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NASA NTRS2001

Incorporation of EGPWS in the NASA Ames Research Center 747-400 Flight Simulator

The NASA Ames Research Center CAE Boeing 747300 flight simulator is used primarily for the study of human factors in aviation safety. The simulator is constantly upgraded to maintain a configuration match to a specific United Airlines aircraft and maintains the highest level of FAA certification to ensure credibility to the results of research programs. United's 747-400 fleet and hence the simulator are transitioning from the older Ground Proximity Warning System (GPWS) to the state-of-the-art Enhanced Ground Proximity Warning System (EGPWS). GPWS was an early attempt to reduce or eliminate Controlled Flight Into Terrain (CFIT). Basic GPWS alerting modes include: excessive descent rate, excessive terrain closure rate, altitude loss after takeoff, unsafe terrain clearance, excessive deviation below glideslope, advisory callouts and windshear alerting. However, since GPWS uses the radar altimeter which looks straight down, ample warning is not always provided. EGPWS retains all of the basic functions of GPWS but adds the ability to look ahead by comparing the aircraft position to an internal database and provide additional alerting and display capabilities. This paper evaluates three methods of incorporating EGPWS in the simulator and describes the implementation and architecture of the preferred option.

Sallant, Ghislain↗

DOE OSTI2025

Vehicle Automation Benefits and Challenges for Passenger Transport System Beyond Automated Driving

The National Renewable Energy Laboratory has been researching the implementation of fully automated passenger transport systems to be operated within dense urban settings, referred to as Automated Mobility Districts, based on roadway vehicle automation as opposed to track or train-based automation. This research, now in its third phase, is presently addressing the full spectrum of benefits and challenges of full automation of passenger transport systems with respect to fleet electrification and the associated multimodal, large fleet operational management, benefits beyond simply automating the driving tasks. The focal points summarized in the paper and presentation address the benefit-analysis of fleet automation to address added complexities imposed on the multi-fleet operational management when there is a simultaneous implementation of an on-demand service mode that connects with and optimizes the effectiveness of legacy transit systems and new sub-regional autonomous vehicle fleets, with specific emphasis on enhanced ability to better meet peak ridership demand. The research also begins to address challenges in operations arising from lack of personnel present to handle unexpected customer and system needs. Combined, this research articulates vehicle automation benefits and challenges beyond simply automating the driving tasks, addressing additional operational benefits automation provides to address the added complexities imposed by electrification and on-demand modes of operation.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2020

Demand-adaptive Transit Design for Urban Transportation Hubs

In this study, we proposed a novel three-stage framework for planning the optimal demand-adaptive transit (DAT) at urban transportation hubs. Given the potential trip demand and road traffic condition, the proposed framework sequentially generates the optimal set of candidate routes, combines the outgoing routes and incoming routes at the hub, and derives the optimal fleet size and corresponding route frequency under the fixed budget. In particular, we build the route generation algorithm which maximizes passenger demand coverage with travel time deviation constraint. And a heuristic algorithm is further developed which yields near-optimal operation routes for real-time demand. The fleet optimization problem is formulated to minimize the weighted cost of energy savings, operation cost and trip revenue. We conduct comprehensive numerical experiments for planning DAT with electric buses at JFK airport in NYC using NYC taxi and for-hire vehicle trip data and GoogleMap speed data. The results show the superior performance of the proposed route generation algorithm which is able to cover citywide passenger demand with only 61 DAT routes. The results also suggest that the proposed DAT planning framework may serve over 47% of existing taxi and FHV demand by operating 18 routes using the fleet of 62 electric buses.

demand adaptive↗

DOE OSTI2020

High-Dimensional Data-Driven Energy Optimization for MultiModal Transit Agencies

Transportation accounts for 28% of the total energy use in the United States and as such, it is responsible for immense environmental impact, including urban air pollution and greenhouse gas emissions, and may pose a severe threat to energy security. As we encourage mode shift from personal vehicles to public transit, it is important to consider that public transit systems still require substantial amounts of energy; for example, public bus transit services in the U.S. are responsible for at least 19.7 million metric tons of CO 2 emission annually. As such it is absolutely crucial that we study the bottlenecks to energy efficiency in public transit and develop new algorithms that can help the public transit agencies, especially those that are still operating mixed fleets, which may consist of Electric vehicles (EVs), hybrids (HEVs), and internal combustion engine vehicles (ICEVs), optimize the operations by deciding which vehicles are assigned to serving which transit trips.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2021

