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DOE OSTI2026

High-level hadronic tau lepton triggers of the CMS experiment in proton-proton collisions at √(s) = 13.6 TeV

The trigger system of the CMS detector is pivotal in the acquisition of data for physics measurements and searches. Studies of final states characterized by hadronic decays of tau leptons require the reconstruction and the identification of genuine tau leptons against quark- and gluon-initiated jets at the trigger level. This is a difficult task, particularly as improvements to the LHC have resulted in an increased number of interactions per bunch crossing in recent years. To address this challenge, a series of machine-learning algorithms with high identification efficiency and low computational cost have been incorporated into the high-level trigger for hadronically decaying tau leptons. In this paper, these developments and the trigger performance are summarized using data collected by the CMS experiment in proton-proton collisions at √(s) = 13.6 TeV in 2022–2023, corresponding to an integrated luminosity of 62 fb -1 .

Particle identification methods↗

DOE OSTI2025

A Parameter-masked Mock Data Challenge for Beyond-two-point Galaxy Clustering Statistics

The past few years have seen the emergence of a wide array of novel techniques for analyzing high-precision data from upcoming galaxy surveys, which aim to extend the statistical analysis of galaxy clustering data beyond the linear regime and the canonical two-point (2pt) statistics. We test and benchmark some of these new techniques in a community data challenge named “Beyond-2pt,” initiated during the Aspen 2022 Summer Program “Large-Scale Structure Cosmology beyond 2-Point Statistics,” whose first round of results we present here. The challenge data set consists of high-precision mock galaxy catalogs for clustering in real space, in redshift space, and on a light cone. Participants in the challenge have developed end-to-end pipelines to analyze mock catalogs and extract unknown (“masked”) cosmological parameters of the underlying ΛCDM models with their methods. The methods represented are density-split clustering, nearest neighbor statistics, BACCO power spectrum emulator, void statistics, LEFTfield field-level inference using effective field theory (EFT), and joint power spectrum and bispectrum analyses using both EFT and simulation-based inference. In this work, we review the results of the challenge, focusing on problems solved, lessons learned, and future research needed to perfect the emerging beyond-2pt approaches. The unbiased parameter recovery demonstrated in this challenge by multiple statistics and the associated modeling and inference frameworks supports the credibility of cosmology constraints from these methods. The challenge data set is publicly available, and we welcome future submissions from methods that are not yet represented.

Krause, Elisabeth [Univ. of Arizona, Tucson, AZ (U↗

DOE OSTI2025

Basic Research Needs for Inverse Methods for Complex Systems under Uncertainty

Inverse problems, which aim to infer unknown properties of a system using experimental and observational data, are central to addressing many of the U.S. Department of Energy’s (DOE) most critical scientific and engineering challenges. Accurate, computationally efficient, and data-efficient solutions to inverse problems are essential for advancing DOE mission-critical science drivers, including analyzing data from large-scale experimental facilities, optimizing fusion reactor performance, accelerating materials discovery, enhancing geophysical imaging, improving wildfire predictions, and enabling autonomous systems and digital twins. However, these problems are becoming increasingly complex, often involving nonlinear, highdimensional, and interconnected systems and models that span multiple physics and scales, while relying on data with varying quantity, quality, and information content. Compounding these challenges is the uncertainty inherent in DOE-relevant systems, where errors in inputs, noise in data, incompleteness of data, and discrepancies between models and reality constrain the accuracy and precision of solutions. At the same time, the convergence of recent scientific computing trends—scientific machine learning, artificial intelligence, and computing advances such as exascale computing—is creating unprecedented opportunities for tackling these challenges. The cross-cutting nature of inverse problems, combined with their growing complexity and rapidly evolving data and algorithmic demands, strongly motivates the formulation of a prioritized research agenda to maximize their capabilities and impact. In response to this need, DOE’s Advanced Scientific Computing Research (ASCR) program in the Office of Science convened the Workshop on Basic Research Needs for Inverse Problems for Complex Systems Under Uncertainty in June 2025. This workshop brought together experts across disciplines to identify grand challenges and major opportunities in the field. Through collaborative discussions, the workshop defined transformative research directions aimed at addressing the mathematical, statistical, and computational challenges posed by inverse problems under uncertainty. As a result of these efforts, four priority research directions (PRDs) were identified to guide future research and development in this area. These PRDs, summarized below, represent a roadmap for advancing the foundational science and mathematics of inverse problems, enabling robust, scalable, and uncertainty-aware solutions that are critical for DOE applications.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2024

