Results for “System Process” — Page 44

DOE OSTI2021

AGGREGATE: dAta-driven modelinG preservinG contRollable dEr for outaGe mAnagemenT and rEsiliency (Final Report)

The AGGREGATE project team successfully developed and validated various modules for outage management. Brief summaries of each module are provided to showcase their strength for outage management and restoration for a distribution system with a high penetration of connected distribution energy resources (DERs). In recent years, inverter-based DERs have been widely deployed in distribution system. A most of behind-the-meter (BTM) solar power generation is not visible to the utility. The data-driven DER and load estimation modules are using machine learning (ML) and artificial intelligence (AI) to manage this issue, which provides an opportunity for distribution system operators (DSOs) to operate systems and make decisions in real-time for a distribution system with a high penetration of DERs deployed. Also, the estimated DER and true load can be further leveraged in network aggregation and cold-load pick up estimation for reducing the computing complexity and providing for fast restoration. After load demand and DER power generations have been estimated, the information will support topology and state estimation (SE). The topology estimation module demonstrated the viability of mixed integer linear programming (MILP) formulation to estimate the most likely operational radial topology and outage sections using power flow measurements, historical/estimated load and DERs data and smart meter ping measurements. Formulation includes continuous (power flow, load and DERs data) and binary measurements (smart meter ping measurements) in a single formulation. Errors in continuous data and binary data are modeled as normal distribution and Bernoulli distribution, respectively. In the future distribution grid, the power injection from controllable DERs will be essential for efficient and resilient grid operation. However, determining the optimal DER injections and restoration actions is dependent on knowledge of the system states. State estimation (SE), already the cornerstone of transmission energy management systems, will become commonplace in distribution management systems as more measurements become available from deployment of automated metering infrastructure (AMI). Observability analysis is the first step in SE, as it determines the sufficiency of the available measurements for accurately estimating the current system states. A new type of pseudo-measurement called a Correlational Measurement (CM) is introduced in this module, to enhance the observability of the system to enable more accurate SE. CMs encapsulate knowledge of correlation between demand patterns for similar classes of loads as well as injection patterns for same-technology renewable DERs. During grid contingency scenarios, DERs have been traditionally disconnected, without any fault ride-through capabilities. However, with new regulations and better technology, it is feasible for these resources to contribute to the grid’s restoration after an adverse event and hence enhance resilience. The controllability module proposes a two-step restoration scheme for the power system restoration process by leveraging additional degrees of freedom in power electronics interfaced DERs for mitigating voltage problems. In a resilience mode without the utility system, the distribution grid relies on DERs to serve critical load. In such a severe event with multiple faults on the distribution feeders, actuation of various protective devices (PDs) divides the distribution system into electrical islands. The undetected actuated PDs due to fault current contributions from DERs can delay the restoration process, thereby reducing the system resilience. The Advanced Outage Management (AOM) and the Advanced Feeder Restoration (AFR) modules developed in this project provide improved system resilience with multiple DERs. AOM identifies the faulted sections and actuated PDs in a distribution system with DERs by incorporating smart meter data. The most credible outage scenario including fault locations, PD actuations, and fault indicator (FI) failures is identified by a set of binary integer linear programming incorporating hypotheses. The AFR module serves to restore a distribution system with available energy resources taking into consideration the availability of utility sources and DERs. By partitioning the system into islands, critical load will be served with the available generation resources within islands based on the solution of a MILP. When the utility systems become available, the optimal path will be determined by a spanning tree search algorithm that reconnects these islands back to substations and restores the remaining load. The transmission and distribution (T&D) co-simulation module was used to validate the effect of a control action performed on the distribution side assets as it propagates to the transmission side. This ensures that the control action performed results in a feasible operating point on both the transmission and the distribution system. In addition to validation, the team used the T&D co-simulation module to demonstrate how distribution system assets can be used to mitigate issues on the transmission system. Specifically, the team demonstrated that appropriate switching operations on the distribution side can alleviate the line overload condition on the transmission side without causing new operational constraint violations.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2017

Secure Enclaves: An Isolation-centric Approach for Creating Secure High Performance Computing Environments

