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NASA NTRS1994

Regional and seasonal estimates of fractional storm coverage based on station precipitation observations

Simulated climates using numerical atmospheric general circulation models (GCMs) have been shown to be highly sensitive to the fraction of GCM grid area assumed to be wetted during rain events. The model hydrologic cycle and land-surface water and energy balance are influenced by the parameter bar-kappa, which is the dimensionless fractional wetted area for GCM grids. Hourly precipitation records for over 1700 precipitation stations within the contiguous United States are used to obtain observation-based estimates of fractional wetting that exhibit regional and seasonal variations. The spatial parameter bar-kappa is estimated from the temporal raingauge data using conditional probability relations. Monthly bar-kappa values are estimated for rectangular grid areas over the contiguous United States as defined by the Goddard Institute for Space Studies 4 deg x 5 deg GCM. A bias in the estimates is evident due to the unavoidably sparse raingauge network density, which causes some storms to go undetected by the network. This bias is corrected by deriving the probability of a storm escaping detection by the network. A Monte Carlo simulation study is also conducted that consists of synthetically generated storm arrivals over an artificial grid area. It is used to confirm the bar-kappa estimation procedure and to test the nature of the bias and its correction. These monthly fractional wetting estimates, based on the analysis of station precipitation data, provide an observational basis for assigning the influential parameter bar-kappa in GCM land-surface hydrology parameterizations.

Gong, Gavin↗

DOE OSTI2021

Impact of Emergency Diesel Generator Reliability on Microgrids and Building-Tied Systems

Microgrids are an emerging alternative as an energy backup system for critical electric loads and have improved performance compared to the traditional architecture where a single emergency diesel generator is tied to an individual building. Both architectures are dependent on the reliability of their individual generators and a quantitative and realistic comparison of the overall system reliability of the two architectures is lacking. Using recently published work on emergency diesel generator finite reliability, a quantitative methodology is presented to compare the reliability of a microgrid architecture based on centralized emergency diesel generators to the traditional approach of generators tied to individual buildings. Three system reliability performance metrics are calculated as a function of outage duration: (1) probability to meet 100% of the critical load; (2) expected fraction of lost load; and (3) probability to meet the highest priority critical loads. It is shown that stand-alone building-tied emergency diesel generators systems, even when two emergency diesel generators are used per building, cannot provide the reliability required to sustain critical loads for a grid outage lasting multiple days. Due to their network configuration and ability to share load, diesel generator-based microgrid configurations are estimated to have = 93% probability of powering all buildings for a 2-week outage there the individual building-tied emergency diesel generator architecture has a =20% probability. Microgrids do present other susceptibilities that are site specific and should be considered including vulnerabilities associated with the on-campus distribution system and cybersecurity.

backup power↗

NASA NTRS1992

Asteroid orbital error analysis: Theory and application

We present a rigorous Bayesian theory for asteroid orbital error estimation in which the probability density of the orbital elements is derived from the noise statistics of the observations. For Gaussian noise in a linearized approximation the probability density is also Gaussian, and the errors of the orbital elements at a given epoch are fully described by the covariance matrix. The law of error propagation can then be applied to calculate past and future positional uncertainty ellipsoids (Cappellari et al. 1976, Yeomans et al. 1987, Whipple et al. 1991). To our knowledge, this is the first time a Bayesian approach has been formulated for orbital element estimation. In contrast to the classical Fisherian school of statistics, the Bayesian school allows a priori information to be formally present in the final estimation. However, Bayesian estimation does give the same results as Fisherian estimation when no priori information is assumed (Lehtinen 1988, and reference therein).