Large Language Models for the Creation and Use of Semantic Ontologies in Buildings: Requirements and Challenges

Semantic ontologies offer a formalized, machine-readable framework for representing knowledge, enabling the structured description of complex systems. In the building domain, the adoption of ontologies like the Brick schema has transformed how buildings and their systems are modeled by providing a standardized, interoperable language. However, the complexity and the steep learning curve involved in developing and querying semantic models present substantial challenges, often requiring a workforce with specialized expertise. This paper builds on our experience in investigating how Large Language Models (LLMs) can help address these challenges, focusing on their role in constructing and querying of semantic models, particularly using the Brick Schema. Our study outlines the requirements and metrics for evaluating the scalability and effectiveness of LLM-based tools, while also discussing the current challenges and limitations in developing such tools. Ultimately, this paper aims to orient research efforts as various groups experiment with diverse techniques, while enabling more effective comparison of emerging solutions and fostering collaboration across the field.

Mulayim, Ozan Baris↗

DOE OSTI2022

Demonstration and Evaluation of the Human-Technology Integration Guidance for Plant Modernization

The significance of nuclear power in its role producing carbon-free electricity to the U.S. cannot be overstated. However, with changes in the energy market coupled with changes in incentives given to certain resources like solar and wind, the operating and maintenance costs for these sources have seen a significant reduction, which has consequently negatively impacted the economic viability of the existing U.S. nuclear power plant fleet. Digital instrumentation and control (I&C) and control room modernization is a major critical work domain to reduce operating and maintenance costs. Existing nuclear power plants are commonly configured with mostly legacy analog I&C as well as isolated pockets of digital I&C (a plant process computer, digital recorders, etc.). One challenge with this analog I&C is that replacement parts are becoming prohibitively more expensive and difficult to obtain. Moreover, a significant challenge with the existing analog I&C is that the way in which plants are currently operated and maintained is no longer competitive with other electricity generating sources, like natural gas, where advanced digital I&C technologies are commonplace. This gap between the waynuclear power plants are operated compared to other electricity generating sources significantly challenges the economic viability of the nuclear industry. Indeed, digital I&C systems can fundamentally change the way the plant is operated (i.e., the concept of operation). The introduction of digital I&C technologies offers a wealth of benefits to the nuclear industry. However, it is important to emphasize that, to realize these benefits, a careful understanding of how to integrate technology in a collaborative way that leverages the capabilities of people and technologies is necessary. Human-technology integration applies human factors engineering methods and tools to ensure the safe and reliable use of these technologies while ensuring that the inherent features of the technologies that provide economic value are not missed. The scope of this work documents the demonstration of the recently developed human and technology integration methodology, as applied to developing a new vision and concept of operations for a major U.S. nuclear power plant fleet. This report focuses on the methodological aspects of developing a vision and concept of operations. This report shares the tools, activities, and lessons learned during a modernization currently underway for industry as a whole to consider when planning any significant digital modification and developing a new vision and concept of operations.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2025

Lessons from Testing the First Three US HL-LHC Cryo-Assemblies at FNAL

The US High-Luminosity LHC Accelerator Upgrade Project (AUP) collaborates with CERN to deliver 10 cryo-assemblies for the High-Luminosity LHC upgrade at CERN. Those comprise the Q1/Q3 quadrupole optical elements in the accelerator and are based on Nb3Sn technology, for the first time in a large particle accelerator. So far three cryo-assemblies were tested at the Fermilab’s horizontal magnet test facility, specifically redesigned to serve those needs. This work gives an overview of the facility and its necessary evolution as the campaign progressed; main results and observations from the cryo-assembly tests are presented and discussed in the context of overall performance and expectations toward the completion of efforts. Lessons learned after multiple cryo-assembly tests by the same team are critical to ensure continuous success of the whole enterprise – those are openly shared.