High performance computing environments are often used for a wide variety of workloads ranging from simulation, data transformation and analysis, and complex workflows to name just a few. These systems may process data at various security levels but in so doing are often enclaved at the highest security posture. This approach places significant restrictions on the users of the system even when processing data at a lower security level and exposes data at higher levels of confidentiality to a much broader population than otherwise necessary. The traditional approach of isolation, while effective in establishing security enclaves poses significant challenges for the use of shared infrastructure in HPC environments. This report details current state-of-the-art in virtualization, reconfigurable network enclaving via Software Defined Networking (SDN), and storage architectures and bridging techniques for creating secure enclaves in HPC environments.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2026

Frequency-Nadir-Constrained Unit Commitment for Low-Inertia, High-IBR Island Power Systems [Slides]

The process of energy decarbonization in island power systems is accelerated due to the swift integration of inverter-based renewable energy resources (IBRs). The unique features of such systems, including rapid frequency changes resulting from potential generation outages or imbalances due to the unpredictability of renewable power, pose a significant challenge in maintaining the frequency nadir without external support. This paper presents a unit commitment (UC) model with data-driven frequency nadir constraints, including either frequency nadir or minimum inertia requirements, helping to limit frequency deviations after significant generator outages. The constraints are formulated using a linear regression model that takes advantage of real-world, year-long generation scheduling and dynamic simulation data. The efficacy of the proposed UC model is verified through a year-long simulation in an actual island power system using historical weather data. The alternative minimum inertia constraint, derived from actual system operation assumptions, is also evaluated. Findings demonstrate that the proposed frequency nadir constraint notably improves the system's frequency nadir under high photovoltaic (PV) penetration levels, albeit with a slight increase in generation costs, when compared to the alternative minimum inertia constraint.

14 SOLAR ENERGY↗

DOE OSTI2022

Evaluation of Joint Cyber/Safety Risk in Nuclear Power Systems

This report presents an analysis of the Emergency Core Cooling System (ECCS) for a generic Boiling Water Reactor (BWR)-4 NPP. The Electric Power Research Institute (EPRI) developed Hazards and Consequences Analysis for Digital Systems (HAZCADS) process is applied to the ECCS and its subsystems to identify unsafe control actions (UCAs) which act as possible cyber events of concern. The analysis is performed for two design basis events: Small-break Loss of Coolant Accident (SLOCA) and general transients (TRANS), such as unintended reactor trip. In previous work, HAZCADS UCAs were combined with other cyber-attack analysis to develop a risk-informed approach; however, this was for a single system. This report explores advanced systems engineering modeling approaches to model the interactions between digital assets across multiple systems which may be targeted by cyber adversaries. The complex and interdependent design of digital systems has the potential to introduce emergent cyber properties that are generally not covered by hazard analyses nor formal nuclear Probabilistic Risk Assessment (PRA). The R&D and supporting analysis presented here explores approaches to predict and manage how interdependent system properties effect risk. To show the potential impact of a successful cyber-attack to formal PRA event tree probabilities, HAZCADS analysis was also used. HAZCADS was also used to model the automatic depressurization system (ADS) automatic actuation. This analysis extended to an integrated system analysis for common-cause failure (CCF). In this aspect, the HAZCADS analysis continued by analyzing plant design details for system connectivity in support of critical plant functions. A dependency matrix was developed to depict the integrated functionality of the interconnected systems. Areas of potential CCF are indicated. Future work could include adversary attack development to show how CCF could be caused, resulting in PRA events. Across the multiple systems that comprise the ECCS, the analysis shows that the change in such probabilities was very different between systems. This indicates that some systems have a larger potential risk impact from successful cyber-attack or digital failure, which indicates a need for these systems to have a higher priority for design and defensive measures. Furthermore, we were able to establish that a risk analysis using any arbitrary threat model establishes an ordering of components with regard to cyber-risk. This ordering can be used to influence the overall system design with an eye to lowering risk, or as a way to understand real-time risk to operational systems based on a current threat landscape. Expert knowledge of both the analysis process and the system being analyzed is required to perform a HAZCADS analysis. The need for a tiered risk analysis is demonstrated by the results of this report.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

DOE OSTI2016

Image processing occupancy sensor

A system and method of detecting occupants in a building automation system environment using image based occupancy detection and position determinations. In one example, the system includes an image processing occupancy sensor that detects the number and position of occupants within a space that has controllable building elements such as lighting and ventilation diffusers. Based on the position and location of the occupants, the system can finely control the elements to optimize conditions for the occupants, optimize energy usage, among other advantages.

