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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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All sourcesNASA NTRSDOE OSTI
DOE OSTI2025

A matheuristic for design and dispatch of a utility-connected distributed energy system

Modeling distributed power generation systems often requires complicated mathematical expressions that present challenges for commercial optimization solvers. Here, this paper presents a matheuristic to solve a mixed-integer optimization model that informs decisions regarding the design and dispatch of a utility-connected microgrid. We deploy a genetic algorithm to search the system design space and a linear program to solve the economic dispatch problem. The model is a component of a web tool that requires solutions within a few minutes. Our method yields objective function values within 5% of an exogenously produced optimal in fewer than 30 seconds for 90% of our test cases compared to only 10% of our test cases by a traditional optimization solver in the same amount of time.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2015

Quasi-Optimal Elimination Trees for 2D Grids with Singularities

We construct quasi-optimal elimination trees for 2D finite element meshes with singularities. These trees minimize the complexity of the solution of the discrete system. The computational cost estimates of the elimination process model the execution of the multifrontal algorithms in serial and in parallel shared-memory executions. Since the meshes considered are a subspace of all possible mesh partitions, we call these minimizers quasi-optimal. We minimize the cost functionals using dynamic programming. Finding these minimizers is more computationally expensive than solving the original algebraic system. Nevertheless, from the insights provided by the analysis of the dynamic programming minima, we propose a heuristic construction of the elimination trees that has cost O N e log ⁡ N e , where N e is the number of elements in the mesh. We show that this heuristic ordering has similar computational cost to the quasi-optimal elimination trees found with dynamic programming and outperforms state-of-the-art alternatives in our numerical experiments.

Paszyńska, A.↗
DOE OSTI2023

Quantum logic gate synthesis as a Markov decision process

Reinforcement learning has witnessed recent applications to a variety of tasks in quantum programming. The underlying assumption is that those tasks could be modeled as Markov decision processes (MDPs). Here, we investigate the feasibility of this assumption by exploring its consequences for single-qubit quantum state preparation and gate compilation. By forming discrete MDPs, we solve for the optimal policy exactly through policy iteration. We find optimal paths that correspond to the shortest possible sequence of gates to prepare a state or compile a gate, up to some target accuracy. Our method works in both the absence and presence of noise and compares favorably to other quantum compilation methods, such as the Ross–Selinger algorithm. This work provides theoretical insight into why reinforcement learning may be successfully used to find optimally short gate sequences in quantum programming.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2021

Artificial Intelligence for Multiphysics Nuclear Design Optimization with Additive Manufacturing

The geometric flexibility of additively manufactured metals and ceramics generates a very large and open design space that requires advanced modeling and simulation tools for physics simulations and the rigorous definition of design problems. This effort deploys artificial intelligence (AI) and machine learning (ML) algorithms to understand the design space, evaluate potential designs, and more efficiently generate optimized results. The Transformational Challenge Reactor (TCR) program is leveraging advances in several scientific areas—including materials, manufacturing, sensors and control systems, data analytics, and high-fidelity modeling and simulation—to accelerate the design, manufacturing, qualification, and deployment of advanced nuclear energy systems. Through a manufacturing-informed design approach, the TCR program seeks to integrate digital data for rapid nuclear innovation; accelerate the adoption of advances in manufacturing, materials, and computational sciences for nuclear applications; and dramatically reduce deployment costs and timelines for new nuclear reactor technologies. This report documents efforts under the TCR program to leverage advanced modeling and simulation techniques driven by AI/ML algorithms on high-performance computing (HPC) systems to yield more optimized TCR core designs. A multiphysics ML surrogate model was developed to run on the HPC architectures. The surrogate model is trained on high-fidelity simulation data of coupled neutronics and thermofluidics and is used to quickly evaluate thousands of candidate core designs in parallel, which drives the evolution of the cooling channel shapes to minimize temperature peaking and material stress. Outcomes from these activities provide design information and feedback into the core design efforts.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2013