Muinonen, K.↗

NASA NTRS1993

Fast simulation of packet loss rates in a shared buffer communications switch

This paper describes an efficient technique for estimating, via simulation, the probability of buffer overflows in a queueing model that arises in the analysis of ATM (Asynchronous Transfer Mode) communication switches. There are multiple streams of (autocorrelated) traffic feeding the switch that has a buffer of finite capacity. Each stream is designated as either being of high or low priority. When the queue length reaches a certain threshold, only high priority packets are admitted to the switch's buffer. The problem is to estimate the loss rate of high priority packets. An asymptotically optimal importance sampling approach is developed for this rare event simulation problem. In this approach, the importance sampling is done in two distinct phases. In the first phase, an importance sampling change of measure is used to bring the queue length up to the threshold at which low priority packets get rejected. In the second phase, a different importance sampling change of measure is used to move the queue length from the threshold to the buffer capacity.

Chang, Cheng-Shang↗

NASA NTRS1970

Analysis of a Decision-Directed Receiver with Unknown Priors

A decision-directed receiver (DDR) uses previous outputs (decisions) to estimate unknown parameters and, on the basis of these estimates, modifies the detector structure for subsequent decisions. Although the DDR is less complex to instrument than other adaptive schemes, inherent in the decision-directed approach is the possibility of a runaway. This occurs when the detector commits a sequence of decision errors resulting in a degradation of parameter estimates, which, in turn, results in a further deterioration of detector performance. Because of the dependencies introduced by the learning process, runaway is difficult to analyze. In this paper, a DDR with unknown a priori probabilities is considered. The priors are estimated by the relative frequency of decisions of that event. For binary detection, it is shown that there is a positive probability of a runaway (the estimates converge to 1 or 0), which equals 1 if the signal-to-noise ratio is below a critical value. A tight bound on the probability of a runaway is obtained by approximating the learning process by a random walk with independent increments. The analysis demonstrates that a runaway is quite improbable even for moderate signal-to-noise ratios. The analysis is extended to multiple signals and to the situation where the estimates of the priors are updated continuously through exponential weighting rather than allowed to converge.

Davisson, Lee D.↗

DOE OSTI2022

Exceedance Probabilities and Recurrence Intervals for Extended Power Outages in the United States

This report provides estimates of recurrence intervals and conditional exceedance probabilities for major power outages by U.S. region between 2015 and 2021. Additionally, we provide estimates for grid management, particularly outages caused by California’s public safety power shutoffs (PSPS), and for natural outages caused by major hurricanes. Outage recurrence intervals are the average number of years between outage events, and conditional exceedance probabilities are the likelihoods that a customer who experiences a major power outage will experience an outage exceeding a given duration. Major outage events are those that affect 10,000 or more customers, as defined by the U.S. Department of Energy’s (DOE’s) Electric Emergency Incident and Disturbance Report, called OE-417 (DOE 2020). These results can be applied to determine the likelihood of experiencing long-duration outages, which can be integrated into cost-benefit analyses of resilience solutions and broader energy resilience studies.

Ericson, Sean↗

NASA NTRS1985

Identification of dynamic systems, theory and formulation

The problem of estimating parameters of dynamic systems is addressed in order to present the theoretical basis of system identification and parameter estimation in a manner that is complete and rigorous, yet understandable with minimal prerequisites. Maximum likelihood and related estimators are highlighted. The approach used requires familiarity with calculus, linear algebra, and probability, but does not require knowledge of stochastic processes or functional analysis. The treatment emphasizes unification of the various areas in estimation in dynamic systems is treated as a direct outgrowth of the static system theory. Topics covered include basic concepts and definitions; numerical optimization methods; probability; statistical estimators; estimation in static systems; stochastic processes; state estimation in dynamic systems; output error, filter error, and equation error methods of parameter estimation in dynamic systems, and the accuracy of the estimates.

