greater than tidal shear stress. However, in a fluid-saturated environment, pore pressure responds to changes in volume, which can counteract or reduce the effect of the applied stress. The difference in behavior at these two sites is indicative of the level of coupling between applied stress and pore pressure, corresponding to unsaturated conditions at The Geysers and high pore pressure in Oklahoma.

58 GEOSCIENCES↗
DOE OSTI2021

Computer Vision Techniques Used to Monitor the Alignment of Cavities and Solenoids in the PIP-II Prototype SSR1 Cryomodule

The alignment of the SRF PIP-II string components is studied as the acceptable beam deflection, offset and defocusing, which may otherwise cause beam loss. Simulations and measurements established that the maximum deviation of the beam pipe from the reference orbit should not exceed a small fraction of the beam aperture. To observe the translations and rotations of each single component within the cryomodule, optical instruments (H-BCAM) surveying highly reflective targets, installed in the internal assembly of the module were used. The alignment monitoring concept for the PIP II SSR1 prototype cryomodule, along with relevant measurements of the components’ position monitoring during coldmass cooldown is presented in this contribution. This development paves the way to new computer vision applications in the field of cryomodule assemblies in cleanroom environment, in which robotically-assisted operations have the potential to dramatically reduce the risk of chemical and particulate contamination.

43 PARTICLE ACCELERATORS↗
DOE OSTI2020

Multi-resolution, Multi-scale Modeling for Scalable Macroalgae Production

Macroalgae harvested along coastlines and in the open ocean has traditionally been used as food for human consumption, animal feed, and fertilizer. The U.S. ARPA-E MARINER Program estimates that the nation has suitable conditions and geography to produce at least 500 million dry metric tons of macroalgae per year, yielding approximately 2.7 quadrillion BTUs of energy in the form of liquid fuel, which is roughly 10% of the nation’s annual transportation energy demand. Adverse environmental effects of nutrient overload and ocean acidification may also be reduced by large-scale macroalgae cultivation in many coastal ocean regions. However, the successful deployment of large-scale marine macroalgae farms for fuel production depends on ambient hydrodynamic conditions and nutrient availability, as well as their interactions with macroalgae farm structures. Pacific Northwest National Laboratory led an ARPA-E MARINER project to develop a set of numerical modeling tools capable of simulating ocean hydrodynamic and biogeochemical processes, macroalgae trajectories for free-floating systems, macroalgae growth and biomass yields, and hydrodynamic load on macroalgae canopies and farm structures using a multi-resolution and multi-scale approach. This set of modeling tools provides a suite of information essential for system design, optimal project siting, risk analysis, and management of macroalgae production systems in the ocean. Better clarity can also help macroalgae system developers reduce deployment costs, operational risk, and potential impacts on the local marine environment.

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2024

Aspatial Oxyanion Reduction Catalysis

The scientifically challenging problem of catalytically reducing oxyanions was explored and presented great opportunities in terms of the environment, economics and energy self-sufficiency. Oxyanions are pervasive as they are found in many areas of technology, all forms of life, in minerals, and as synthetic materials. Given their ubiquity, the contamination of inorganic oxyanions in drinking water is a national problem as 26 states and Puerto Rico have reported high concentrations of these harmful pollutants. The goals achieved by this research was to catalytically investigate the reduction of new oxyanions utilizing sustainable earth abundant catalysts featuring bio-inspired ligands. Further, ligand modifications will be explored to understand the impact on oxyanion reduction, mechanistic studies, and for electrocatalytic oxyanion reduction.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2022