Reverse Osmosis Optimization

This technology evaluation was prepared by Pacific Northwest National Laboratory on behalf of the U.S. Department of Energy’s Federal Energy Management Program (FEMP). The technology evaluation assesses techniques for optimizing reverse osmosis (RO) systems to increase RO system performance and water efficiency. This evaluation provides a general description of RO systems, the influence of RO systems on water use, and key areas where RO systems can be optimized to reduce water and energy consumption. The evaluation is intended to help facility managers at Federal sites understand the basic concepts of the RO process and system optimization options, enabling them to make informed decisions during the system design process for either new projects or recommissioning of existing equipment. This evaluation is focused on commercial-sized RO systems generally treating more than 80 gallons per hour.

McMordie Stoughton, Kate L.↗
DOE OSTI2013

Reverse Osmosis Optimization

This technology evaluation was prepared by Pacific Northwest National Laboratory on behalf of the U.S. Department of Energy’s Federal Energy Management Program (FEMP). The technology evaluation assesses techniques for optimizing reverse osmosis (RO) systems to increase RO system performance and water efficiency. This evaluation provides a general description of RO systems, the influence of RO systems on water use, and key areas where RO systems can be optimized to reduce water and energy consumption. The evaluation is intended to help facility managers at Federal sites understand the basic concepts of the RO process and system optimization options, enabling them to make informed decisions during the system design process for either new projects or recommissioning of existing equipment. This evaluation is focused on commercial-sized RO systems generally treating more than 80 gallons per hour.

