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DOE OSTI2020

Evaluation of a pair-based, joint-likelihood association approach for regional infrasound event identification

SUMMARY A Bayesian framework for the association of infrasonic detections is presented and evaluated for analysis at regional propagation scales. A pair-based, joint-likelihood association approach is developed that identifies events by computing the probability that individual detection pairs are attributable to a hypothetical common source and applying hierarchical clustering to identify events from the pair-based analysis. The framework is based on a Bayesian formulation introduced for infrasonic source localization and utilizes the propagation models developed for that application with modifications to improve the numerical efficiency of the analysis. Clustering analysis is completed using hierarchical analysis via weighted linkage for a non-Euclidean distance matrix defined by the negative log-joint-likelihood values. The method is evaluated using regional synthetic data with propagation distances of hundreds of kilometres in order to study the sensitivity of the method to uncertainties and errors in backazimuth and time of arrival. The method is found to be robust and stable for typical uncertainties, able to effectively distinguish noise detections within the data set from those in events, and can be made numerically efficient due to its ease of parallelization.

58 GEOSCIENCES↗

DOE OSTI2018

Machine Learning Algorithms for Matching Theories, Simulations, and Observations in Cosmology (Final Project)

The search for simple and elegant equations to explain and predict observable natural phenomena has been a driving force in scientific theory for several centuries. The great successes of Newton's laws, Maxwell's equations, the Schrodinger equation, and the theory of General Relativity have encouraged this perspective, and perhaps a beautiful equation comprising a “theory of everything” remains to be discovered. But now scientists are grappling with systems of ever-increasing complexity, fraught with nonlinearity, and with the quantities of interest often only indirectly observed. Nature may resist a simple description, and the most important discoveries of the next century may be complex theories with countless variables and parameters. The era of big data opens up a promising new approach to scientific discovery in this setting. The predictions of modern theories, even if complex or nonlinear, can be examined through detailed and computationally-intensive simulations that take days or weeks to run and fill petabytes of disk space. The upcoming generation of scientific instruments will provide petabytes of observations at unprecedented resolution and depth. The challenge is to compare data to simulations so as to test theories and identify those that best match the observations. The data are numerous and rich but are subject to noise and various systematic biases. The simulations are large and detailed but are so costly that the effective sample size is small. Moreover, the mapping from data to simulation to the parameters of interest is typically complicated and ill-conditioned. Although these challenges, and the solutions we propose, apply across the sciences, we will ground our efforts by focusing on cosmology. Here, we are truly entering the era of big data in several senses. Ever larger experiments survey larger and larger cosmological volumes, resulting in enormous amounts of pixel data to process and extract the information of cosmological interest. These include large imaging surveys, which collect all the light in broad wavelength ranges over significant fractions of the sky, and spectroscopic surveys, which measure the light as a function of wavelength to map out 3D distances. These experiments are designed to shed light on the big unanswered questions in cosmology. Distilling the petabytes of data into observed quantities for comparison with theory is a daunting task. But these large experiments do not only result in large amounts of data to analyze: if we wish to compare to theories of physics, then we need increasingly extensive predictions for the observed quantities as well, which requires ever-larger cosmological simulations that take substantial -- and at times prohibitive -- computational resources to produce. Our goal is to develop statistical and machine learning methods for using observed and simulated data to advance machine learning with applications cosmology. In particular, we focus our research efforts on the following tasks: The challenge for automated science is that it is computationally impossible and statistically dangerous to consider every possible model in order to find the best one. We will develop Bayesian Optimization based active-learning methods that accelerate both the execution of the simulations and the search for best-fitting parameters. The key idea is to make the simulations adaptive -- across resolutions, time, and parameters -- using the data to search as the simulation runs; Most ML methods operate on simple finite dimensional feature vectors. However, many cosmology and other science applications require ML methods that can operate on more complex objects as inputs or outputs such as functions, distributions, or sets and point clouds. Our goal is to develop efficient ML methods for this problem and demonstrate their applicability in Cosmology, Astrophysics, and other science problems.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2026

Neural posterior unfolding

Differential cross section measurements are the currency of scientific exchange in particle and nuclear physics. A key challenge for these analyses is the correction for detector distortions, known as deconvolution or unfolding. Binned unfolding of cross section measurements traditionally rely on the regularized inversion of the response matrix that represents the detector response, mapping pre-detector (`particle level') observables to post-detector (`detector level') observables. In this paper we introduce Neural Posterior Unfolding, a modern, Bayesian approach that leverages normalizing flows for unfolding. By using normalizing flows for neural posterior estimation, NPU offers several key advantages including implicit regularization through the neural network architecture, fast amortized inference that eliminates the need for repeated retraining, and direct access to the full uncertainty in the unfolded result. In addition to introducing NPU, we implement a classical Bayesian unfolding method called Fully Bayesian Unfolding (FBU) in modern Python so it can also be studied. These tools are validated on simple Gaussian examples and then tested on simulated jet substructure examples from the Large Hadron Collider (LHC). We find that the Bayesian methods are effective and worth additional development to be analysis ready for cross section measurements at the LHC and beyond.

Analysis and statistical methods↗

DOE OSTI2019

REALIZATION OF A AUTOMATED T-WAY COMBINATORIAL TESTING APPROACH FOR A SOFTWARE BASED EMBEDDED DIGITAL DEVICE

Under the Department of Energy’s Light Water Reactor Sustainability Program, within the Plant Modernization research pathway, the Digital I&C Qualification Project is identifying new methods that would be beneficial in qualifying digital I&C systems and devices for safety-related usage. One such method that would be useful in qualifying field components such as sensors and actuators is the concept of testability. The Nuclear Regulatory Commission (NRC) considers testability to be one of two design attributes sufficient to eliminate consideration of software-based or software logic-based common cause failure (the other being diversity). The NRC defines acceptable “testability” as follows: Testability – A system is sufficiently simple such that every possible combination of inputs and every possible sequence of device states are tested and all outputs are verified for every case (100% tested). [NUREG 0800, Chapter 7, Branch Technical Position (BTP) 7-19] This qualification method has never proven to be practical in view of the very large number of combinations of inputs and sequences of device states for a typical I&C device. However, many of these combinations are not unique in the sense that they represent the same state space or in that that they represent state space that would not affect the critical design basis functions of the device. Therefore, the state space of interest might possibly be reduced to a manageable dimension through such analysis. This project will focus on a representative I&C device similar in design, function, and complexity to the types of devices that would likely be deployed in nuclear power plants as digital or software based sensors and actuators (e.g. Smart Sensors). Analysis will be conducted to determine the feasibility of testing this device in a manner consistent with the NRC definition. This report describes the development of test process for Bounded Exhaustive Testing with respect to Combinatorial Test (CT) methods. The report describes the candidate Device Under Test SW – the VCU smart sensor, conceptual experimental methods for stated test objectives, description of the process, tools, resources, and computing. This information will be used to fully develop a detailed test plan (based on statistical measure needs) and test environment for conducting an I&C device testability demonstration study. The future planed experimental study of this project is to demonstrate digital qualification via Bounded Exhaustive Testability with respect to Common Cause Failure.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2016