Stoynev, Stoyan [Fermilab]↗

DOE OSTI2017

Brief history of agricultural systems modeling

Agricultural systems science generates knowledge that allows researchers to consider complex problems or take informed agricultural decisions. The rich history of this science exemplifies the diversity of systems and scales over which they operate and have been studied. Modeling, an essential tool in agricultural systems science, has been accomplished by scientists from a wide range of disciplines, who have contributed concepts and tools over more than six decades. As agricultural scientists now consider the "next generation" models, data, and knowledge products needed to meet the increasingly complex systems problems faced by society, it is important to take stock of this history and its lessons to ensure that we avoid re-invention and strive to consider all dimensions of associated challenges. To this end, we summarize here the history of agricultural systems modeling and identify lessons learned that can help guide the design and development of next generation of agricultural system tools and methods. A number of past events combined with overall technological progress in other fields have strongly contributed to the evolution of agricultural system modeling, including development of process-based bio-physical models of crops and livestock, statistical models based on historical observations, and economic optimization and simulation models at household and regional to global scales. Characteristics of agricultural systems models have varied widely depending on the systems involved, their scales, and the wide range of purposes that motivated their development and use by researchers in different disciplines. Recent trends in broader collaboration across institutions, across disciplines, and between the public and private sectors suggest that the stage is set for the major advances in agricultural systems science that are needed for the next generation of models, databases, knowledge products and decision support systems. Furthermore, the lessons from history should be considered to help avoid roadblocks and pitfalls as the community develops this next generation of agricultural systems models.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2020

Performance Evaluation of Augmented Teleoperation of Contact Manipulation Tasks

At Argonne National Laboratory, an enhanced telerobotic concept has been suggested by providing augmented virtual fixtures for precise and dexterous manipulation. The proposed technology incorporated a human-robot interface that can assist personnel on the processes of Deactivation and Decommissioning in sites of high radiation. It has been implemented on a dual-arm robot system, known as Baxter, by integrating the Robotic Operating System (ROS) with 3D sensors and visual-haptic operator interface. However, what remained before its practical utilization is the capability for precisely placing the virtual fixtures. To this end, the objectives involved camera calibration, which required hardware fabrication and setup, as well as modification and implementation of ROS. The goal of this Research and Development is to develop an augmented-reality- based operator interface for human-inclusive, intelligent, and autonomous robotic system for the Deactivation and Decommissioning (D and D) of radioactive sites. The objectives are to develop: Collaborative Robot; Multi-modal Mixed-Reality Human-Robot Interface; Intelligent and Autonomous Behaviors. In order to achieve this, Baxter's Head-Kinect camera and Left-Hand camera need to be calibrated to overlap the real environment with the simulated environment. Camera calibration, which is crucial for precisely placing the virtual fixtures, was successful after running the simulations. The real and simulated environments overlapped, permitting the utilization of augmented teleoperation and the dexterous manipulation of Baxter for D and D applications in nuclear sites. Future steps: Performance evaluation of augmented teleoperation of contact manipulation tasks: Multiple-Camera 3D Reconstruction and Automation. Oculus Interface: Augmented reality and machine learning for enhanced telerobotic operation (Augmented Tele-autonomy): Machine-learning techniques for complex and flexible autonomous robotic behaviors. Interactive remote operation of robotic systems. Mesh cutting with simulation and real robot.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2022

ExaAM: Metal additive manufacturing simulation at the fidelity of the microstructure

Additive manufacturing (AM), or 3D printing, of metals is transforming the fabrication of components, in part by dramatically expanding the design space, allowing optimization of shape and topology. However, although the physical processes involved in AM are similar to those of welding, a field with decades of experimental, modeling, simulation, and characterization experience, qualification of AM parts remains a challenge. The availability of exascale computational systems, particularly when combined with data-driven approaches such as machine learning, enables topology and shape optimization as well as accelerated qualification by providing process-aware, locally accurate microstructure and mechanical property models. We describe the physics components comprising the Exascale Additive Manufacturing simulation environment and report progress using highly resolved melt pool simulations to inform part-scale finite element thermomechanics simulations, drive microstructure evolution, and determine constitutive mechanical property relationships based on those microstructures using polycrystal plasticity. We report on implementation of these components for exascale computing architectures, as well as the multi-stage simulation workflow that provides a unique high-fidelity model of process–structure–property relationships for AM parts. In addition, we discuss verification and validation through collaboration with efforts such as AM-Bench, a set of benchmark test problems under development by a team led by the National Institute of Standards and Technology.