Modeling and Policy Pathways to Decarbonize South Asia’s Industrial Sector

The industrial sector is responsible for one-third of global greenhouse gas emissions, and industrial decarbonization will be an essential component of limiting emissions and mitigating climate change (Rissman et al., 2020). This holds true for South Asian countries as they work toward their stated commitments to reducing emissions in the coming years. India has pledged to reduce the emissions intensity of its gross domestic product (GDP) by 33–35% by 2030 (Government of India, 2016) and announced at COP26 a target of reaching net-zero CO 2 emissions by 2070, a goal that will require rapid decarbonization of energy-intensive industries (WEF, 2021). Bangladesh’s Nationally Determined Contributions include a commitment to reducing greenhouse gas emissions by 6.73% to 15.12% by 2030 (Ministry of Environment, Forest and Climate Change, 2021). While these Nationally Determined Contributions do not explicitly target emissions reductions in industry, Bangladesh’s Energy Efficiency and Conservation (EE&C) Master Plan highlights industry as an important sector for EE&C (Sustainable and Renewable Energy Development Authority, 2015). Sri Lanka has pledged carbon neutrality by 2050, including a reduction in industrial greenhouse gas emissions (Ministry of Environment, 2021). Nepal’s commitment to net-zero greenhouse gas emissions by 2050 includes plans to establish guidelines and technology transitions facilitating industrial decarbonization (Government of Nepal, 2020).

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2026

Deer Isle and Stonington Energy Reliability Opportunities

The towns of Deer Isle and Stonington, located on the island of Deer Isle in Maine, partnered with the U.S. Department of Energy's Energy Technology Innovation Partnership Project (ETIPP) to examine options to enhance energy resilience, reduce dependence on imported fuels, and mitigate high energy costs. With technical support from the National Laboratory of the Rockies (NLR), Lawrence Berkeley National Laboratory (LBNL), and regional partner the Island Institute, the project focused on evaluation of the local electricity distribution infrastructure, examination of ongoing activities to reduce the frequency of outages, review of the applicable policy and regulatory environment, and identification of potential on-site energy solutions. Key findings revealed the island's reliance on a single distribution line, and limited hosting capacity for additional distributed energy resources. Solar photovoltaics (PV) technology, with and without battery storage, was found to be the most viable technology given economic, technical, and social considerations. While also technically feasible, wind energy faces more difficult siting and less public acceptance compared to PV. Marine energy technologies were determined to be infeasible due to technology immaturity and lengthy permitting timelines. Modeling of potential building-scale PV plus storage systems resulted in successful grant applications for installations at two local facilities. Analysis of community scale energy generation and storage options resulted the local utility, Versant, submitting a grant application for a proposed community-scale battery storage system to increase grid resilience and hosting capacity. This initiative has strengthened the communities' energy planning capabilities and laid the groundwork for future clean energy development.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2020

Single-Cell Genomics of Novel Actinobacteria With the Wood–Ljungdahl Pathway Discovered in a Serpentinizing System

Serpentinite-hosted systems represent modern-day analogs of early Earth environments. In these systems, water-rock interactions generate highly alkaline and reducing fluids that can contain hydrogen, methane, and low-molecular-weight hydrocarbons-potent reductants capable of fueling microbial metabolism. In this study, we investigated the microbiota of Hakuba Happo hot springs (~50°C; pH~10.5–11), located in Nagano (Japan), which are impacted by the serpentinization process. Analysis of the 16S rRNA gene amplicon sequences revealed that the bacterial community comprises Nitrospirae (47%), “Parcubacteria” (19%), Deinococcus-Thermus (16%), and Actinobacteria (9%), among others. Notably, only 57 amplicon sequence variants (ASV) were detected, and fifteen of these accounted for 90% of the amplicons. Among the abundant ASVs, an early-branching, uncultivated actinobacterial clade identified as RBG-16-55-12 in the SILVA database was detected. Ten single-cell genomes (average pairwise nucleotide identity: 0.98–1.00; estimated completeness: 33–93%; estimated genome size: ~2.3 Mb) that affiliated with this clade were obtained. Taxonomic classification using single copy genes indicates that the genomes belong to the actinobacterial class-level clade UBA1414 in the Genome Taxonomy Database. Based on metabolic pathway predictions, these actinobacteria are anaerobes, capable of glycolysis, dissimilatory nitrate reduction and CO 2 fixation via the Wood–Ljungdahl (WL) pathway. Several other genomes within UBA1414 and two related class-level clades also encode the WL pathway, which has not yet been reported for the Actinobacteria phylum. For the Hakuba actinobacterium, the energy metabolism related to the WL pathway is likely supported by a combination of the Rnf complex, group 3b and 3d [NiFe]-hydrogenases, [FeFe]-hydrogenases, and V-type (H + /Na + pump) ATPase. The genomes also harbor a form IV ribulose 1,5-bisphosphate carboxylase/oxygenase (RubisCO) complex, also known as a RubisCO-like protein, and contain signatures of interactions with viruses, including clustered regularly interspaced short palindromic repeat (CRISPR) regions and several phage integrases. This is the first report and detailed genome analysis of a bacterium within the Actinobacteria phylum capable of utilizing the WL pathway. The Hakuba actinobacterium is a member of the clade UBA1414/RBG-16-55-12, formerly within the group “OPB41.” We propose to name this bacterium ‘Candidatus Hakubanella thermoalkaliphilus.'