42 ENGINEERING↗

DOE OSTI2025

Fully Homomorphic Encryption

This code implements a Fully Homomorphic Encryption (FHE) system, enabling secure computation on encrypted data without requiring decryption. It supports encryption, decryption, and homomorphic operations like matrix multiplication and addition. This code is adaptable for integrating FHE into linear-time invariant (LTI) systems, including digital control and filtering. With proper configuration from subject matter expertise, encrypted system parameters and signals can be manipulated to perform tasks like state updates, output calculations, and convolution in the encrypted domain. By preserving the structure of LTI systems while ensuring privacy, the framework facilitates secure applications in areas such as autonomous systems, signal processing, and industrial automation. The code initializes the encryption system using parameters provided in the env dictionary. These parameters include the ciphertext modulus, key dimension, plaintext fixed-point scaling factor, and noise bound. During initialization, a secret key is generated, which is essential for encrypting and decrypting data securely. The modular design allows users to tailor these parameters to specific use cases or security requirements. The code implements multiple cryptographic schemes. The learning with errors (LWE) encryption method encodes cleartext message to their plaintext fixed-point representation then encrypted into ciphertext space with additive noise. This noise ensures the security of the scheme, relying on the computational hardness of the LWE problem. The code also includes the Gentry-Sahai-Waters (GSW) scheme based off the LWE problem. Homomorphic matrix multiplication is performed between the LWE and GSW to encrypted data. This is achieved using a decomposition function on the LWE ciphertext during the multiplication operation. For higher-dimensional data, the code includes a method to encrypt entire matrices (GSWMat) using GSW encryption. These encrypted matrices can then be used for homomorphic matrix multiplications (MatMult). The decryption function uses the secret key to recover the original plaintext, removing the added noise and scaling that was originally applied during encryption.

Lois, Roberts [Idaho National Laboratory (INL), Id↗

DOE OSTI2019

Decomposition of nitrosamines through electrochemically-mediated reduction on carbon xerogel electrodes

Nitrosamines, as a class of compounds, have been reported to be mutagenic, cytotoxic, genotoxic and carcinogenic. Nitrosamines are formed during the chloramine wastewater treatment process and are a major concern in water recovery systems. A process using stationary carbon electrodes inside an electrochemical cell was developed and tested in this study to adsorb and decompose nitrosamines from an aqueous solution. The carbon xerogel electrode material has a high nitrosamine adsorption capacity and can initiate an electrochemically-mediated reduction of nitrosamines to a secondary amine. A greater than 80% reduction of two different nitrosamines was observed from a high pH solution. Nitrosamine decomposition was effective in a variety of solutions with high pH or salt concentrations.

20 FOSSIL-FUELED POWER PLANTS↗

DOE OSTI2024

Development of High Temperature (>700°C) Molten Salt Pump Technology for Generation 3 Solar Power Tower Systems

Bearings are required for long-shafted pumps historically used in concentrating solar thermal power applications. For molten chloride salts, bearings for such service conditions are not commercially available, nor has a design been demonstrated to work. Therefore, a project was sponsored by the Department of Energy’s Solar Energy Technologies Office for the development and demonstration of a submerged bearing for use in chloride salt pumps. This project’s tasks covered the tribological testing of candidate materials and the design, fabrication, testing, and post-test analysis of full-scale salt-compatible bearings. This work expands upon previous work. The effects of potential particulate in the salt were investigated through tribological bench testing. Through 11 tests, the MgO particulate size and concentration in a molten chloride salt were varied, and the effects on friction, wear rate, and wear characteristics were recorded. Novel journal bearings for chloride salt service were designed and fabricated based on these results. The bearings were of a relevant scale (i.e., for a 1.5 in. pump shaft) to demonstrate the technology with respect to further scale-up. The bearings were made of Haynes 244 and Yttria Partially Stabilized Zirconia. A custom bearing test rig, salt tanks, and associated infrastructure (e.g., heaters, tanks, transfer lines, gas flow control) were designed, procured, and installed. A few issues were encountered in the system fabrication process, resulting in delay of the project schedule. The system was successfully fabricated and assembled. Heating, cover gas, and pump motor systems were integrated into the control logic. This progress of the bearing test system represents a significant step forward towards demonstrating this promising technology. Nevertheless, the project ended before testing of the full-scale bearings could be performed.