AGNfitter: a Bayesian MCMC approach to fitting spectral energy distributions of AGNs

We present AGNfitter, a publicly available open-source algorithm implementing a fully Bayesian Markov Chain Monte Carlo method to fit the spectral energy distributions (SEDs) of active galactic nuclei (AGNs) from the sub-millimeter to the UV, allowing one to robustly disentangle the physical processes responsible for their emission. AGNfitter makes use of a large library of theoretical, empirical, and semi-empirical models to characterize both the nuclear and host galaxy emission simultaneously. The model consists of four physical emission components: an accretion disk, a torus of AGN heated dust, stellar populations, and cold dust in star-forming regions. AGNfitter determines the posterior distributions of numerous parameters that govern the physics of AGNs with a fully Bayesian treatment of errors and parameter degeneracies, allowing one to infer integrated luminosities, dust attenuation parameters, stellar masses, and star-formation rates. We tested AGNfitter’s performance on real data by fitting the SEDs of a sample of 714 X-ray selected AGNs from the XMM-COSMOS survey, spectroscopically classified as Type1 (unobscured) and Type2 (obscured) AGNs by their optical–UV emission lines. We find that two independent model parameters, namely the reddening of the accretion disk and the column density of the dusty torus, are good proxies for AGN obscuration, allowing us to develop a strategy for classifying AGNs as Type1 or Type2, based solely on an SED-fitting analysis. Our classification scheme is in excellent agreement with the spectroscopic classification, giving a completeness fraction of ∼86% and ∼70%, and an efficiency of ∼80% and ∼77%, for Type1 and Type2 AGNs, respectively.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2019

Development of an Assessment Method for Radiation Exposure from NORM in Construction Materials - 19032

Once radiological impact is usually considered to be related to nuclear energy accidents and atomic bombs, most of the research on radiation protection has been focused on artificial radionuclides and radioactive waste. Less attention had been given to radiation exposure due to the presence of naturally occurring radioactive materials in raw materials usually considered as not radioactive and used in manufacturing of many building materials. At national level, radiological data from building materials is not available as the control of building materials regarding the content of naturally occurring radionuclides is addressed for the first time in the EU Directive 2013/59/EURATOM. At international level the research developed is largely incomplete: data on the activity concentration measurements of Ra-226, Th-232 and K-40 in building materials used in the construction industry in the EU is non-statistically representative. The data collected are not enough to have an idea of the European situation, but they confirm high concentration of Ra-226, Th-232 and K-40, in some cases. Moreover, most of the research studies carried out in the EU are based on the assessment of the activity concentration index, which was derived for practical monitoring purposes to identify whether a dose criterion is met; to be used only as a screening tool for identifying materials which might be of concern. The dose criterion considers only effective dose due to γ-radiation, but population at home is also exposed to Rn-222 (and Rn-220) from soil, water and building material itself, sometimes to β radiation from superficial materials, and even to Cs-137 from some types of wood. The indoors exposure can be actually much higher than the value assessed with the dose criterion method. Also, in most cases toxic and radioactive components are inseparably. Therefore, all technical questions related to the toxic part of these materials should be addressed: an integrated approach is needed to assess the impacts of using these materials (new materials, recyclates and by-products). Until recently, radiation from natural sources seemed both unremarkable and unalterable - a background phenomenon. It is now known that doses from natural sources and in particular, decay products of radon can be remarkably high within houses in some areas. Therefore, concerning exposure to natural radiation sources, special provisions have been laid down in the EU Directive 1996/28 EURATOM. Still, the radiological evaluation of building materials was not mandatory in this Directive. The most recent EU Directive 2013/59/EURATOM brings some changes concerning the exposure to natural occurring radioactive materials but the previous screening method was kept. An effective dose of 1 mSv/year was set, as a basis for the exposure to radionuclides of natural origin (except for radon). This work seeks to develop an integrated radiological and chemical-mineralogical assessment methodology for realistic exposure scenarios concerning different types of raw materials, by-products and recyclates and used as building materials. The methodology includes the characterization of selected materials accounting for radiological exposure - calculation of effective dose; toxicity assessment - determination of chemical composition and leaching tests, study of changes in the microstructure and consequently in the radon emanation coefficient. (authors)

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2023

3P Program: Phenotyping X Prediction = Productivity (Final Scientific/Technical Report)

The goal of the 3P Program was to establish integrated, real-time phenotyping and to analyze above- and below-ground plant architecture and total carbon partitioning and allocation to predict heterosis and develop superior crop hybrids by fully leveraging the Sorghum gene pool. There were two overarching themes: 1) the development of a new crop improvement approach utilizing advances in high-throughput phenotyping (HTP), computing, and genomics for public dissemination and 2) leveraging this platform for sorghum crop improvement and commercialization. The Clemson team worked on creating genomic resources and using both statistical learning and high-throughput phenotyping in genomics-assisted breeding. Research was broadly interested in the genetics of carbon partitioning, with the aim of improving crop performance and achieving sustainability. The technology and resources created can be readily found in the public domain and serve to advance scientific understanding of crop genomics and breeding. Genomic prediction was able to identify top crosses to be made, and a hybrid prediction pipeline is in place to drive year-over-year genetic gain. Roots have long been ignored by plant breeders and agronomists, not because they are unimportant but because they are hard to measure. This is an untapped white space of potential insight and innovation. To address this, Hi Fidelity Genetics developed the RootTracker to measure roots in the field on a continuous basis. A database system called RootTracker Tracker was developed to handle data coming from the RootTrackers. In using this device, valuable data was observed for plant breeding, hydrochemical development, and other agricultural biology applications. Carnegie Mellon’s goal was developing new techniques to generate high-resolution 3D models of plants from data collected in the field. The idea was that more useful and more informative phenotypes could be extracted by resolving small features, such as seeds and flowers, and that by modeling in 3D, the spatial structure of plants could be examined. To achieve this, multiple images collected by a new small format structured light stereo imager were fused together. A sorghum panicle modeling pipeline was developed to allow the collection and processing of data. Carolina Seed Systems is an agricultural technology company focused on decarbonizing the agricultural system. Their technology pipeline serves to drive fundamental progress towards creation and distribution of carbon negative crops. The genomic and the engineering technology developed through the 3P Program was leveraged to deliver both value and sustainability from the grower to the consumer. Promising sorghum hybrids were scaled up and commercialized. The overall goal of our research was to integrate, create, and deploy genetic and engineering concepts and technologies to enhance crop productivity in a sustainable fashion. The combination of public and private partners allowed the basic research and hypothesis testing to be quickly accelerated for commercial application by the companies yet maintained that the core framework and academic insights remain in the public domain for continued market disruption, competition, and innovation.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2025

Are light curve classification metrics good proxies for SN Ia cosmological constraining power?