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2021

How Can Floor Covering Influence Buildings’ Demand Flexibility?

Although the thermal mass of floors in buildings has been demonstrated to help shift cooling load, there is still a lack of information about how floor covering can influence the floor’s load shifting capability and buildings’ demand flexibility. To fill this gap, we estimated demand flexibility based on the daily peak cooling load reduction for different floor configurations and regions, using EnergyPlus simulations. As a demand response strategy, we used precooling and global temperature adjustment. The result demonstrated an adverse impact of floor covering on the building’s demand flexibility. Specifically, under the same demand response strategy, the daily peak cooling load reductions were up to 20–34% for a concrete floor whereas they were only 17–29% for a carpet-covered concrete floor. This is because floor covering hinders convective coupling between the concrete floor surface and the zone air and reduces radiative heat transfer between the concrete floor surface and the surrounding environment. In hot climates such as Phoenix, floor covering almost negated the concrete floor’s load shifting capability and yielded low demand flexibility as a wood floor, representing low thermal mass. Sensitivity analyses showed that floor covering’s effects can be more profound with a larger carpet-covered area, a greater temperature adjustment depth, or a higher radiant heat gain. With this effect ignored for a given building, its demand flexibility would be overestimated, which could prevent grid operators from obtaining sufficient demand flexibility to maintain a grid. Our findings also imply that for more efficient grid-interactive buildings, a traditional standard for floor design could be modified with increasing renewable penetration.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

Fragmentation in Gravitationally Unstable Collapsar Disks and Subsolar Neutron Star Mergers

Abstract Although stable neutron stars (NSs) can in principle exist down to massesM ns ≈ 0.1M ⊙ , standard models of stellar core-collapse predict a robust lower limitM ns ≳ 1.2M ⊙ , roughly commensurate with the Chandrasekhar massM Ch of the progenitor’s iron core (electron fractionY e ≈ 0.5). However, this limit may be circumvented in sufficiently dense neutron-rich environments (Y e < 0.5) for which M Ch ∝ Y e 2 is reduced to ≲1M ⊙ . Such physical conditions could arise in the black hole accretion disks formed from the collapse of rapidly rotating stars (“collapsars”), as a result of gravitational instabilities and cooling-induced fragmentation, similar to models for planet formation in protostellar disks. We confirm that the conditions to form subsolar-mass NS (ssNS) may be marginally satisfied in the outer regions of massive neutrino-cooled collapsar disks. If the disk fragments into multiple ssNSs, their subsequent coalescence offers a channel for precipitating subsolar mass LIGO/Virgo gravitational-wave mergers that does not implicate primordial black holes. The model makes several additional predictions: (1) ∼Hz frequency Doppler modulation of the ssNS-merger gravitational-wave signals due to the binary’s orbital motion in the disk; (2) at least one additional gravitational-wave event (coincident within ≲hours), from the coalescence of the ssNS-merger remnant(s) with the central black hole; (3) an associated gamma-ray burst and supernova counterpart, the latter boosted in energy and enriched withr-process elements from the NS merger(s) embedded within the exploding stellar envelope (“kilonovae inside a supernova”).