Maine, R. E.↗

NASA NTRS2016

Improved Analysis of GW150914 Using a Fully Spin-Precessing Waveform Model

This paper presents updated estimates of source parameters for GW150914, a binary black-hole coalescence event detected by the Laser Interferometer Gravitational-wave Observatory (LIGO) in 2015 [Abbott et al. Phys. Rev. Lett. 116, 061102 (2016).]. Abbott et al. [Phys. Rev. Lett. 116, 241102 (2016).] presented parameter estimation of the source using a 13-dimensional, phenomenological precessing-spin model (precessing IMRPhenom) and an 11-dimensional nonprecessing effective-one-body (EOB) model calibrated to numerical-relativity simulations, which forces spin alignment (nonprecessing EOBNR). Here, we present new results that include a 15-dimensional precessing-spin waveform model (precessing EOBNR) developed within the EOB formalism. We find good agreement with the parameters estimated previously [Abbott et al. Phys. Rev. Lett. 116, 241102 (2016).], and we quote updated component masses of 35(+5)(-3) solar M; and 30(+3)(-4) solar M; (where errors correspond to 90 symmetric credible intervals). We also present slightly tighter constraints on the dimensionless spin magnitudes of the two black holes, with a primary spin estimate is less than 0.65 and a secondary spin estimate is less than 0.75 at 90% probability. Abbott et al. [Phys. Rev. Lett. 116, 241102 (2016).] estimated the systematic parameter-extraction errors due to waveform-model uncertainty by combining the posterior probability densities of precessing IMRPhenom and nonprecessing EOBNR. Here, we find that the two precessing-spin models are in closer agreement, suggesting that these systematic errors are smaller than previously quoted.

Abbott, B. P.↗

NASA NTRS2017

Estimating Consequences of MMOD Penetrations on ISS

The threat from micrometeoroid and orbital debris (MMOD) impacts on space vehicles is often quantified in terms of the probability of no penetration (PNP). However, for large spacecraft, especially those with multiple compartments, a penetration may have a number of possible outcomes. The extent of the damage (diameter of hole, crack length or penetration depth), the location of the damage relative to critical equipment or crew, crew response, and even the time of day of the penetration are among the many factors that can affect the outcome. For the International Space Station (ISS), a Monte-Carlo style software code called Manned Spacecraft Crew Survivability (MSCSurv) is used to predict the probability of several outcomes of an MMOD penetration-broadly classified as loss of crew (LOC), crew evacuation (Evac), loss of escape vehicle (LEV), and nominal end of mission (NEOM). By generating large numbers of MMOD impacts (typically in the billions) and tracking the consequences, MSCSurv allows for the inclusion of a large number of parameters and models as well as enabling the consideration of uncertainties in the models and parameters. MSCSurv builds upon the results from NASA's Bumper software (which provides the probability of penetration and critical input data to MSCSurv) to allow analysts to estimate the probability of LOC, Evac, LEV, and NEOM. This paper briefly describes the overall methodology used by NASA to quantify LOC, Evac, LEV, and NEOM with particular emphasis on describing in broad terms how MSCSurv works and its capabilities and most significant models.

Evans, H.↗

DOE OSTI2025

Karhunen–Loève deep learning method for surrogate modeling and approximate Bayesian parameter estimation

We evaluate the performance of the Karhunen-Loève Deep Neural Network (KL-DNN) framework for surrogate modeling and approximate Bayesian parameter estimation in partial differential equation models. In the surrogate model, the Karhunen-Loève (KL) expansions are used for the dimensionality reduction of the number of unknown parameters and variables, and a deep neural network is employed to relate the reduced space of parameters to that of the state variables. The KL-DNN surrogate model is used to formulate a maximum-a-posteriori-like least-squares problem, which is randomized to draw samples of the posterior distribution of the parameters. We test the proposed framework for a hypothetical unconfined aquifer via comparison with the forward MODFLOW and inverse PEST++ iterative ensemble smoother (IES) solutions as well as the state-of-the-art Fourier neural operator (FNO) and deep operator networks (DeepONets) operator learning surrogate models. Our results show that the KL-DNN surrogate model outperforms FNO and DeepONet for forward predictions. For solving inverse problems, the randomized algorithm provides the same or more accurate Bayesian predictions of the parameters than IES as evidenced by the higher log-predictive probability of both the estimated parameter field and the forecast hydraulic head. The posterior mean obtained from the randomized algorithm is closer to the reference parameter field than that obtained with FNO as the maximum a posteriori estimate.