3D printing↗

DOE OSTI2026

Measurement of the p–$Σ^+$ correlation function in pp collisions at $\sqrt{s}$ = 13 TeV

In this letter, the first measurement of the femtoscopic correlation of protons and $Σ^+$ hyperons is presented and used to study the p–$Σ^+$ interaction. The measurement is performed with the ALICE detector in high-multiplicity triggered pp collisions at $\sqrt{s}$ = 13 TeV. The $Σ^+$ hyperons are reconstructed using a missing-mass approach in the decay channel to p + π 0 with π 0 → $γγ$, while both $Σ^+$ and protons are identified using a machine learning approach. These techniques result in a high reconstruction efficiency and purity, which allows the measurement of the p–$Σ^+$ correlation function for the first time. Thanks to the high significance achieved in the p–$Σ^+$ correlation signal, it is possible to discriminate between the predictions of different models of the N–$Σ$ interaction and to accomplish a first determination of the p–$Σ^+$ scattering parameters.

Femtoscopy↗

DOE OSTI2021

Bioinformatic teaching resources - for educators, by educators - using KBase, a free, user-friendly, open source platform

Over the past year, biology educators and staff at the Department of Energy Systems Biology Knowledgebase (KBase) initiated a collaborative effort to develop a curriculum for bioinformatics education. KBase is a free and easily accessible data science platform that integrates many bioinformatics resources into a graphical user interface built upon reproducible analysis notebooks. KBase held conversations with college and high school instructors to understand how KBase could potentially support their educational goals. These conversations morphed into a working group of biological and data science instructors that adapted the KBase platform to their curriculum needs, specifically around concepts in Genomics, Metagenomics, Pangenomics, and Phylogenetics. The KBase Educators Working Group developed modular, adaptable, and customizable instructional units. Each instructional module contains teaching resources, publicly available data, analysis tools, and markdown capability to tailor instructions and learning goals for each class. The online user interface enables students to conduct hands-on data science research and analyses without requiring programming skills or their own computational resources (these are provided by KBase). Alongside these resources, KBase continues to work with instructors, supporting the development of additional curriculum modules. For anyone new to the platform, KBase, and the growing KBase Educators Organization, provides a community network, accompanied by community-sourced guidelines, instructional templates, and peer support to use KBase within a classroom whether virtual or in-person.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2024

Efficient Parallelization of Irregular Applications on GPU Architectures

With the enlarging computation capacity of general Graphics Processing Units (GPUs), leveraging GPUs to accelerate parallel applications has become a critical topic in academia and industry. However, a wide range of irregular applications with the computation-/memory-intensive nature cannot easily achieve high GPU utilization. The challenges mainly involve the following aspects: first, data dependence leads to coarse-grained kernel and inefficient parallelism; second, heavy GPU memory usage may cause frequent memory evictions and extra overhead of I/O; third, specific computation patterns produce memory redundancies; last, workload balance and data reusability conjunctly benefit the overall performance, but there may exist a dynamic trade-off between them. Targeting these challenges, this dissertation proposes multiple optimizations to accelerate two real-world applications: many-body correlation functions to simulate nuclear physics in a large-scale scientific system; the other is the eALS-based matrix factorization recommendation system. To accelerate the calculations of many-body correlation functions, this dissertation presents three frameworks in GPU memory management and multi-GPU scheduling. Firstly, an optimized systematic GPU memory management framework, MemHC, utilizes a series of new memory reduction designs in GPU memory allocation, CPU/GPU communications, and GPU memory oversubscription. Secondly, an enhanced multi-GPU scheduling framework, MICCO, particularly by taking both data dimension (e.g., data reuse and data eviction) and computation dimension into account. MICCO designs a heuristic scheduling algorithm and a machine learning-based regression model to generate the optimal settings of a proposed new concept to manage the trade-off. Thirdly, a locality-aware multi-GPU scheduling framework. This scheduler leverages pipeline batch generation with a looking-ahead strategy by building local dependency graphs for memory transfer reduction and better data reuse, achieving up to 79.92% memory cost reduction and 1.67x speedup. To parallelize the eALS-based recommendation system, this dissertation proposes an efficient CPU/GPU heterogeneous recommendation system, HEALS. HEALS employs newly designed architecture-adaptive data formats to achieve load balance and good data locality on CPU and GPU. To mitigate the data dependence, HEALS presents a CPU/GPU collaboration model for both task parallelism and data parallelism with multiple kernel computation optimizations. In summary, this dissertation efficiently accelerates two typical irregular applications on GPUs by building four frameworks, including CPU/GPU collaboration, GPU memory management, and multi-GPU scheduling.