osmosis, optimization↗
DOE OSTI2014

MO-PIS-Exhibit Hall-01: Imaging: CT Dose Optimization Technologies I

Partners in Solutions is an exciting new program in which AAPM partners with our vendors to present practical “hands-on” information about the equipment and software systems that we use in our clinics. The imaging topic this year is CT scanner dose optimization capabilities. Note that the sessions are being held in a special purpose room built on the Exhibit Hall Floor, to encourage further interaction with the vendors. Dose Optimization Capabilities of GE Computed Tomography Scanners Presentation Time: 11:15 – 11:45 AM GE Healthcare is dedicated to the delivery of high quality clinical images through the development of technologies, which optimize the application of ionizing radiation. In computed tomography, dose management solutions fall into four categories: employs projection data and statistical modeling to decrease noise in the reconstructed image - creating an opportunity for mA reduction in the acquisition of diagnostic images. Veo represents true Model Based Iterative Reconstruction (MBiR). Using high-level algorithms in tandem with advanced computing power, Veo enables lower pixel noise standard deviation and improved spatial resolution within a single image. Advanced Adaptive Image Filters allow for maintenance of spatial resolution while reducing image noise. Examples of adaptive image space filters include Neuro 3-D filters and Cardiac Noise Reduction Filters. AutomA adjusts mA along the z-axis and is the CT equivalent of auto exposure control in conventional x-ray systems. Dynamic Z-axis Tracking offers an additional opportunity for dose reduction in helical acquisitions while SmartTrack Z-axis Tracking serves to ensure beam, collimator and detector alignment during tube rotation. SmartmA provides angular mA modulation. ECG Helical Modulation reduces mA during the systolic phase of the heart cycle. SmartBeam optimization uses bowtie beam-shaping hardware and software to filter off-axis x-rays - minimizing dose and reducing x-ray scatter. The DICOM Radiation Dose Structured Report (RDSR) generates a dose report at the conclusion of every examination. Dose Check preemptively notifies CT operators when scan parameters exceed user-defined dose thresholds. DoseWatch is an information technology application providing vendor-agnostic dose tracking and analysis for CT (and all other diagnostic x-ray modalities) SnapShot Pulse improves coronary CTA dose management. VolumeShuttle uses two acquisitions to increase coverage, decrease dose, and conserve on contrast administration. Color-Coding for Kids applies the Broselow-Luten Pediatric System to facilitate pediatric emergency care and reduce medical errors. FeatherLight achieves dose optimization through pediatric procedure-based protocols. Adventure Series scanners provide a child-friendly imaging environment promoting patient cooperation with resultant reduction in retakes and patient motion. Philips CT Dose Optimization Tools and Advanced Reconstruction Presentation Time: 11:45 ‘ 12:15 PM The first part of the talk will cover “Dose Reduction and Dose Optimization Technologies” present in Philips CT Scanners. The main Technologies to be presented include: DoseRight and tube current modulation (DoseRight, Z-DOM, 3D-DOM, DoseRight Cardiac) Special acquisition modes Beam filtration and beam shapers Eclipse collimator and ClearRay collimator NanoPanel detector DoseRight will cover automatic tube current selection that automatically adjusts the dose for the individual patient. The presentation will explore the modulation techniques currently employed in Philips CT scanners and will include the algorithmic concepts as well as illustrative examples. Modulation and current selection technologies to be covered include the Automatic Current Selection component of DoseRight, ZDOM longitudinal dose modulation, 3D-DOM (combination of longitudinal and rotational dose modulation), Cardiac Dose right (an ECG based dose modulation scheme), and the DoseRight Index (DRI) IQ index. The special acquisition modes covers acquisition techniques such as prospective gating that is designed to reduce exposure to the patient through the Cardiac Step and Shoot scan mode. This mode can substitute the much higher dose retrospective scan modes for certain types of cardiac imaging. The beam filtration and beam shaper portion will discuss the variety of filtration and beam shaping configurations available on Philips scanners. This topic includes the x-ray beam characteristics, tube filtration as well as dose compensator characteristics. The Eclipse collimator, ClearRay collimator and the NanoPanel detector portion will discuss additional technologies specific to wide coverage CT that address some of the unique challenges encountered and techniques employed to optimize image quality and optimize dose utilization. The Eclipse collimator reduces extraneous exposure by actively blocking the radiation tails at either end of helical scans that do not contribute to the image generation. The ClearRay collimator and the NanoPanel detector optimize the quality of the signal that reaches the detectors by addressing the increased scattered radiation present in wide coverage and the NanoPanel detector adds superior electronic noise characteristics valuable when imaging at a low dose level. The second part of the talk will present “Advanced Reconstruction Technologies” currently available on Philips CT Scanners. The talk will cover filtered back projection (FBP), iDose4 and Iterative Model Reconstruction (IMR). Each reconstruction method will include a discussion of the algorithm as well as similarities and differences between the algorithms. Examples illustrating the merits of each algorithm will be presented, and techniques and metrics to characterize the performance of each type of algorithm will be presented. The Filtered Back projection portion will discuss and provide a brief summary of relevant standard image reconstruction techniques in common use, and discuss the common tradeoffs when using the FBP algorithm. The iDose4 portion will present the algorithms used for iDose4 as well the different levels. The meaning of different levels of iDose4 available will be presented and quantified. Guidelines for selection iDose4 parameters based on the imaging need will be explained. The different image quality goals available with iDose4 and specifically how iDose4 enables noise reduction, spatial resolution improvement or both will be explained. The approaches to leveraging the benefits of iDose4 such as improved spatial resolution, decreased noise, and artifact prevention will be described and quantified; and measurements and metrics behind the improvements will be presented. The image quality benefits in specific imaging situations as well as how to best combine the technology with other dose reduction strategies to ensure the best image quality at a given dose level will be presented. Insight into the IMR algorithm as well as contrast to the iDose4 techniques and performance characteristics will be discussed. Metrics and techniques for characterizing this class of algorithm and IQ performance will be presented. The image quality benefits and the dose reduction capabilities of IMR will be explored. Illustrative examples of the noise reduction, spatial resolution improvement, and low contrast detectability improvements of the reconstruction method will be presented: clinical cases and phantom measurements demonstrating the benefits of IMR in the areas of low dose imaging, spatial resolution and low contrast resolution are discussed and the technical details behind the measurements will be presented compared to both iDose4 and traditional filtered back projection (FBP)

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2013

Comparison of open-source linear programming solvers.