14 SOLAR ENERGY↗

DOE OSTI2022

Failure Mechanism Traceability and Application in Human System Interface of Nuclear Power Plants using RESHA

In recent years, there has been considerable effort to modernize existing and new nuclear power plants with digital instrumentation and control systems (DI&C). However, there has also been considerable concern both by industry and regulatory bodies for the risk and consequence analysis of these systems. Of particular concern are digital common cause failures (CCFs) specifically related to software defects. These “misbehaviors” by the software can occur in both the control and monitoring of a system. While many new methods have been proposed to identify potential software failure modes, such as Systems-theoretic Process Analysis (STPA), Hazard and Consequence Analysis for Digital Systems (HAZCADS), etc., these methods are focused primarily on the control action pathway of a system. In contrast, the information feedback pathway lacks unsafe control actions (UCAs), which are typically related to software basic events; thus, assessment of software basic events in such systems is unclear. In this work, we present the idea of intermediate processors and unsafe information flow (UIF) to help safety analysts trace failure mechanisms in the feedback pathway and how they can be integrated into a fault tree for improved assessment capability. The concepts presented are demonstrated in two comprehensive case studies, a smart sensor integrated platform for unmanned autonomous vehicles and another on a representative advanced human system interface (HSI) for safety critical plant monitoring. The qualitative software basic events are identified, and a fault tree analysis is conducted based on a modified Redundancy-guided Systems-theoretic Hazard Analysis (RESHA) methodology. The case studies demonstrate the use of UIF and intermediate processors in the fault tree to improve traceability of software failures in highly complex digital instrumentation feedback. The improved method can also clarify fault tree construction when multiple component dependencies are present in the system.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2022

Failure Mechanism Traceability and Application in Human System Interface of Nuclear Power Plants using RESHA

In recent years, there has been considerable effort to modernize existing and new nuclear power plants with digital instrumentation and control systems (DI&C). However, there has also been considerable concern both by industry and regulatory bodies for the risk and consequence analysis of these systems. Of particular concern are digital common cause failures (CCFs) specifically related to software defects. These “misbehaviors” by the software can occur in both the control and monitoring of a system. While many new methods have been proposed to identify potential software failure modes, such as Systems-theoretic Process Analysis (STPA), Hazard and Consequence Analysis for Digital Systems (HAZCADS), etc., these methods are focused primarily on the control action pathway of a system. In contrast, the information feedback pathway lacks unsafe control actions (UCAs), which are typically related to software basic events; thus, assessment of software basic events in such systems is unclear. In this work, we present the idea of intermediate processors and unsafe information flow (UIF) to help safety analysts trace failure mechanisms in the feedback pathway and how they can be integrated into a fault tree for improved assessment capability. The concepts presented are demonstrated in two comprehensive case studies, a smart sensor integrated platform for unmanned autonomous vehicles and another on a representative advanced human system interface (HSI) for safety critical plant monitoring. The qualitative software basic events are identified, and a fault tree analysis is conducted based on a modified Redundancy-guided Systems-theoretic Hazard Analysis (RESHA) methodology. The case studies demonstrate the use of UIF and intermediate processors in the fault tree to improve traceability of software failures in highly complex digital instrumentation feedback. The improved method can also clarify fault tree construction when multiple component dependencies are present in the system.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2019

Signal Processing for Beam Loss Monitor System at Jefferson Lab

Ion Chamber and Photomultiplier Tube (PMT) are both used for beam loss monitor in the Machine Protection System (MPS) at Jefferson Lab. The requirements of signal processing of these detectors are different, so two VME-based signal processing boards, Beam Loss Monitor (BLM) board and Ion-Chamber board, were developed. The BLM board has fast response (< 1us) and 5 decades dynamic range from 10nA to 1 mA, while the Ion-Chamber board has 8 decades dynamic range from 100 pA to 10 mA and slower response. Both of boards provide functions of machine protection and beam diagnostics, and features of fast shutdown (FSD) interface, beam sync interface, built-in-self-test, remotely controlled bias signals, and on-board memory buffer.