Approximate Bayesian inference↗

DOE OSTI2026

Envelope-driven comfort risk in residential demand response

Residential demand response (DR) is a valuable resource for grid reliability, but remains challenging because the highly heterogeneous residential building stock leads to widely varying and hard-to-predict load and comfort responses during DR events. Although prior research has estimated the technical potential of DR-capable technologies for achieving energy demand savings, little is known about how they affect thermal comfort. In particular, it remains unclear how indoor thermal conditions due to DR depend on the thermal envelope characteristics of the housing stock. To address this gap, this study provides a systematic, location-specific assessment of indoor thermal performance during DR-events across the US housing stock using both typical DR weather data and detailed building metadata. We evaluate how envelope characteristics influence indoor temperatures during realistic simulated summer and winter DR events across 37 US locations, applying both temperature threshold and rate of temperature change criteria to estimate region-level probabilities of discomfort. Additionally, we show the impact of distinct weather patterns that intensify or abate thermal stress on comfort outcomes. Results show a near-universal overheating risk in summer DR events, where comfort outcomes are strongly influenced by rapid risk of comfort violations. In contrast, overall winter DR discomfort risk is lower, risk escalation is more gradual and shows greater sensitivity to event duration. These findings offer a data-driven quantification of comfort risk across diverse climates and building envelopes, demonstrating the need for region-specific DR scheduling and discomfort mitigation strategies tailored to local weather patterns and the performance of existing residential buildings.

Demand response↗

NASA NTRS2020

Bayesian Framework For Bioburden Density Calculations To Perform Planetary Protection Probabilistic Risk Assessment

The planetary protection discipline aims to minimize the microbial contamination on spacecraft to prevent the inadvertent contamination of other planetary bodies, known as forward planetary protection (PP). Planetary protection probabilistic risk assessment (PRA) relies on two core methodologies-the contamination probability event tree analysis and statistical parameter estimation. Planetary protection engineers combine several techniques to estimate the bioburden present on spacecraft components. A direct assay to enumerate CFU (colony forming units) is the preferred methodology, but given a similar processing environment the bioburden present on certain components is inferred using: (1) a NASA defined bioburden estimate based upon the biological cleanliness of the manufacturing/assembly environment or (2) sampled data from a similar spacecraft component. The paper presents an empirical Bayesian framework to systematically treat bioburden estimation and its uncertainties on different levels starting with measurement procedures to combining different components to subsystems and whole spacecraft. It is shown that the Bayesian approach can effectively handle estimations and their uncertainties at different levels and produce a reliable estimate for bioburden to be used to evaluate the probability of contamination.

Seuylemezian, Arman↗

DOE OSTI2021

Waif Gopher Tortoise Survival and Site Fidelity Following Translocation

Gopher tortoises (Gopherus polyphemus) are among the most commonly translocated reptiles. While there are risks associated with any translocation, waif tortoises— animals frequently of unknown origin that have been displaced from the wild and often held in human possession for various reasons and durations—are generally excluded from translocation projects due to heightened concerns of introducing pathogens and uncertainty about the post-release survival of these individuals. If these risks could be managed, waif tortoises could have conservation value, as they can provide the needed numbers to stabilize populations. In the early 1990s, the discovery of an isolated population of gopher tortoises (≤15 individuals) near Aiken, South Carolina, USA, prioritized establishment of the Aiken Gopher Tortoise Heritage Preserve (AGTHP). Due to the population’s need for augmentation and the site’s isolation from other tortoise populations, the AGTHP provided the opportunity to evaluate the post-release survival of translocated waif tortoises without compromising a viable population. Since 2006, >260 waif tortoises have been introduced to the preserve. Using a Cormack-Jolly-Seber modeling framework to analyze release records and capture histories from trapping efforts in 2017 and 2018, we estimated the long-term apparent survival and site fidelity of this population composed largely of waif tortoises. We estimated annual apparent survival probabilities to be high (≥0.90) for subadult, adult male, and adult female tortoises, and these rates were similar to those reported for wild-to-wild translocated gopher tortoises and those from unmanipulated populations. Of the tortoises recaptured within the boundaries of the preserve, 75% were located within 400 m of their release location. Furthermore, these results suggest that waif tortoises could be an important resource in reducing the extirpation risk of isolated populations.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2020