When developing linear programming models, issues such as budget limitations, customer requirements, or licensing may preclude the use of commercial linear programming solvers. In such cases, one option is to use an open-source linear programming solver. A survey of linear programming tools was conducted to identify potential open-source solvers. From this survey, four open-source solvers were tested using a collection of linear programming test problems and the results were compared to IBM ILOG CPLEX Optimizer (CPLEX) [1], an industry standard. The solvers considered were: COIN-OR Linear Programming (CLP) [2], [3], GNU Linear Programming Kit (GLPK) [4], lp_solve [5] and Modular In-core Nonlinear Optimization System (MINOS) [6]. As no open-source solver outperforms CPLEX, this study demonstrates the power of commercial linear programming software. CLP was found to be the top performing open-source solver considered in terms of capability and speed. GLPK also performed well but cannot match the speed of CLP or CPLEX. lp_solve and MINOS were considerably slower and encountered issues when solving several test problems.

Gearhart, Jared Lee↗
DOE OSTI2020

Nonlinear Multiobjective MPC-Based Optimal Operation of a High Consistency Refining System in Papermaking

As one of the most important unit in the papermaking industry, the high consistency (HC) refining system is confronted with challenges such as improving pulp quality, energy saving, and emissions reduction in its operation processes. Here in this correspondence, an optimal operation of HC refining system is presented using nonlinear multiobjective model predictive control strategies that aim at set-point tracking objective of pulp quality, economic objective, and specific energy (SE) consumption objective, respectively. First, a set of input and output data at different times are employed to construct the subprocess model of the state process model for the HC refining system, and then the Wiener-type model can be obtained through combining the mechanism model of Canadian Standard Freeness and the state process model that determines their structures based on Akaike information criterion. Second, the multiobjective optimization strategy that optimizes both the set-point tracking objective of pulp quality and SE consumption is proposed simultaneously, which uses NSGA-II approach to obtain the Pareto optimal set. Furthermore, targeting at the set-point tracking objective of pulp quality, economic objective, and SE consumption objective, the sequential quadratic programming method is utilized to produce the optimal predictive controllers. In conclusion, the simulation results demonstrate that the proposed methods can make the HC refining system provide a better performance of set-point tracking of pulp quality when these predictive controllers are employed. In addition, while the optimal predictive controllers orienting with comprehensive economic objective and SE consumption objective, it has been shown that they have significantly reduced the energy consumption.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

Dispatch Optimization Variable Engine

The Dispatch Optimization Variable Engine (DOVE) is software tool written in python, developed at Idaho National Laboratory (INL) that provides an easily accessible application-programming-interface (API) to performing resource dispatch optimization analysis for integrated energy system (IES) configurations. DOVE is an integral part of the Framework for Optimization of Resources and Economics (FORCE) software suite and is leveraged by codes such as the Holistic Energy Resource Optimization Network (HERON) and the Optimization of Real-Time Capacity Allocation (ORCA). The philosophy behind DOVE is to provide a modular software solution to IES planning and operation by utilizing state-of-the-art algorithms and machine learning. The goal is to accurately capture the dispatching behavior of a complex energy system given varying time-dependent signals for demand and commodity pricing.

McDowell, DylanJ. [Idaho National Laboratory (INL)↗
DOE OSTI2023

Simulating and Optimizing Quantum State Transport

The goal of this project was to produce an accurate simulator of the “pitch and catch” process of sending quantum states between SRF cavities, and to find a method for optimizing the control pumps. We developed a program in C++ to integrate the equations of motion with high speed and precision, and used this as a basis for finding an optimal control function to maximize the state transfer efficiency. To demonstrate this we have shown an example of an optimal drive function and the resulting system dynamics, as well as a heat map of the cost function for a range of drive amplitudes.