Context. When selecting a light curve classifier for use as part of a photometric supernova Ia (SN Ia) cosmological analysis, it is common to make decisions based on metrics of classification performance, such as the contamination within the photometrically classified SN Ia sample, rather than a measure of cosmological constraining power. If the former is an appropriate proxy for the latter, this practice would eliminate the computational expense of a full cosmology forecast in the analysis pipeline design process. Aims. This study tests the assumption that light curve classification metrics are an appropriate proxy for cosmology metrics. Methods. We emulated photometric SN Ia cosmology light curve samples with controlled contamination rates of individual contaminant classes and evaluated each of them under a set of classification metrics. We then derived cosmological parameter constraints from all samples under two common analysis approaches and quantified the impact of contamination by each contaminant class on the resulting cosmological parameter estimates. Results. We observe that cosmology metrics are sensitive to both the contamination rate and the class of the contaminating population, whereas the classification metrics are shown to be insensitive to the latter. Conclusions. Based on these findings, we discourage any exclusive reliance on light curve classification-based metrics for analysis design decisions, which (counterintuitively) include but are not limited to the classifier choice. Instead, we recommend optimising science analysis pipeline design choices using a metric of the information gained about the physical parameters of interest.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2016

Calcium Phosphate Constraints in HLW Glasses: Phosphate Liquidus Model

About 50 million gallons of high-level mixed waste is currently stored in underground tanks at the United States Department of Energy’s (DOE’s) Hanford site in the State of Washington. The Hanford Tank Waste Treatment and Immobilization Plant (WTP) will provide DOE’s Office of River Protection (ORP) with a means of treating this waste by vitrification for subsequent disposal. The tank waste will be separated into low- and high-activity waste fractions, which will then be vitrified respectively into Immobilized Low Activity Waste (ILAW) and Immobilized High Level Waste (IHLW) products. The ILAW product will be disposed in an engineered facility on the Hanford site while the IHLW product is designed for acceptance into a national geological disposal facility for high-level nuclear waste. The ILAW and IHLW products must meet a variety of requirements before they can be accepted for disposal. Glass property-composition models will be used to control the vitrification process at the WTP to ensure that the glass meets product quality and processability requirements. The quality and the validity ranges of the property-composition models and the supporting database will greatly influence waste treatment operations, including the waste loading that is achievable in the glass for each waste composition. The current baseline models for operation of the WTP were developed under the Bechtel National, Inc. (BNI) WTP contract. These models were based on LAW and HLW glass property data over a range of compositions that was guided primarily by the WTP contract and the set of tanks specified therein. The HLW testing was directed towards waste streams from the then-planned early feed tanks for the WTP (i.e., AZ-101, AZ-102, C-106/AY-102, and C-104/AY-101). These wastes are high in iron (AZ-101, AZ-102, and C-106/AY-102) or thorium (C-104/AY-101). While the baseline models may be adequate for commissioning of the facility and processing of the specified tanks, refinements and extensions or augmentations of these models will be required to process the balance of the tank waste inventory. The overall mission of the WTP will require the immobilization of tank waste compositions that are variously dominated by mixtures of aluminum, chromium, bismuth, iron, phosphorous, zirconium, and sulfur compounds as waste-loading-limiting components. Further, the WTP contract includes minimum waste loading requirements that are generally rather modest while loadings significantly higher than those in the current baseline are likely achievable. In order to achieve these higher waste loadings and to expand the applicable composition regions, new models will be needed to support the optimized operation of the WTP. Since the development of the baseline WTP models, ORP directed a program of work at the Vitreous State Laboratory (VSL) to examine various approaches for optimization of the performance of the WTP, including increasing the waste loadings in the LAW and HLW glass products. That work involved HLW rich in Al, Al+Na, Cr, Bi, S, Zr, Sr, P and Fe, in contrast to old baseline models that were based mostly on HLW tanks that were high in Fe, with one other that was also high in Th. Glass property data collected under the ORP program were compiled and combined with data collected to develop the WTP models. The combined databases have been used to update pre-existing HLW composition models or to develop new models for properties such as Product Consistency Test (PCT) responses, spinel crystallization (one-percent crystal fraction temperature, T 1% ), melt viscosity, melt electrical conductivity, nepheline formation upon slow cooling (i.e., Canister Centerline Cooling [CCC]), and Toxicity Characteristic Leach Procedure (TCLP) Cd response. While spinel is typically the most commonly occurring phase in HLW glasses, other phases can be limiting depending on the waste and glass composition. For example, various phosphate phases can become important as the phosphorus content increases. Lithium phosphate crystallization can impact PCT releases of HLW glasses, while calcium phosphate phases forming in the cold-cap can deleteriously impact feed processing in the melter. At present, however, no models exist that relate glass composition and crystallization of phosphate phases in general and calcium phosphate in particular. The present work was therefore directed towards the initial development of such models. Future work may be directed at studying amorphous phase separation in high phosphate HLW glasses. Within the River Protection Project, feed compositions are projected using the Hanford Tank Waste Operations Simulator (HTWOS), a dynamic computer model that tracks the waste through storage, retrieval, feed staging, and treatment processes. A review of the HTWOS data shows that WTP will process 4106 batches of HLW glass for the overall mission (System Plan Rev. 6, ORP-11242), each with its own waste feed and glass composition. Some of the projected HTWOS feed batches are expected to have relatively high concentrations of phosphorous compared to typical HLW streams. In the 4106 batches of HLW for the overall WTP mission P 2 O 5 varies from 0.59 wt% to 13.00 wt%, with 95 batches containing at least 10 wt% P 2 O 5 . Occurrences of phosphate crystals have commonly been noted in glasses with high bismuth and phosphorus contents. In addition, recently collected data from a set of statistically designed HLW matrix glasses prepared and characterized to support enhancement of the HLW glass property-composition models identified apatite in a number of glass samples. However, the current HLW model for crystallization (one-percent crystal fraction temperature) is applicable only to spinel crystallization in glasses. Previous projections of waste loadings and glass volume (such as those in System Plan Rev. 6, ORP-11242) have used preliminary constraints for calcium phosphate crystallization that are based on the limited available data. Additional data and improved constraints or, preferably, models that relate glass composition to crystallization of phosphate-containing phases, are therefore needed to support HLW vitrification at the WTP. The present study focuses on the development of such a model based on data from previously characterized glasses and a set of newly fabricated glasses.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2023