Infrastructure-Relevant Storms of the Last Century

Historical extreme storm events are widely used to make Probable Maximum Precipitation (PMP) estimates, which form the cornerstone of large water management infrastructure safety. Past studies suggest that extreme precipitation processes can be sensitive to land surface feedback and the planetary warming trend, which makes the future safety of large infrastructures questionable given the projected changes in land cover and temperature in the coming decades. In this study, a numerical modeling framework was employed to reconstruct 10 extreme storms over CONUS that occurred during the past 100 years, which are used by the engineering profession for PMP estimation for large infrastructures such as dams. Results show that the correlation in daily rainfall for such reconstruction can range between 0.4 and 0.7, while the correlation for maximum 3-day accumulation (a standard period used in infrastructure design) is always above 0.5 for post-1948 storms. This suggests that current numerical modeling and reanalysis data allow us to reconstruct big storms after 1948 with acceptable accuracy. For storms prior to 1948, however, reconstruction of storms shows inconsistency with observations. Our study indicates that numerical modeling and data may not have advanced to a sufficient level to understand how such old storms (pre-1948) may behave in future warming and land cover conditions. However, the infrastructure community can certainly rely on the use of model reconstructed extreme storms of the 1948-present period to reassess safety of our large water infrastructures under assumed changes in temperature and land cover.

Chen, Xiaodong↗

DOE OSTI2020

Insights into Mechanisms of Screw Feeder Plugging by Heated Pine Forestry Residues Using in-situ and Correlative Microscopy

Increasing concerns about global carbon emissions due to fossil fuel use has created interest in renewable fuel alternatives, such as lignocellulosic biomass. With an estimated global biomass production probability ten-fold higher than projected need, functionalizing and scaling biomass conversion processes, like pyrolysis, is a promising component of a diverse sustainable energy program (Kan, Strezov, & Evans, 2016). Pyrolysis reactors employed in biomass conversion often encounter the known problem of screw feeder plugging, halting work and reducing efficiency of biorefineries. Although the screw feeder is not heated directly, conductive heat transfer from the fluidized bed pyrolysis reactor creates a temperature gradient, where particles experience temperatures between 22°C and 500°C from the time they enter the feeder to being emptied into the reactor (Digman, Joo, & Kim, 2009; Nieminen & Folke, 1982). The impact of unintentional heating on this highly variable feedstock may result in particle morphology modification, surface texture transformation, and the evolution of viscous compounds and may contribute to screw feeder plugging (Haas, Nimlos, & Donohoe, 2009; Ingram et al., 2008). We hypothesized that particles of various anatomical fractions (including needles, branches, bark, cambium, and whitewood) will experience dramatic changes during this heating regime, which will be characterized by decreased particle size, increased surface roughness, degradation of key structural macromolecules, and generation of viscous compounds that would result in increased particle friction and cohesion, contributing to screw feeder plugging.

biofuels↗

DOE OSTI2021

New Particle Formation and Growth to Climate-Relevant Aerosols at a Background Remote Site in the Western Himalaya