Weston, Jacob↗
DOE OSTI2015

On the Design, Development, and Analysis of Optimized Matrix-Vector Multiplication Routines for Coprocessors

The manycore paradigm shift, and the resulting change in modern computer architectures, has made the development of optimal numerical routines extremely challenging. In this work, we target the development of numerical algorithms and implementations for Xeon Phi coprocessor architecture designs. In particular, we examine and optimize the general and symmetric matrix-vector multiplication routines (gemv/symv), which are some of the most heavily used linear algebra kernels in many important engineering and physics applications. We describe a successful approach on how to address the challenges for this problem, starting with our algorithm design, performance analysis and programing model and moving to kernel optimization. Our goal, by targeting low-level and easy to understand fundamental kernels, is to develop new optimization strategies that can be effective elsewhere for use on manycore coprocessors, and to show significant performance improvements compared to existing state-of-the-art implementations. Therefore, in addition to the new optimization strategies, analysis, and optimal performance results, we finally present the significance of using these routines/strategies to accelerate higher-level numerical algorithms for the eigenvalue problem (EVP) and the singular value decomposition (SVD) that by themselves are foundational for many important applications.

Kabir, Khairul↗
DOE OSTI2020

SRF Resonators for a bi-directional Energy Ramping Upgrade of the Isotope Production Facility Beamline at LANL

The LANL Isotope Production Facility (IPF) is one of the two high-current proton linear accelerators operated under the auspices of the DOE Office of Nuclear Physics Isotope Development and Production for Research Applications Program. The IPF beamline operates with a fixed 100-MeV energy proton beam, diverted from the LANSCE accelerator and guided towards the isotope production target station. The fixed beam energy limits the number of isotopes that can be produced at IPF, and adversely affects the purity of isotopes produced at non-optimal energies. In particular, the IPF program is receiving increasing numbers of requests for high purity isotopes such as Np-236 (national security applications) and Re-186 (medical therapy). These are typically produced via (p,n) and (p,2n) nuclear reactions, requiring very tight control of the incident energies on the production targets to ensure an end product with a high radionuclidic purity. It is well known that this level of energy control cannot be achieved when a 100 MeV beam of mono-energetic protons is degraded to the required energies, typically below 30 MeV, as too much energy spread is acquired. Operating the IPF beamline at lower, mono-energetic beam energies such as at 40 MeV will allow the required tight energy control in target assemblies to ensure a high purity product. In addition, NP has requested a LANL/BNL/ORNL collaboration focus on establishing a national large-scale production capability for the therapy isotope Ac-225. Recent nuclear cross section measurements done at LANL show that due to a steep rise in production cross section towards higher proton energies (See Figure 2), proton beams at energies substantially greater than 100 MeV will be highly beneficial for Ac-225 production [AC255]. Such higher-energy beams cannot be delivered to IPF at present. Lower-energy beams (70 MeV and 40 MeV) can be delivered but only in sole-use mode; all other LANSCE users must be offline during 70 MeV or 40 MeV operation.

07 ISOTOPE AND RADIATION SOURCES↗
DOE OSTI2015

SU-E-T-368: Evaluating Dosimetric Outcome of Modulated Photon Radiotherapy (XMRT) Optimization for Head and Neck Patients