Astronomy & Astrophysics↗
DOE OSTI2025

Large-eddy simulation of an atmospheric bore and associated gravity wave effects on wind farm performance in the southern Great Plains

Gravity waves are a common occurrence in the atmosphere, with a variety of generation mechanisms. Their impact on wind farms has only recently gained attention, with most studies focused on wind farm-induced gravity waves. In this study, the interaction between a wind farm and gravity waves generated by an atmospheric bore event is assessed using multiscale large-eddy simulations. The atmospheric bore is created by a thunderstorm downdraft from a nocturnal mesoscale convective system (MCS). The associated gravity waves impact the wind resource and power production at a nearby wind farm during the American Wake Experiment (AWAKEN) in the US southern Great Plains. A two-domain nested setup (Δx=300 and 20 m) is used in the Weather Research and Forecasting (WRF) model, forced with data from the High-Resolution Rapid Refresh model, to capture both the formation of the bore and its interaction with individual wind turbines. The MCS is resolved on the large outer domain, where the structure of the bore and the associated gravity waves are found to be especially sensitive to parameterized microphysics processes. On the finer inner domain, gravity wave interactions with individual wind turbines are resolved; wake dynamics are captured using a generalized actuator disk parameterization in WRF. The gravity waves are found to have a strong effect on the atmosphere above the wind farm; however, the effect of the waves is more nuanced closer to the surface where there is additional turbulence, both ambient and wake-generated. Notably, the gravity waves modulate the mesoscale environment by weakening and dissipating the preexisting low-level jet, which reduces hub-height wind speed and hence the simulated power output, which is confirmed by the observed supervisory control and data acquisition (SCADA) power data. Additionally, the gravity waves induce local wind direction variations correlated with fluctuations in pressure, which lead to fluctuations in the simulated power output as various turbines within the farm are subjected to waking from nearby turbines.

17 WIND ENERGY↗
DOE OSTI2024

Design, Fabrication and Testing of Surveillance Test Articles for MSR Materials Degradation Management

This report details the design, fabrication, and testing of surveillance test articles aimed at assessing material damage in reactor-relevant environments for effective degradation management. Two types of surveillance test articles with reduced sizes were developed based on design algorithms and finite element modeling: welded design and interlocking design. A furnace heating setup was adopted to apply multiple thermal cyclic loading profiles on the test articles with a temperature range of 500°C - 700°C, while the strain response was monitored using a digital image correlation technique. The testing results demonstrated the successful capturing of expected strain range for welded design while machining tolerance should be improved to engage strain coupling in the interlocking design. Mid-term (500 hours) and long-term (1500 hours) cyclic tests were conducted on welded test articles. A constant strain range of ~0.6% was observed at the specimen with testing under 500 hours, while a gradual decrease of strain at specimen was observed after 500 hours. Non-destructive evaluation through X-ray computed tomography confirmed the microcracks in the welds at specimen-driver joints after cyclic test that caused the strain change. Creep testing of the specimen after long-term cyclic test revealed a short creep life than expected. A multi-profile cyclic test was also conducted on a test article and demonstrated consistent strain response under different temperature ramp rates. The report also briefly discussed the challenges and future research efforts to advance test article development for material surveillance.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
DOE OSTI2024

Improving dairy manure hydrolysis and acidification through microbial community restructuring by adaptation to hyperthermophilic conditions