Wang, Qihan↗

DOE OSTI2022

Computational Tools and Workflows for Quantitative Risk Assessment and Decision Support for Geologic Carbon Storage Sites: Progress and Insights from the U.S. DOE’s National Risk Assessment Partnership

The 2005 Intergovernmental Panel on Climate Change (IPCC) Special Report on CCS raised the profile of CO2 capture and storage (CCS) as an important technology for reducing greenhouse gas (GHG) emissions. CCS is now recognized as a key component of most climate change mitigation scenarios. Since publication of that report the international research, development, and deployment (RD&D) community has advanced key technical aspects, clarified regulatory requirements, explored value chain and infrastructure solutions, and developed incentive paradigms to enable and promote large-scale deployment of CCS. These efforts have included research to better characterize geologic storage resources, to improve injection performance and storage efficiency, to assess and manage subsurface environmental risks, and to advance monitoring technologies to assure system conformance. These efforts have helped to build confidence in the viability of geologic carbon storage (GCS), but stakeholder concerns about long-term risks and liability associated with GCS remain a hurdle to broad acceptance and large-scale deployment of CCS. Since 2010, the U.S. DOE’s National Risk Assessment Partnership (NRAP) – a research collaboration between five contributing national laboratories – has worked to establish and demonstrate methods and tools to quantify and manage the subsurface environmental risks associated with GCS, amidst uncertainty. This work supports the Office of Fossil Energy and Carbon Management Carbon Transport and Storage Program’s goal of advancing safe and secure commercial-scale GCS deployment. To address the technical challenge of simulating the physical response of the GCS site to large-scale CO2 injection, NRAP has adopted an approach that relies on coupling computationally efficient reduced-order and/or data-driven proxy models of important system components (i.e., storage reservoir, sealing caprock, leakage pathways, intermediate formations, overlying groundwater aquifers, and the atmosphere) in integrated assessment framework. That integrated model of the physical system is complemented with fit-for purpose functionality to support site characterization and risk-related decisions. The recently released NRAP Phase II toolset includes the Open-Source Integrated Assessment Model (NRAP-Open-IAM) for evaluation of trends in leakage risk and potential impact, tools to support monitoring design optimization (Designs for Risk Evaluation and Management – DREAM v3.0 and Passive Seismic Monitoring Tool - PSMT), and tools for state of stress evaluation (State-of-Stress Analysis Tool - SOSAT) and forecasting induced seismicity risk. The NRAP team has also released a pair of reports describing conceptual workflows to incorporate physics-based, quantitative risk assessment into many of the design, planning, operation, and closure decisions for GCS projects. An online catalogue highlights published studies where these tools and methods are demonstrated. In this presentation, the utility of these products to assess risks and address key stakeholder questions will be highlighted through examples, and related insights about the safety and security of geologic carbon storage in qualified storage sites will be discussed. The prospect of rapid, large-scale deployment of GCS technology to aggressively reduce anthropogenic CO2 emissions requires careful consideration of interference between multiple commercial-scale storage projects within a basin. Going forward, NRAP is expanding and adapting site-scale risk quantification tools and methods to enable assessment of risks and inform management decisions for basin-scale deployment. Increasingly, this work will leverage next-generation approaches for surrogate modelling, fast prediction, and advanced visualization enabled by machine learning and artificial intelligence to promote virtual learning, scenario evaluation, and augment risk-based decision making.