Purpose: The dosimetric outcome of optimized treatment plans obtained by modulating the photon beamlet energy and fluence on a small cohort of four Head and Neck (H and N) patients was investigated. This novel optimization technique is denoted XMRT for modulated photon radiotherapy. The dosimetric plans from XMRT for H and N treatment were compared to conventional, 6 MV intensity modulated radiotherapy (IMRT) optimization plans. Methods: An arrangement of two non-coplanar and five coplanar beams was used for all four H and N patients. Both XMRT and IMRT were subject to the same optimization algorithm, with XMRT optimization allowing both 6 and 18 MV beamlets while IMRT was restricted to 6 MV only. The optimization algorithm was based on a linear programming approach with partial-volume constraints implemented via the conditional value-at-risk method. H and N constraints were based off of those mentioned in the Radiation Therapy Oncology Group 1016 protocol. XMRT and IMRT solutions were assessed using metrics suggested by International Commission on Radiation Units and Measurements report 83. The Gurobi solver was used in conjunction with the CVX package to solve each optimization problem. Dose calculations and analysis were done in CERR using Monte Carlo dose calculation with VMC{sub ++}. Results: Both XMRT and IMRT solutions met all clinical criteria. Trade-offs were observed between improved dose uniformity to the primary target volume (PTV1) and increased dose to some of the surrounding healthy organs for XMRT compared to IMRT. On average, IMRT improved dose to the contralateral parotid gland and spinal cord while XMRT improved dose to the brainstem and mandible. Conclusion: Bi-energy XMRT optimization for H and N patients provides benefits in terms of improved dose uniformity to the primary target and reduced dose to some healthy structures, at the expense of increased dose to other healthy structures when compared with IMRT.

60 APPLIED LIFE SCIENCES↗
DOE OSTI2017

Data-driven optimal charging decision making for connected and automated electric vehicles: A personal usage scenario

This study introduces an optimal charging decision making framework for connected and automated electric vehicles under a personal usage scenario. This framework aims to provide charging strategies, i.e. the choice of charging station and the amount of charged energy, by considering constraints from personal daily itineraries and existing charging infrastructure. A data-driven method is introduced to establish a stochastic energy consumption prediction model with consideration of realistic uncertainties. This is performed by analyzing a large scale electric vehicle data set. A real-time updating method is designed to construct this prediction model from new consecutive data points in an adaptive way for real-world applications. Based on this energy cost prediction framework from real electric vehicle data, multistage optimal charging decision making models are introduced, including a deterministic model for average outcome decision making and a robust model for safest charging strategies. A dynamic programming algorithm is proposed to find the optimal charging strategies. Detailed simulations and case studies demonstrate the performance of the proposed algorithms to find optimal charging strategies. They also show the potential capability of connected and automated electric vehicles to reduce the range anxiety and charging infrastructure dependency.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2022

A simulation‐based integrated virtual testbed for dynamic optimization in smart manufacturing systems

Abstract In a manufacturing system, production control‐related decision‐making activities occur at different levels. At the process level, one of the main control activities is to tune the parameters of individual manufacturing equipment. At the system level, the main activity is to coordinate production resources and to route parts to appropriate workstations based on their processing requirement, priority indices, and control policy. At the factory level, the goal is to plan and schedule the processing of parts at different operations for the entire system in order to optimize certain objectives. Note that the results of such activities at different levels are closely coupled and affect the overall performance of the manufacturing system as a whole. Therefore, it is important to systematically integrate these control and optimization activities into one unified platform to ensure the goal of each individual activity is aligned with the overall performance of the system. In this paper, we develop a simulation‐based virtual testbed that implements dynamic optimization, automatic information exchange, and decision‐making from the process‐level, system‐level, and factory‐level of a manufacturing system into an integrated computation environment. This is demonstrated by connecting a Python‐based numerical computation program, discrete‐event simulation software (Simul8), and an optimization solver (CPLEX) via a third‐party master program. The application of this simulation‐based virtual testbed is illustrated by a case study in a machining shop.

Sun, Yuting↗
DOE OSTI2023

Optimization under uncertainty of a hybrid waste tire and natural gas feedstock flexible polygeneration system using a decomposition algorithm

Market uncertainties motivate the development of flexible polygeneration systems that are able to adjust operating conditions to favor production of the most profitable product portfolio. However, this operational flexibility comes at the cost of higher capital expenditure. A scenario-based two-stage stochastic nonconvex Mixed-Integer Nonlinear Programming (MINLP) approach lends itself naturally to optimizing these trade-offs. This work studies the optimal design and operation under uncertainty of a hybrid feedstock flexible polygeneration system producing electricity, methanol, dimethyl ether, olefins or liquefied (synthetic) natural gas. A recently developed C++ based software framework (named GOSSIP) is used for modeling the optimization problem as well as its efficient solution using the Nonconvex Generalized Benders Decomposition (NGBD) algorithm. Two different cases are studied: The first uses estimates of the means and variances of the uncertain parameters from historical data, whereas the second assesses the impact of increased uncertain parameter volatility. The value of implementing flexible designs characterized by the value of the stochastic solution (VSS) is in the range of 260–405 M$ for a scale of approximately 893 MW of thermal input. Increased price volatility around the same mean results in higher expected net present value and VSS as operational flexibility allows for asymmetric exploitation of price peaks.