Dairy manure (DM) contributes significantly to greenhouse gas emissions and ecosystem degradation, yet its resistance to biodegradation hinders widespread bioprocessing applications. Lignocellulosic materials in DM pose a particular challenge because of their recalcitrance. Bioprocessing under hyperthermophilic (≥70 °C) conditions potentially offers an advantage over traditional fermentation temperatures due to enhanced activity of enzymes and the kinetics of enzymatic reactions. This can lead to a higher conversion rate and a greater extent of biomass hydrolysis and acidification. To test the validity of this hypothesis, the current study evaluated the efficacy of anaerobic hydrolysis and acidogenic fermentation of DM under mesophilic, thermophilic, and hyperthermophilic conditions. All inocula were adapted to corresponding temperatures but were derived from the same mesophilic source. Hyperthermophilic conditions resulted in superior DM hydrolysis efficiency (53%) compared to mesophilic (34%) and thermophilic (42%) conditions. The hyperthermophilic environment was particularly favorable to the decomposition of crude proteins and hemicellulose, which were reduced by 64% and 54%, respectively. Furthermore, hyperthermophilic fermentation also yielded the highest volatile fatty acid (VFA) production rate of 460 mg/L/day during the first four days, representing improvements of 50% and 90% over mesophilic and thermophilic conditions. In part, this was attributed to the enhanced production of branched-chain VFAs, including an increase of 6–10% in isobutyric acid and 12–13% in isovaleric acid. At hyperthermophilic conditions, however, there was no accumulation of VFAs during the days 5–8 of fermentation, which could be due to acetate conversion by the syntrophic acetate-oxidizing bacteria. A considerable gain in hydrolysis efficiency and VFA production rate were accompanied by a reduction in microbial diversity, which suggests that hyperthermophilic temperature is a favorable environment for the selection of organisms with enhanced DM hydrolysis and fermentation capabilities. A significantly increased relative abundance of xylanolytic Caldicoprobacter (23% of population) and proteolytic Thermovirga (9% of population) could be the major contributors to improved decomposition of hemicellulose and protein. As revealed by the techno-economic analysis, acidogenic fermentation of DM at 70 °C and a retention period of 4 days provides the greatest positive net present value, highest internal rate of return of 9.2%, and shortest investment payback period of 9 years. Furthermore, this study demonstrates that hyperthermophilic conditions enable superior deconstruction and bioconversion of lignocellulose-containing biomass into VFAs under reduced retention times, offering a promising approach for improving DM management and generating bioproducts.

09 BIOMASS FUELS↗
DOE OSTI2024

Implications of stop-and-go traffic on training learning-based car-following control

Learning-based car-following control (LCC) of connected and autonomous vehicles (CAVs) is gaining significant attention with the advancement of computing power and data accessibility. While the flexibility and large model capacity of model-free architecture enable LCC to potentially outperform the model-based car-following (CF) model in improving traffic efficiency and mitigating congestion, the generalizability of LCC for traffic conditions different from the training environment/dataset is not well-understood. Herein, this study seeks to explore the impact of stop-and-go traffic in the training dataset on the generalizability of LCC. It uses the characteristics of lead vehicle trajectories to describe stop-and-go traffic, and links the theory of identifiability (i.e., obtaining a unique parameter estimation result using sensor measurements) to the generalizability of behavior cloning (BC) and policy-based deep reinforcement learning (DRL). Correspondingly, the study shows theoretically that: (i) stop-and-go traffic can enable the property of identifiability and enhance the control performance of BC-based LCC in different traffic conditions; (ii) stop-and-go traffic is not necessary for DRL-based LCC to generalize to different traffic conditions; (iii) DRL-based LCC trained with only constant-speed lead vehicle trajectories (not sufficient to ensure identifiability) can be generalized to different traffic conditions; and (iv) stop-and-go traffic increases variance in the training dataset, which improves the convergence of parameter estimation while negatively impacting the convergence of DRL to the optimal control policy. Numerical experiments validate the above findings, illustrating that BC-based LCC entails comprehensive training datasets for generalizing to different traffic conditions, while DRL-based LCC can achieve generalization with simple free-flow traffic training environments. This further suggests DRL as a more promising and cost-effective LCC approach to reduce operational costs, mitigate traffic congestion, and enhance safety and mobility, which can accelerate the deployment and acceptance of CAVs.

33 ADVANCED PROPULSION SYSTEMS↗