AN ACID BAKING APPROACH TO ENHANCE RARE EARTH ELEMENT RECOVERY FROM BITUMINOUS COAL SOURCES

Rare earth elements (REE) are a group of 17 elements typically classified as light and heavy rare earth elements, which play a crucial role in developing the latest technologies for energy, defense, and medical sectors. Even though REEs have been found in more than 200 minerals, only bastnaesite, monazite and xenotime are commercially exploited for REE extraction. However, the recent exponential increase in REE demand has spurred countries such as the United States into research for the extraction of REEs from secondary sources such as coal, acid mine drainage, and coal ash. Several coal sources (e.g., Fire Clay seam coal) across the United States have been identified to contain elevated concentrations of rare earth elements (>600 ppm), and various researchers have investigated the feasibility of both physical and hydrometallurgical extraction techniques for rare earth concentration and subsequent extraction. However, both physical and direct leaching were concluded to be inefficient for RE beneficiation and extraction due to low recoveries. Alternatively, thermal treatment provides promising means for RE recovery from bituminous coal sources. The positive impact of thermal treatment/calcination was established to be due to the decarbonization and dehydroxylation of the clays, which released entrapped rare earth elements within the dominant minerals and converted them into an acid-soluble form. Nonetheless, the improvement in recovery was limited to the light REEs (LREEs) with an insignificant increase in the heavy REEs (HREE). It was demonstrated that the light and heavy REEs in the material were associated with difficult-to-leach minerals such as monazite, xenotime, and zircon, which were not decomposed by simple calcination due to their high thermal stability. Hence, roasting in the presence of chemicals was necessary to ensure the decomposition of those REE-containing minerals. As such, this study was focused on the acid baking treatment of bituminous coals with an aim to enhance REE recovery, especially HREEs. Based on the presence of REE minerals like monazite and xenotime, three pre-leach treatment methods, i.e., 1) roasting, 2) direct acid baking, and 3) acid baking after roasting were investigated. Roasting tests at 600 ⁰C revealed that the recovery of light REEs (LREEs) was enhanced while the recovery of HREEs remained relatively unaffected. LREE and HREE recovery values of 38.3% and 21.3%, respectively, were achieved using a 50 g/L sulfuric acid solution at 5% solid concentration and a solution temperature of 75 ⁰C for 2 hours. Comparatively, direct acid baking at 250 °C provided substantial increased LREE and HREE recovery values to approximately 49.4% and 53.0%, respectively, using an equivalent acid dosage. Recoveries were maximized to 77.0% and 79.6% for LREE and HREE, respectively, by roasting followed by acid baking. Similar results were obtained from the treatment of a second bituminous coal source. Due to strong correlations between REE and Al recovery values, tests were performed on kaolinite and illite, which were prominent clay minerals within the source coals. These experiments revealed that the REE recovery improvements were likely a result of dehydroxylation of clays and subsequent release and decomposition of REE-bearing minerals such as monazite, xenotime and zircon. Subsequently, a parametric study was conducted to identify the impact of acid baking parameters on rare earth element recovery. The factors investigated using a three-level statistical experimental program were acid baking time, acid solution concentration, baking temperature, and acid solution-to-solids ratio which were found to significantly impact REE and contaminant element (Al, Fe, and Ca) recovery. An increase in baking temperature up to around 250 ⁰C improved the light and heavy REE recovery values by more than 50 absolute percentage points relative to performances achieved when direct leaching. As aforementioned, acid baking was needed to both decompose the clay minerals and liberate the REE minerals, which allowed access for the acid to solubilize the REEs. Acid concentration of the solution used for acid baking was studied as a means of minimizing the amount of acid needed to achieve a target REE recovery. However, thermo-gravimetric and differential scanning calorimetry analysis (TGA-DSC) of sulfuric acid under oxidizing atmosphere revealed that the addition of water decreased the evaporation temperature, which explains the lower REE recovery values obtained when using acid concentrations less than 100%. Using pure sulfuric acid at an acid-to-solid ratio of 0.8:1 resulted in recovery values of around 70% for both LREEs and HREEs. The decomposition reaction time was relatively quick with 65% of the TREEs recovered within the first 10 minutes. Following the identification of optimum operating conditions through the parametric study, a systematic leaching study was carried out to examine the impact of leaching parameters, such as solid-to-liquid (S/L) ratio, temperature, and time, on REE recovery using acid baking conditions of 1:1 acid to solids ratio at 250 °C for 30 minutes. The solid-to-liquid ratio was varied from 1-20% by weight at 25 °C, 50 °C, and 75 °C solution temperatures. The results indicated that reaction time and solution temperature considerably impacted the recovery of heavy and light REEs. Interestingly, LREE recovery reduced from 68% at 5% S/L to 58% at 20%S/L, whereas HREE recovery of 78% remained unaffected. The decrease in the LREE recovery was determined to be due to La and Ce precipitation, likely through isomorphic substitution with calcium in gypsum. The kinetic data indicated that 67% LREE and 77% HREE recovery could be obtained within the first 15 minutes of the reaction, suggesting fast reaction kinetics. Furthermore, raising the solution temperature from 25 °C to 75 °C increased the LREE and HREE recovery from 60% and 32% to 67% and 79%, respectively. The kinetic modeling results demonstrated that the rate-limiting step in the LREE dissolution was diffusion and chemical reaction, whereas the HREE extraction was controlled by only chemical reaction. The leaching study concluded that using 20% S/L at 75 °C for 15 minutes maximized LREE and HREE recovery. The lab-scale precipitation study showed that Fe and Al in solution could be removed at pH 4.5 followed by REE precipitation at pH 6.0 using 6 mol/L NaOH. Finally, the bench-scale data was used to develop a process flowsheet for REE recovery from low-grade bituminous coal sources using acid baking. Finally, based on the proposed flowsheet, a concentrated RE-cake obtained through selective precipitation at pH 6.5 was re-leached using HCl at pH 1.5. The resultant leachate was used to identify the impact of various operating parameters on REE recovery and purity with an aim to maximize REE precipitation efficiency while minimizing the oxalic acid dosage. The operating parameters for this investigation were oxalic acid dosage, iron (III) contamination, solution pH and temperature. The resultant model suggested that oxalic acid dosage and reaction pH are the most significant factors for the REE precipitation efficiency, followed by the interaction of oxalic dosage and Fe concentration. Test results indicated that increasing the oxalic acid concentration from 0g/L to 80g/L improved the REE precipitation efficiency from approximately 4.2% to 95.0%. Furthermore, raising the solution pH from 0.5 to 2.5 considerably enhanced the precipitation efficiency from 0.0% to 98.9%. A solution temperature elevation decreased REE recovery, which indicated an exothermic reaction between REEs and oxalate anions. Finally, a high level of Fe contamination adversely impacted REE precipitation efficiency. The speciation analysis revealed that the dominant iron species in the solution system were Fe-(C₂O₄)₃³⁻, Fe-(C₂O₄)²⁻, and Fe-(C₂O₄)⁺, which consumed the majority of the oxalate anions