42 ENGINEERING↗
DOE OSTI2023

Optimizing Information Automation Using a New Method Based on System-Theoretic Process Analysis: Tool Development and Method Evaluation

This report is an update to a prior report that describes progress and findings for a program of research supporting the design and optimization of information automation systems for nuclear power plants. Much of the domestic nuclear fleet is currently focused on modernizing technologies and processes, including transitioning toward digitalization in the control room and throughout the plant, along with a greater interest in the use of automation, artificial intelligence, robotics, and other emerging technologies. While there are significant opportunities to apply these technologies toward greater plant safety, efficiency, and overall cost-effectiveness, optimizing their design and avoiding potential safety and performance risks depends on ensuring that human performance-related organizational and technical design issues are identified and addressed early in the design process. This report describes modeling tools and techniques, based on sociotechnical systems theory, to support these design goals and their application in the current research effort. The report is primarily intended for senior nuclear energy stakeholders, including regulators, corporate management, and senior plant management. We have developed and employed a method to design an optimized information automation ecosystem (IAE) based on the systems-theoretic constructs underlying sociotechnical systems theory in general and the Systems-Theoretic Accident Modeling and Processes (STAMP) approach in particular. We argue that an IAE can be modeled as an interactive information control system whose behavior can be understood in terms of dynamic control, feedback, and communication relationships amongst the system’s technical and organizational components. We have employed two STAMP-based tools in this effort. The first is Causal Analysis based on STAMP (CAST), an accident and incident analysis technique that was used to examine a performance- and safety-related incident at an industry partner’s plant involving the unintentional activation of an emergency diesel generator. This analysis provided insight into the behavior of the plant’s current information control structure within the context of a specific, significant event. The second tool is Systems Theoretic Process Analysis (STPA) which is a proactive risk analysis tool used to examine existing and potential, planned sociotechnical systems. STPA was used to identify risk factors in the current design of a generic nuclear power plant (NPP) preventive maintenance system. Our analyses focused on identifying near-term system improvements and longer-term design requirements for an optimized IAE system. CAST analysis findings indicate an important underlying contributor to the incident under investigation, and a significant risk to information automation system performance, was perceived time and schedule pressure, which exposed weaknesses in interdepartmental coordination between and within responsible plant organizations and challenged the resilience of established plant processes, until a human caused the eventual event. These findings are discussed in terms of their risk to overall system performance and their implications for information automation system resilience and brittleness. STPA findings exposed several areas of concern in the design of current preventive maintenance systems. We also present two preliminary information automation models. The proactive issue resolution (PIR) model is a test case of an information automation concept with significant near-term potential for application and subsequent reduction in significant plant events. The IAE model is a more general representation of a broader, plantwide information automation system and represents an end-state vision for our work. From our results, we have generated an initial set of preliminary system-level requirements and safety constraints for these models. We have also focused on early development of easy to learn, easy to use “transportable” tools for sociotechnical systems analysis. We intend these to be used by NPP personnel as a means of gaining reliable and relatively quick insight into (1) sociotechnical systems factors impacting incidents and accidents, (2) potential sociotechnical risk factors in existing or planned system designs, and (3) potential weaknesses in a system’s safety and/or information control structure. We conclude the report with a set of summary recommendations, a discussion of planned and potential follow-on research and development, and a draft list of system-level requirements and safety constraints for optimized information automation systems.

99 GENERAL AND MISCELLANEOUS↗