quantitative risk assessment, geologic carbon stor↗

DOE OSTI2021

Fabrication and Testing of 18-mm-Period, 0.5-m-Long Nb 3 Sn Superconducting Undulator

The Advanced Photon Source at Argonne National Laboratory, in collaboration with FNAL and LBNL, is developing a Nb 3 Sn superconducting undulator with the goal of installing this device on the APS storage ring and providing APS users with the novel radiation source. A series of short, similar to ~ 8-cm-long, 18-mm-period undulator prototype magnets have been designed, fabricated, and tested. The same design was scaled to fabricate a 0.5-m-long undulator prototype. Tests of this prototype showed that the designed peak magnetic field of 1.2 T at 850 A was successfully achieved. It represents at least a 20% improvement in comparison with a NbTi SCU having the same period and magnetic gap. Test results and lessons learned from the design process are reported here.

43 PARTICLE ACCELERATORS↗

DOE OSTI2023

A Multi-Objective Bayesian Optimized Human Assessed Multi-Target Generated Spectral Recommender System for Rapid Pareto Discoveries of Material Properties

Optimization for different tasks like material characterization, synthesis, and functional properties for desired applications over multi-dimensional control parameter and function spaces need a rapid strategic search through active learning. However, in all cases prior to optimization, the target material properties are assumed known and fixed, which mostly deviates from real-world scenarios in material synthesis. This can be critical for running expensive experiments on new materials, when the experimental results are fuzzy for any scientific outcomes due to improper target setting, ultimately wasting time and cost. The failure rate and cost are even higher over exploring on multi-target space, where we want to learn the pareto among multiple properties, to jointly optimize during material synthesis for desired applications. To address the challenge, here we introduce the human-operator attempt flexibility in the active learning based automated experiment framework, with generating multiple human assessed targets through a voting-based recommender system during real-time microscope measurements over the large material image space, sequentially learn/update multiple desired targets through a weighting system, and adaptively search in multiple material properties functional space for non-dominated pareto discoveries to maximize the custom structural similarity based acquisition function. We term this a multi-objective Bayesian optimized human assessed multi-target generated spectral recommender systems (MOBO-HAM-SRS). The approach has been demonstrated to peizoresponse force spectroscopy of a ferroelectric thin film, exploring with different kernels and acquisition functions. This work shows an advancement towards human-AI collaborated automated experiments, steering optimization trajectories through human overpowering AI at the early stage when uncertainty is high and AI overpowering human at the later stage with rapid exploration towards optimal goal, following human-assessed multiple targets properties.

Biswas, Arpan↗

DOE OSTI2023

Advanced Algal Biofoundries for the Production of Polyurethane Precursors

The primary goal of the BEEPs project was to develop a process that could accelerate the development of algae as bioproduction platforms, from initial chemical product concept to an economically viable market supply. Under this program we elected to develop strains of algae that could generate polyurethane precursors, while simultaneously developing basic genetic tools to enable improved algal production systems. This program was specifically designed to incorporate National Laboratories as a means to utilize the expertise and facilities for new bio-production platforms. To that end, we designed a program to collaborate with the Agile BioFoundry at Lawrence Berkeley National Laboratory (LBNL) and computational platforms at Pacific Northwest National Laboratory (PNNL). In addition to these National Laboratory partners, we also had academic partners from UC Davis and Georgia Tech, as well as commercial partners Algenesis Materials and BASF. To achieve these goals, we initially focused on developing the genetic tools and high throughput screening technologies necessary to generate and assess production of polymer precursors (succinic acid) in algae and cyanobacteria, including advanced promoters and biosensors. In parallel, we computationally identified potential production bottlenecks and then used the developed genetic tools to increase production rates and yields. Constant feedback of data was used in conjunction with machine learning, high-throughput cell sorting, and synthetic biology, for additional targeted metabolic engineering. Multiple rounds of tool design, building, testing, and learning were supplied to partners at PNNL and LBNL to develop new models and tools that could expedite bioproduction platform development and increase yield performance. We targeted, and achieved, the FOA requirement yield metric of 20 g/L, as a milestone and deliverable from at least one of our engineered strains for the production of succinic acid.