rare earth elements, acid baking, high-temperature↗

DOE OSTI2019

Multi-Formalism Modeling for Disaster Resilience, Forecasting, and Response

Disaster response preparedness, risk mitigation, and effective post-event response are critical for national security, public health, and economic integrity. For areas impacted by extreme events, timely and accurate impact assessments of lifeline infrastructures are critical. Traditional disaster management and situational awareness platforms are not capable of handling the massive influx of available information from traditional and non-traditional sources. Next-generation analytic assessment approaches, where use of dynamically sourced, heterogeneous data with near real-time availability are integrated into a continually-updated analytics framework. The objective of this research was to develop a foundational multi-formalism modeling platform to integrate novel data sources for use in improving situational awareness after a disaster event. Specifically, to 1) provide an architecture for machine-learning based data fusion various multi-sensor datasets; 2) classify, geolocate, and temporally bin novel data sources for use in spatially-enabled machine-learning based data fusion; and 3) derive confidence-based observation data with machine-learning based prediction to fill spatial and temporal observation gaps. This project developed a reusable cloud-based pipeline architecture for ingesting, storing, and analyzing relevant data, executing a range of deep-learning models, and visualize the information geographically. The pipeline development was informed by previous PNNL investments (StreamKit) and built upon leading-edge technologies consisting of: 1) a raw datastore; 2) a data enrichment pipeline with custom and third-party analytics; 3) enriched data storage; and 4) a custom UI to display the enriched data. Machine learning/deep learning models were selected and tested to classify social media images for relevancy and presence of flood waters. Our custom trained relevance models were run on a validation dataset and the overall accuracy of the relevance classifiers ranged from 65% to 90%. We found that convolutional neural network (CNN) models were both faster and more accurate than more traditional machine learning models. We applied the relevance classifier to remove non-relevant images and then undertook a limited training of CNN models to detect flood on ~1,800 labeled images. The testing accuracy of the flood detection models were ~88%. To improve the geographic location of both social media and oblique aerial images we tested a multi-step workflow built on a pre-trained deep-learning model. To identify similarity features from test and reference scenes, we applied the Xception and Faiss models to a set of test images with inaccurate spatial locations, as well and precisely-located reference scenes from the general area. Matching reference scenes to the test scenes with the closest similarity index had limited success in improving the precision of test scene location and additional methods have been identified for testing. Data fusion between authoritative geographic data (satellite imaging) and non-authoritative crowdsourced data is an underlying theme throughout this research and methods are tested bring these data to a common geographic form through feature matching and transformations. The automated extraction of supporting information for disaster response from oblique aerial images or ground-level social media images is accomplished through semantic image segmentation and transformation. The non-authoritative data are used to validate the authoritative data collections and processing and optionally, t+0 flood models. In addition, the common form geographic data are combined with other static landscape features to develop spatially-explicit training vectors used in deep generative statistical inference models to develop complex non-linear relationships in static and dynamic data and ultimately derive a spatially continuous and probabilistic assessment of flood damage with the event domain.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2021

A machine learning approach to galaxy properties: joint redshift–stellar mass probability distributions with Random Forest

We demonstrate that highly accurate joint redshift–stellar mass probability distribution functions (PDFs) can be obtained using the Random Forest (RF) machine learning (ML) algorithm, even with few photometric bands available. As an example, we use the Dark Energy Survey (DES), combined with the COSMOS2015 catalogue for redshifts and stellar masses. We build two ML models: one containing deep photometry in the griz bands, and the second reflecting the photometric scatter present in the main DES survey, with carefully constructed representative training data in each case. We validate our joint PDFs for 10 699 test galaxies by utilizing the copula probability integral transform and the Kendall distribution function, and their univariate counterparts to validate the marginals. Benchmarked against a basic set-up of the template-fitting code bagpipes, our ML-based method outperforms template fitting on all of our predefined performance metrics. In addition to accuracy, the RF is extremely fast, able to compute joint PDFs for a million galaxies in just under 6 min with consumer computer hardware. Such speed enables PDFs to be derived in real time within analysis codes, solving potential storage issues. As part of this work we have developed galpro 1, a highly intuitive and efficient python package to rapidly generate multivariate PDFs on-the-fly. galpro is documented and available for researchers to use in their cosmology and galaxy evolution studies.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2018

Star-galaxy classification in the Dark Energy Survey Y1 dataset

Here, we perform a comparison of different approaches to star-galaxy classification using the broad-band photometric data from Year 1 of the Dark Energy Survey. We explore and compare different techniques to address this problem: morphological versus using additional flux information, differences between machine-learning, cut based and template fitting including Hierarchical Bayesian methods and catalogue-based versus image-based analyses. This is done by performing a wide range of tests with and without external ‘truth’ information, which can be ported to other similar datasets. We make a broad evaluation of the performance of the classifiers in two science cases with DES data that are most affected by this systematic effect: large-scale structure and Milky Way studies. In general, even though the default morphological classifiers used for DES Y1 cosmology studies are sufficient to maintain a low level of systematic contamination from stellar mis-classification, contamination can be reduced to the O (1%) level by using multi-epoch and infrared information from external datasets. For Milky Way studies the stellar sample can be augmented by ~20% for a given flux limit. Reference catalogues used in this work are available at http://des.ncsa.illinois.edu/releases/y1a1.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗

DOE OSTI2022

Findings on Subtask 3.1 - Bakken Rich Gas Enhanced Oil Recovery Project

Total in-place oil for the Bakken petroleum system (BPS) (which includes the Bakken and Three Forks Formations) has been estimated to be 600 billion barrels (bbl). However, BPS wells have decline rates as high as 85% over the first 3 years of their lives, and primary recovery factors typically range from 3% to 10% of original oil in place. Given the low initial recovery rates, even small incremental productivity improvements could dramatically increase technically recoverable oil in the BPS. One potential solution is enhanced oil recovery (EOR) using gas injection, such as carbon dioxide (CO2) or hydrocarbon (HC) gases. While commonly used in conventional reservoirs, CO2 EOR in unconventional tight oil reservoirs has been limited to pilot tests. EOR using rich gas (mixture of methane, ethane, and propane) has also been employed in numerous pilots in several unconventional plays and has recently been successfully applied in the Eagle Ford play. If successful, large-scale gas-based EOR in the BPS could dramatically increase oil productivity and recovery factors and extend the life of the play for decades. While CO2 may be a technically suitable working fluid for EOR in the BPS, supplies are limited and costs for using CO2 in EOR pilots are prohibitively high. Meanwhile, produced gas flaring has presented challenges for BPS operators in North Dakota. Analysis conducted by the North Dakota Pipeline Authority indicates that the current gas-gathering infrastructure in North Dakota is insufficient to accommodate all of the associated gas that is produced from the BPS. The geographically isolated location of North Dakota relative to large natural gas markets, combined with suppressed natural gas prices, has made it economically challenging for industry to invest capital in expanding gas-gathering infrastructure in the state. These circumstances led to a research program conducted by the Energy & Environmental Research Center (EERC) in partnership with Liberty Resources Management Company LLC (LR) to examine the potential to use rich gas injection for EOR and mitigate flaring. A rich gas EOR pilot test was designed and executed by LR at its Stomping Horse development area in Williams County, North Dakota. From July 2018 through May 2019, a total of 160 million standard cubic feet (MMscf) of rich produced gas was injected into the BPS using five different wells in a sequential injection strategy. LR’s Leon–Gohrick drill spacing unit (DSU) was used as the test site. Regulatory oversight was provided by the North Dakota Industrial Commission (NDIC). Technical support was provided by the EERC through a series of laboratory, modeling, and field-based activities, and additional post-pilot research activities incorporated learnings from the test, developed new laboratory data, improved fracture modeling methods, and developed machine learning and big data analytics. The results from the Stomping Horse rich gas EOR pilot activities indicate that developing an effective, economical EOR approach for the BPS will require more field tests. Another key lesson learned from the Stomping Horse tests is that detailed pre- and posttest data on reservoir conditions and fluids production are essential. Robust reservoir characterization provides information that is crucial to creating realistic geomodels and conducting valid dynamic simulations of potential EOR scenarios. A detailed understanding of the completions and production history of offset wells is also necessary for valid test result interpretations. This knowledge is essential to designing the operational parameters of injectivity tests and interpreting the results. A conformance control strategy is also essential to success. Laboratory-based examinations of rich gas interactions with reservoir fluids and rocks were conducted, with an emphasis on determining the ability to mobilize oil in the tight reservoir rocks and shales of the BPS. Injection fluid composition was shown to have a positive impact on reducing reservoir oil minimum miscibility pressure (MMP), reducing interfacial tension (IFT), and altering wettability. IFT and contact angle measurements demonstrated that wettability can be altered in the presence of rich gas, suggesting the potential to improve oil recovery. Iterative modeling of surface infrastructure and reservoir performance using data generated by the various project activities was conducted. A geologic model of the Stomping Horse area was built; history-matched oil, gas, and water production was used in simulations of various EOR scenarios. Early programmatic modeling results were used to support LR’s design and operation of the EOR pilot and to provide insight regarding optimization of future commercial-scale BPS EOR design and operations. Post-pilot modeling focused on alternative methods of understanding complex fracture networks and accelerating simulation time. These led to improved simulation run times and provide excellent history-matching results. Several of these iterative models were used as the bases for developing algorithms into machine learning and big data analytics. History matching in reservoir simulation is time-consuming and computer processing-intensive. Machine learning algorithms were created, and an automated history-matching tool was developed. A large set of synthetic reservoir simulations were created to generate well responses (oil, gas, and water production, well bottomhole pressure [BHP], and tracer or propane breakthrough) for a set of EOR operating parameters that included offset well status (open or closed), injectate (rich gas or propane), injection rate, and injection well BHP. A user interface was developed to provide real-time visualization. Machine learning-based models were developed to provide rapid forecasting of well performance given a set of user-defined EOR operating parameters. These predictive models allow the user to modify the offset well status, injection rate, and injection well BHP and rapidly forecast future production performance. The combination of real-time visualization tools with real-time forecasting tools provides a framework for real-time control—operational changes that the EOR site operator can enact (e.g., changing gas injection rates) to affect the observed performance and potentially improve the EOR outcome. There is great reason to be optimistic about the future of EOR in the Bakken. The results of the laboratory studies suggest significant potential for high rates of oil mobilization using produced field gas injection under the right conditions. The results of the lab studies, combined with rigorous statistical analysis of well production data and associated modeling efforts, confirm the notion that fluid mobility within the reservoir is controlled by fractures. As more knowledge is gained about the nature and distribution of fracture networks in the Bakken, the industry will be in a better position to predict and, ultimately, influence fluid mobility. New field tests are necessary to develop a more complete understanding of those conditions. Thoughtful and creatively engineered field tests within a well-characterized geologic setting will yield the fundamental knowledge needed to take Bakken oil production to the next level. This subtask was cofunded through the EERC–U.S. Department of Energy Joint Program on Research and Development for Fossil Energy-Related Resources Cooperative Agreement No. DE-FE0024233. Nonfederal funding was provided by the North Dakota Industrial Commission’s Oil and Gas Research Program and Computer Modelling Group.

04 OIL SHALES AND TAR SANDS↗

DOE OSTI2016

Mapping and simulating systematics due to spatially-varying observing conditions in DES science verification data

Spatially-varying depth and characteristics of observing conditions, such as seeing, airmass, or sky background, are major sources of systematic uncertainties in modern galaxy survey analyses, in particular in deep multi-epoch surveys. We present a framework to extract and project these sources of systematics onto the sky, and apply it to the Dark Energy Survey (DES) to map the observing conditions of the Science Verification (SV) data. The resulting distributions and maps of sources of systematics are used in several analyses of DES SV to perform detailed null tests with the data, and also to incorporate systematics in survey simulations. We illustrate the complementarity of these two approaches by comparing the SV data with the BCC-UFig, a synthetic sky catalogue generated by forward-modelling of the DES SV images. We then analyse the BCC-UFig simulation to construct galaxy samples mimicking those used in SV galaxy clustering studies. We show that the spatially-varying survey depth imprinted in the observed galaxy densities and the redshift distributions of the SV data are successfully reproduced by the simulation and well-captured by the maps of observing conditions. The combined use of the maps, the SV data and the BCC-UFig simulation allows us to quantify the impact of spatial systematics on N(z), the redshift distributions inferred using photometric redshifts. We conclude that spatial systematics in the SV data are mainly due to seeing fluctuations and are under control in current clustering and weak lensing analyses. However, they will need to be carefully characterised in upcoming phases of DES in order to avoid biasing the inferred cosmological results. The framework presented is relevant to all multi-epoch surveys, and will be essential for exploiting future surveys such as the Large Synoptic Survey Telescope, which will require detailed null-tests and realistic end-to-end image simulations to correctly interpret the deep, high-cadence observations of the sky.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2017