New particle formation (NPF) can influence the Earth’s radiative budget when the newly formed particles grow to climate-relevant sizes. Here, we present analysis of 21-months of continuous aerosol size distribution measurements at a background remote site in the western Himalaya and provide observational evidence that newly formed particles grow to cloud condensation nuclei (CCN)-active sizes (i.e. >20-100 nm in diameter). Out of total 55 NPF events, 38 (66%) events occurred in the pre-monsoon season (March-May). NPF events were classified into those with and without pollution influence as polluted and cleaner, respectively, using black carbon data. The analysis of air mass age, based on the ratio of number concentration of Aitken to accumulation mode aerosols, indicated that NPF occurred in the relatively cleaner air masses reaching to the site. The median formation rate of 10 nm particles and particle growth rates for cleaner events were three-fold and two-fold, respectively, higher than polluted events. We present the first estimates of the survival probability of newly formed particles to 50 nm and 100 nm size, which was not attempted in an Indian environment previously. The survival probability to 50 nm particles ranged from 44 to 98%, with a mean and standard deviation of 82 ± 18%. On average, ~60% of the particles surviving to 50 nm survived to 100 nm, making the overall survival probability of 100 nm to 53 ± 31%. This indicates that the probability of nucleated particles growing to CCN-active sizes under a large source of condensing vapor (transported from nearby lower-altitude regions) and low pre-existing particle concentrations (background mountain site) is high compared to the previous studies. These findings highlight the importance of the efficiency of nucleation events for producing CCN, which is a critical basis of aerosol indirect effects.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2022

Neutralization titer biomarker for antibody-mediated prevention of HIV-1 acquisition

The Antibody Mediated Prevention trials showed that the broadly neutralizing antibody (bnAb) VRC01 prevented acquisition of human immunodeficiency virus-1 (HIV-1) sensitive to VRC01. Using AMP trial data, here we show that the predicted serum neutralization 80% inhibitory dilution titer (PT 80 ) biomarker—which quantifies the neutralization potency of antibodies in an individual’s serum against an HIV-1 isolate—can be used to predict HIV-1 prevention efficacy. Similar to the results of nonhuman primate studies, an average PT 80 of 200 (meaning a bnAb concentration 200-fold higher than that required to reduce infection by 80% in vitro) against a population of probable exposing viruses was estimated to be required for 90% prevention efficacy against acquisition of these viruses. Based on this result, we suggest that the goal of sustained PT 80 <200 against 90% of circulating viruses can be achieved by promising bnAb regimens engineered for long half-lives. We propose the PT 80 biomarker as a surrogate endpoint for evaluatinon of bnAb regimens, and as a tool for benchmarking candidate bnAb-inducing vaccines.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2020

Dynamic PRA-Based Estimation of PWR Coping Time Using a Surrogate Model for Accident Tolerant Fuel

In this study, we propose an interpolation-based response surface surrogate methodology to manage a large number of scenarios in dynamic probabilistic risk assessment. It adopts the shape Dynamic Time Warping algorithm to cluster the interpolation neighborhood from time series sample data. The interpolation method was adapted from Taylor Kriging to allow a reduced-order model of the Taylor series. In order to demonstrate its applicability to complex issues in risk assessment for nuclear engineering, an example risk response surface to estimate emergency core cooling system (ECCS) criteria for triplex silicon carbide (SiC) accident-tolerant fuel was constructed. The response surface was exploited to estimate the cumulative failure probability of the fuel cladding structure due to the uncertainties in operator actions and safety systems. The functional failures were assessed based on a combination of individual layer failures computed by coupling Risk Analysis Virtual Environment software with a pressurized water reactor 1000-MW(electric) RELAP5 model and the in-house fuel performance assessment module. Results showed that SiC cladding failure probability spiked less than 1 min after a large-break loss-of- coolant accident whenever the current ECCS criteria for Zircaloy-4 (Zr-4) cladding was used. However, it still provides an increased safety margin of three orders of magnitude compared to Zr-4. This positive margin could be utilized to relax active ECCS requirements by allowing deviations of up to 450 s in its actuation time. The proposed surrogate methodology generated a response surface of SiC cladding failure probability reasonably well, with a significant savings of computation time. This methodology is expected to be useful in the analysis of system response with complex uncertainty sources.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