09 BIOMASS FUELS↗

DOE OSTI2026

Research Development and Partnership Pilot (RDPP): Developing plans and partnerships for incorporating tree reproduction to understand Earth system change

The goals for this Research Development and Partnership Pilot (RDPP) proposal were to i) learn about Department of Energy (DOE) research and use the PI’s expertise on patterns and environmental drivers of tree reproduction as a basis to make connections with individuals and research groups at DOE National Laboratories, and ii) to develop plans and form partnerships that will both enhance the PI’s research. The objectives of the proj ect were for the PI to i) participate in the Department of Energy's Office of Science program in Biological and Environmental Research training and outreach activities, ii) conduct directed fact-finding on Earth and Environmental Systems Sciences Division (EESSD) research projects and new partnerships with individuals and groups at National Laboratories, ii) conduct meetings with potential collaborators at National Laboratories to discuss EESSD-relevant research ideas, and iv) to develop a plan for future research efforts. During the period of the award, the objectives of the proposal were met, as the PI attended Environmental System Sciences meetings, American Geophysical Union meetings, SPRUCE experiment meetings, and visited the Oak Ridge National Lab. These activities led to increased understanding of the research being conducted by DOE scientists and the PI had meetings with potential collaborators to develop future research plans that leverage expertise at DOE and the research interests of the PI to increase understanding of the role of tree reproduction in future carbon allocation and in tree regeneration models in boreal ecosystems.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2024

An Ethics-Based Review of Generative Artificial Intelligence: Assuring Responsible Use (Version 1.0)

The rapid expansion of generative artificial intelligence (GenAI) has generated excitement regarding its potential benefits and concern over its ethical implications. Governments, corporations, and standards organizations have described ethical principles to direct GenAI's development and use; however, practical guidance for implementing these principles is limited. Addressing this gap is critical, especially considering the array of risks associated with GenAI, such as legal liabilities, privacy concerns, security threats, and potential misuse. Robust policies and procedures are critical to support responsible deployment of GenAI. This report examines Pacific Northwest National Laboratory (PNNL)’s approach to promoting responsible GenAI use. Proposed initiatives include developing policies based on ethical principles, creating a governance process to review projects relative to those principles, and implementing onboarding processes for training staff. The governance framework described in this report adapts the structure and principles of Institutional Review Boards (IRBs), traditionally used in human subjects research, for GenAI ethical review, providing oversight. Ethical principles guiding responsible GenAI usage include transparency and accountability, privacy, fairness, safety, security, and validity and reliability. To operationalize these principles, we propose forming a GenAI Assurance Council (GAC) that mirrors the IRB's structure. The GAC will evaluate GenAI projects across privacy, accountability, transparency, safety, security, fairness, and validity dimensions. Complementing policy and governance is AI literacy training to support staff understanding of GenAI's ethical implications. An initial training effort for AI Incubator Chat—a GenAI tool deployed at PNNL—showed promising results, underscoring the importance of clear guidelines and user accountability. Collaborative efforts and the dissemination of best practices are also discussed. The proposed GAC model and AI literacy training provide a blueprint for establishing ethical GenAI use and governance, offering practical tools to bridge the gap between ethical principles and real-world applications. The responsible integration of GenAI at PNNL entails a multifaceted approach involving policy development, ethical governance, and AI literacy training. The positive initial feedback and collaborative opportunities position PNNL to lead by example in GenAI's responsible use, reflecting a proactive stance in addressing the ethical, legal, and societal challenges associated with this emerging technology. PNNL's systematic and ethical approach to GenAI offers a model for other institutions to emulate, promoting safe and responsible technological advancements in the AI domain.

97 MATHEMATICS AND COMPUTING↗