Field evaluation of remote wind sensing technologies: Shore-based and buoy mounted LIDAR systems

In developing a national energy strategy, the United States has a number of objectives, including increasing economic growth, improving environmental quality, and enhancing national energy security. Wind power contributes to these objectives through the deployment of clean, affordable and reliable domestic energy. To achieve U.S. wind generation objectives, the Wind and Water Power Program within the Department of Energy’s (DOE) Office of Energy Efficiency and Renewable Energy (EERE) instituted the U.S. Offshore Wind: Removing Market Barriers Program in FY 2011. Accurate and comprehensive information on offshore wind resource characteristics across a range of spatial and temporal scales is one market barrier that needs to be addressed through advanced research in remote sensing technologies. There is a pressing need for reliable offshore wind-speed measurements to assess the availability of the potential wind energy resource in terms of power production and to identify any frequently occurring spatial variability in the offshore wind resource that may impact the operational reliability and lifetime of wind turbines and their components and to provide a verification program to validate the “bankability” of the output of these alternative technologies for use by finance institutions for the financing of offshore wind farm construction. The application of emerging remote sensing technologies is viewed as a means to cost-effectively meet the data needs of the offshore wind industry. In particular, scanning and buoy mounted LIDAR have been proposed as a means to obtain accurate offshore wind data at multiple locations without the high cost and regulatory hurdles associated with the construction of offshore meteorological towers. However; before these remote sensing technologies can be accepted the validity of the measured data must be evaluated to ensure their accuracy. The proposed research will establish a unique coastal ocean test-bed in the Mid-Atlantic for the evaluation of LIDAR-based wind measurement systems to validate the accuracy of remotely measured wind data in marine applications. Specifically, the test-bed will be utilized to systematically evaluate the capability of emerging scanning LIDAR and buoy mounted vertically profiling LIDAR by: (1) Evaluating a fixed scanning LIDAR against land-based 50 and 60 meter high meteorological masts fitted with research quality cup-vane and/or sonic anemometers; (2) Evaluating a buoy mounted vertically profiling LIDAR fixed on land and floating in a sheltered bay against a co-located 60 meter high meteorological mast fitted with a research quality cup-vane and/or sonic anemometers and the fixed scanning LIDAR; and (3) Offshore field evaluation of both LIDAR platforms through a comparison of the fixed scanning LIDAR data and data obtained by the buoy mounted LIDAR located 10 miles offshore. The proposed research will systematically validate Light Detection and Ranging (LIDAR) based wind measurement systems and assess the temporal and spatial variability of the offshore wind resource in the Mid-Atlantic east of New Jersey. The goal of the proposed project is to address the technical and commercial challenges of the offshore wind energy industry by validating and assessing cost-effective, over ocean wind resource characterization technologies. The objective is to systematically evaluate the capability of both scanning and vertically profiling LIDARs to accurately measure 3D wind fields through comparison with fixed met masts and intercomparison among LIDAR platforms. Once validated, data collected by both buoy mounted vertically profiling LIDARs and shore-based, pulsed horizontally scanning LIDARs can be used to accurately assess offshore wind resources and to quantify the spatial and temporal variability in the offshore wind fields. One of the fundamental research questions to be addressed in phase 1 is the assessment of various measurement and data processing schemes to retrieve accurate wind vectors in the marine environment over large sampling ranges (10 to 12 km) and varying atmospheric aerosol levels. Atmospheric conditions and aerosol content within the coastal ocean region of the Mid-Atlantic seaboard of the US can vary significantly over short time periods in response to frontal passages and extratropical and tropical low pressure system passage offshore of the coast. Since aerosols provide the scattering medium for the determination of LIDAR Doppler shifts in the atmosphere the accuracy and range of LIDAR derived velocity measurements as a function of variation in aerosol content in the marine environment is a key research question to be addressed. In phase 1, it is desired to capture as much variation in atmospheric conditions and aerosol content as possible. To this end, collocated measurements of LIDAR and standard anemometer wind fields will be captured by the project PIs over all four seasons and during specific events (e.g., coastal low pressure system passage) in year 1. Additionally, since the meteorological masts are permanent structures, additional events can be captured over the three year duration of the field research project. All research instruments are owned by Fishermen’s Energy and made available to the PIs though a lease agreement as part of the DOE grant. Energy Fishermen’s Energy will be responsible for the operation and maintenance of the scanning LIDAR and met mast anemometers. On a daily basis, environmental data and systems performance indicators will be transmitted from each measurement station to the Fishermen’s project team consisting of both in-house personnel and equipment manufacturer engineers. Data sets include compiled LIDAR files as well as data sets from ancillary sensors. Diagnostic parameters to be monitored include standard deviations of measured values, battery levels and charging systems output, and the operational status. Once data have been confirmed as complete and reliable, files will be transferred to the Garrad Hassan (a subcontractor to Fishermen’s Energy) for incorporation in to the validation database, which is accessible to other scientific team members. Data collection times and durations will be determined by the PI and Co-PIs in consultation with instrument engineers to ensure the capture of data representative of the expected range of mid-Atlantic atmospheric conditions (e.g., temperature, moisture, coastal low pressure systems, tropical systems, rain, snow, fog). The collection and processing of the data is a function of site specific measurement requirements (Kelley et.al. 2007; Hannon et.al. 2008). To determine the optimal profiles of wind speed and direction from the LIDAR radial velocities as a function of azimuth angle, rigorous estimates of the bias and random error of each radial velocity estimate are required. Lockheed Martin Coherent Technologies, Inc., under contract with Fishermen’s Energy, will provide analyses of raw and processed data using various scan patterns to determine optimal performance settings for the pulsed scanning LIDAR. Once optimized, appropriate processing and analyses techniques will be evaluated by Garrad Hassan for use in validating the accuracy of the LIDAR wind field measurements against the standard anemometer measurements from the meteorological masts. The most attractive capability of the scanning LIDAR is the ability to provide high spatial resolution observations in a three-dimensional volume which provides superior statistical accuracy due to the large number of samples obtained. Each radial scan provides measurements in 100 range gates over a distance of 10 to 12 km at an update rate of 5 to 10 Hz and rotation of 2.5° per second. Each rotation at a fixed azimuth requires 2.4 minutes. Depending on the number of azimuths desired a complete scan can take up to 10 minutes or longer to complete. Once collected the radial velocities are processed to produce vector wind velocity estimates based on a set of data distributed in angle and range around points of interest, typically a standard grid within the radial wind map. To calculate wind vectors over a limited spatial area of interest for the comparison of data with other measurement platforms a localized least-squares approach has been applied by Hannon et.al. (2008) and a Variation Assimilation (VAR) processing technique has been applied by Chan and al Assimilation (VAR) processing technique has been applied by Chan and Shao (2006). Additionally, Kelley et.al. (2007) applied a “stare” technique that fixed a scanning LIDAR in both azimuth and elevation angles to measure over collocated sampling volumes of the LIDAR and a 3D sonic anemometer mounted to a fixed mast. Although the stare technique is limited to wind directions aligned with the sampling radial of the LIDAR, it does provide a direct comparison of sampling volumes. Each of the processing techniques described above (and possibly others) will be evaluated to determine the validity of the LIDAR derived wind fields in the marine environment. Numerical methods such as linear regression and comparison of probability density functions of wind fields measured by each instrument platform will be used to assess the processing techniques. Linear regression has the advantage of directly evaluating corresponding pairs of wind data measured by each instrument and can lend insight into deviations and bias between instruments as a function of wind speed. Assessment of the coherency between the probability density function of the wind measured by each instrument provides insight into processes that may not be accurately resolved by each instrument at specific frequencies. Once processed and assessed the most appropriate technique will be utilized to provide valid wind measurements from the pulsed scanning LIDAR. A detailed analysis of the measurement data from the LIDAR and the three meteorological towers and comparison of the coastal wind characteristics from the different systems will be performed by the CO_PI at NREL. This analysis will evaluate how the WT LIDAR performance and measurement of the wind characteristics vary with distance from the LIDAR and by atmospheric conditions; using the tower measurements at different distances (4.8, 9.6, and 19 km) from the LIDAR as a reference. The comparative analysis will include, to the extent possible, evaluation of parameters such as wind speed and direction distributions, wind shear, turbulence intensity and their variations by atmospheric conditions, month or season, and time of day.