Yan, J.↗

DOE OSTI2025

Artificial Intelligence and Digital Engineering as Enablers for System Engineering in the Energy Sector

Systems engineering is of utmost importance for the success of high-cost, high-complexity megaprojects, which are common in the energy sector. However, the traditional document-centric systems engineering approach tends to be labor-intensive and time-consuming, which has inhibited its full adoption despite proven metrics on its return on investment. However, with the modern approach of digital engineering and technological advancements in artificial intelligence (AI) technologies, the barriers to systems engineering adoption can finally be broken. This paper goes through the systems engineering V-model for lifecycle management and assesses the current state of implementation of digital engineering (especially, mod-el-based systems engineering, digital twins, and digital threads) and AI for each step. It was observed that a combination of digital engineering and AI is being used across different industries to accelerate and optimize systems engineering processes such as concept development, requirements management, architecture definition, system development, verification and validation, operations, and maintenance. Specifically in the energy sector, AI-augmented digital engineering has shown initial potential in accelerated development and deployment, performance optimization, anomaly detection, predictive maintenance, and configuration management. However, challenges remain in integrating DE and AI into an end-to-end system lifecycle management ecosystem safely and reliably. Addressing these challenges and continuously developing impactful tools will enable fast, efficient, and high-frequency deployment of power generation capabilities to keep up with the world’s energy demands and build energy security.

42 - ENGINEERING↗

DOE OSTI2025

Artificial Intelligence and Digital Engineering as Enablers for Systems Engineering in the Energy Sector

Systems engineering is of utmost importance for the success of high-cost, high-complexity megaprojects, which are common in the energy sector. However, the traditional document-centric systems engineering approach tends to be labor-intensive and time-consuming, which has inhibited its full adoption despite proven metrics on its return on investment. However, with the modern approach of digital engineering and technological advancements in artificial intelligence (AI) technologies, the barriers to systems engineering adoption can finally be broken. This paper goes through the systems engineering V-model for lifecycle management and assesses the current state of implementation of digital engineering (especially, mod-el-based systems engineering, digital twins, and digital threads) and AI for each step. It was observed that a combination of digital engineering and AI is being used across different industries to accelerate and optimize systems engineering processes such as concept development, requirements management, architecture definition, system development, verification and validation, operations, and maintenance. Specifically in the energy sector, AI-augmented digital engineering has shown initial potential in accelerated development and deployment, performance optimization, anomaly detection, predictive maintenance, and configuration management. However, challenges remain in integrating DE and AI into an end-to-end system lifecycle management ecosystem safely and reliably. Addressing these challenges and continuously developing impactful tools will enable fast, efficient, and high-frequency deployment of power generation capabilities to keep up with the world?s energy demands and build energy security.

42 - ENGINEERING↗

DOE OSTI2024

Solar Thermochemical Carbon Dioxide Splitting Using Ceria and Iron Aluminate Foam Devices and Simulation of a Plant System for Demonstration

An international research project has been undertaken to integrate a unique solar thermal processing reactor system with ceria and iron aluminate as active redox materials for CO2 splitting. Experimental investigations for CO2 splitting were conducted using a solar simulator and tube furnace at Niigata University, followed by demonstrations using a high-flux solar furnace (HFSF) at the National Renewable Energy Laboratory (NREL) in Golden, CO. Each experimental setup consisted of foam devices composed of reticulated porous ceramic (RPC). The RPC has a full ceria or iron aluminate body. It fabricated using the replica method and subjected to a two-step redox reaction, which iteratively separated a stream of CO2 into O2 and CO. Reactivity was evaluated using CO production per mass of the reactive material. The tubular furnace yielded a CO production of 6.41 mL/g at a reduction temperature of 1600degrees C, showcasing a higher CO production rate and total amount than those obtained from experiments conducted with solar simulators and solar furnace setups. For iron aluminate RPC, the productivity was measured as 3.57 mL/g using HFSF at a reduction temperature of 1450degrees C. These results are somewhat higher than those of the previous experiment at lower reduction temperatures of 1400degrees C-1500degrees C. Additionally, the production of CO in the case of ceria RPC was compared with the steady flow model simulation, which assumed chemical equilibrium at various levels of oxygen partial pressure during the reduction process. On the basis of these results, this study proposes a solar fuel system with an open receiver that uses a high-temperature heat transfer fluid.

carbon dioxide thermochemical splitting↗

DOE OSTI2018

The fractional dynamics of quantum systems

The fractional dynamic process of a quantum system is a novel and complicated problem. The establishment of a fractional dynamic model is a significant attempt that is expected to reveal the mechanism of fractional quantum system. In this paper, a generalized time fractional Schrödinger equation is proposed. To study the fractional dynamics of quantum systems, we take the two-level system as an example and derive the time fractional equations of motion. The basic properties of the system are investigated by solving this set of equations in the absence of light field analytically. Then, when the system is subject to the light field, the equations are solved numerically. It shows that the two-level system described by the time fractional Schrödinger equation we proposed is a confirmable system.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2018