17 WIND ENERGY↗

DOE OSTI2020

Residential Building Energy Efficiency Field Studies: Low-Rise Multifamily

In recent years, the U.S. Department of Energy (DOE) has conducted a series of research studies to validate energy efficient building technologies in the field. Much of the work has focused on single-family construction, and some has also addressed commercial energy codes. The work detailed in this DOE-funded study (EE0007616) focuses on low-rise multifamily buildings (three stories or fewer above grade) in various regions of the United States, and reports on how state-level building codes are being implemented, both in terms of observed characteristics and also in terms of estimated energy impacts. Nearly 100 buildings across four states—Illinois, Minnesota, Oregon, and Washington—were sampled, which represent a range of climate types from mild temperature to very cold continental. Both common entry and outdoor entry buildings were included, and a parallel research project evaluated envelope air tightness and current still-evolving air tightness testing methods. Finally, a set of structured interviews of building designers and other relevant professionals was carried to out to gain more insight into this market. To the greatest extent possible, the methodology developed under the project for low-rise multifamily buildings mirrored the approach established by Pacific Northwest National Laboratory (PNNL) for single-family residential buildings (https://www.energy.gov/eere/buildings/downloads/residential-building-energy-code-field-study). This included the general approach to sampling, recruitment, and data collection, as well as data analysis and presentation. The range of permitting dates for the sites encompassed two energy code cycles in most regions. All states in the study had adopted a variation of the International Energy Conservation Code (IECC) for the structure of their state code. The low-rise multifamily occupancy presents a hybrid building type: most of the building’s conditioned floor area was covered by the residential chapter of the code while portions of the building (such as corridors and common spaces) fell under the commercial code chapter. The key items assessed in this work were: Building Shell—exterior wall insulation, ceiling insulation, foundation insulation, windows. Common Areas—HVAC and lighting. Living Units—lighting, ventilation. A few items were not assessed in detail, given their relative paucity in this occupancy type; these included duct leakage, pipe insulation, and hot water circulation controls. Building characteristics were collected via a combination of architectural, mechanical, electrical, and plumbing plan reviews and field inspections, and entered into a spreadsheet-based tool that was later queried to build a database. Data went through quality control both upon arrival and via a later semi-automated review and assurance process. Most of the data are presented graphically so that the reader can quickly assess compliance with the applicable energy codes (both by state and by code year). As a final step, EnergyPlus™ simulations were created for all buildings in the study to estimate both the as-found energy use intensity (EUI) and the energy and CO 2 that could be saved if features that were found to not meet code minimums were brought up to code. The savings estimates were tabulated for each of the four states in the study. The research team found that the single-family approach was largely applicable to low-rise multifamily buildings. This applies to both the data collection and the prototype EUI analysis. Most of the occupied space is living units and falls under residential energy codes, and many characteristics use similar envelope construction and relatively straightforward mechanical systems and lighting. One of the most challenging aspects of this work was to build an effective spreadsheet-based data collection instrument that could allow efficient collection of both building plan and field data. The research team is of the view that other methods could be equally effective if the work is done carefully with diligent quality control. The primary findings for the work center around the thermal envelope and mechanical systems and lighting at the sites: For thermal envelope components, the majority of buildings met or were better than the prescriptive code.This suggests that building designers and builders are aware of code requirements. In some cases, surveyed buildings were designed to qualify for energy efficiency certification programs. These buildings made up at least 20% of sampled buildings in each state. Almost all buildings met mechanical system efficiency requirements (for both living units and common areas). In some cases, sites employed systems that were considerably more efficient than required by the applicable energy code. Dwelling units had a majority of high-efficacy lighting, often in excess of the state’s residential code requirements. While high-efficacy fixtures were also typical in common areas (corridors and stairwells), lighting power densities (LPDs) in these areas were sometimes higher than levels dictated by the applicable part of the state commercial energy code. The simulation models run on a series of low-rise multifamily prototypes, informed by a composite of the field data collected, calculated annual EUIs of between 20 and 50 kBtu/ft2-yr, with the range representing the effects of both building characteristics and building location (climate zone). A detailed process (based on simulations of prototype buildings) was used to estimate the amount of avoided energy use that would occur if 100% adherence to energy codes were attained. The results indicated modest savings are attainable for items such as window thermal performance and common area lighting. The result is overall only a modest potential for additional energy savings, averaging about 10% of EUI.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