A Numerical Simulation of Transport Phenomena During the Horizontal Single Belt Casting Process Using an Inclined Feeding System

Horizontal single belt casting (HSBC) has great potential to replace current conventional continuous casting (CCC) processes for sheet metal production, by directly casting 3 to 1 mm sheet for the automobile industry. In the present paper, two-dimensional mathematical models were developed to study transport phenomena, for the case of an inclined wall feeding system for a liquid aluminum wrought alloy (AA6111). Based on the commercial software ANSYS FLUENT 14.5 and user-defined functions, a two-layer turbulence model was used to examine the fluid flow emanating from a slot nozzle set above a water-cooled, high-speed, steel belt. The Volume of Fluid (VOF) method was used to predict the shape of the melt-air interface. A transformed coordinate system (x′, y′) was established in order to analyze the fluid flow on the inclined wall of the feeding system. The total pressure gauge gradient (∂p{sub total}/∂x) was used to describe the behavior of the melt film inside the slot nozzle of the head box. The modeling results show that during the melt film falling process, the total gauge pressure varies within the slot nozzle, which can decrease the stability of the falling film. The first impingement between the falling film and the inclined refractory wall of the feeding system gives rise to a local oscillation, and this influences the stability of the melt film moving downwards. At the rear meniscus position between the inclined wall and the moving belt, there is a clear vibration of the air-melt interface, together with a recirculation zone. The weak vibration of the air-melt interface could be induced by the periodic variation of the melt-air interface. Moreover, the formation of tiny air pockets is predicted. Finally, on the inclined wall of the feeding system, a suitable length of the transition area is needed to avoid over-acceleration of the melt film due to the force of gravity.

36 MATERIALS SCIENCE↗

DOE OSTI2023

A comprehensive review on regeneration strategies for direct air capture

Direct air capture (DAC), which removes CO 2 directly from ambient air, is a critical negative emission technology for mitigating global climate change. Efficiency and the source of energy are crucial considerations for DAC to enable negative emissions. Substantial technological progress has been made in DAC technologies, and promising opportunities exist for commercial-scale deployments. However, DAC technologies require high regeneration energy to release CO 2 from sorbents. Various approaches have been tested and optimized for different DAC systems. This review demonstrates that the work equivalent regeneration energy demand (supported by either the electric grid or fossil fuel combustion) ranges from 0.5–18.75 GJ/t-CO 2 for solid sorbent DAC systems and 0.62–17.28 GJ/t-CO 2 for liquid solvent DAC systems. The regeneration process is the energy-demanding process in DAC that is a key step for efficient operation. Potential methods to lower the regeneration energy demand include microwave, ultrasound, magnetic particle heating, and electric swing. Although the potential methods to date are still at the lab scale, significant work is being done to optimize DAC system processes.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2021

Addressing Human and Organizational Factors In Nuclear Industry Modernization: A Sociotechnically-Based Strategic Framework

The modernization of nuclear power plants will require an advanced concept of operations, involving an integrated set of tightly coupled systems in which all stakeholders act in a coordinated manner. For this modernization effort to be enabled, we developed a human and organizational factors approach, based on a broad sociotechnical framework. Starting from core human factors principles, we conducted a literature review of the methods and approaches relevant to the modernization problem. These included core disciplines such as cognitive systems engineering, systems theoretic accident modeling and processes (STAMP), human systems integration, resilience engineering, and macroergonomics but also related topics of safety culture and organizational change. From this literature, we developed a conceptual framework centered around the work system with its four interacting components: people, technology, process, and governance. In an effective work system, these four components are jointly optimized according to three systems criteria: efficiency, effectiveness, and safety. System failure may result from excessive emphasis on any one criterion. The actual work of attaining joint optimization in a given work system can be accomplished by utilizing three high level functions: knowledge elicitation, knowledge representation, and cross-functional integration. We illustrated the utility of this approach by applying it to practical problems and case studies. The complete report is available in [1]; this paper is a description of our approach and report contents.

99 GENERAL AND MISCELLANEOUS↗