Transportation Energy Data Book: Edition 39

The Transportation Energy Data Book: Edition 39 is a statistical compendium prepared and published by Oak Ridge National Laboratory (ORNL) under contract with the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Vehicle Technologies Office. Designed for use as a desk-top reference, the Data Book represents an assembly and display of statistics and information that characterize transportation activity and presents data on other factors that influence transportation energy use. The purpose of this document is to present relevant statistical data in the form of tables and graphs. The latest edition of the Data Book is available via the Internet (tedb.ornl.gov).This edition of the Data Book has 13 chapters which focus on various aspects of the transportation industry. Chapter 1 focuses on petroleum; Chapter 2 – energy; Chapter 3 – highway vehicles; Chapter 4 – light vehicles; Chapter 5 – heavy vehicles; Chapter 6 – alternative fuel vehicles; Chapter 7 – transit and other shared mobility; Chapter 8 – fleet vehicles; Chapter 9 – household vehicles; Chapter 10 – nonhighway modes; Chapter 11 – transportation and the economy; Chapter 12 – greenhouse gas emissions; and Chapter 13 – criteria pollutant emissions. The sources used represent the latest available data. There are also three appendices which include detailed source information for some tables, measures of conversion, and energy tables with electricity generation and distribution. A glossary of terms is also included for the reader’s convenience.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2022

Transportation Energy Data Book (Edition 40)

The Transportation Energy Data Book: Edition 40 is a statistical compendium prepared and published by Oak Ridge National Laboratory (ORNL) under contract with the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Vehicle Technologies Office. Designed for use as a desk-top reference, the Data Book represents an assembly and display of statistics and information that characterize transportation activity and presents data on other factors that influence transportation energy use. The purpose of this document is to present relevant statistical data in the form of tables and graphs. The latest edition of the Data Book is available via the Internet (tedb.ornl.gov).This edition of the Data Book has 13 chapters which focus on various aspects of the transportation industry. Chapter 1 focuses on petroleum; Chapter 2 – energy; Chapter 3 – highway vehicles; Chapter 4 – light vehicles; Chapter 5 – heavy vehicles; Chapter 6 – alternative fuel vehicles; Chapter 7 – transit and other shared mobility; Chapter 8 – fleet vehicles; Chapter 9 – household vehicles; Chapter 10 – nonhighway modes; Chapter 11 – transportation and the economy; Chapter 12 – greenhouse gas emissions; and Chapter 13 – criteria pollutant emissions. The sources used represent the latest available data. There are also two appendices which include detailed source information for some tables and measures of conversion. A glossary of terms is also included for the reader’s convenience.

02 PETROLEUM↗

NASA NTRS2010

Validation and Verification of Future Integrated Safety-Critical Systems Operating under Off-Nominal Conditions

Loss of control remains one of the largest contributors to aircraft fatal accidents worldwide. Aircraft loss-of-control accidents are highly complex in that they can result from numerous causal and contributing factors acting alone or (more often) in combination. Hence, there is no single intervention strategy to prevent these accidents and reducing them will require a holistic integrated intervention capability. Future onboard integrated system technologies developed for preventing loss of vehicle control accidents must be able to assure safe operation under the associated off-nominal conditions. The transition of these technologies into the commercial fleet will require their extensive validation and verification (V and V) and ultimate certification. The V and V of complex integrated systems poses major nontrivial technical challenges particularly for safety-critical operation under highly off-nominal conditions associated with aircraft loss-of-control events. This paper summarizes the V and V problem and presents a proposed process that could be applied to complex integrated safety-critical systems developed for preventing aircraft loss-of-control accidents. A summary of recent research accomplishments in this effort is also provided.

Belcastro, Christine M.↗

NASA NTRS2012

Validation and Verification (V&V) of Safety-Critical Systems Operating Under Off-Nominal Conditions

Loss of control (LOC) remains one of the largest contributors to aircraft fatal accidents worldwide. Aircraft LOC accidents are highly complex in that they can result from numerous causal and contributing factors acting alone or more often in combination. Hence, there is no single intervention strategy to prevent these accidents. Research is underway at the National Aeronautics and Space Administration (NASA) in the development of advanced onboard system technologies for preventing or recovering from loss of vehicle control and for assuring safe operation under off-nominal conditions associated with aircraft LOC accidents. The transition of these technologies into the commercial fleet will require their extensive validation and verification (V&V) and ultimate certification. The V&V of complex integrated systems poses highly significant technical challenges and is the subject of a parallel research effort at NASA. This chapter summarizes the V&V problem and presents a proposed process that could be applied to complex integrated safety-critical systems developed for preventing aircraft LOC accidents. A summary of recent research accomplishments in this effort is referenced.

Belcastro, Christine M.↗

NASA NTRSDate not supplied

Bootstrapping Multi-Agent Unmanned Aerial Vehicle (UAV) System Integration Using Ground-Based Assets: Lessons Learned

The highly dynamic nature of UAVs imposes significant challenges when conducting initial testing ranging from safety risks posed by high-capacity lithium batteries and spinning propellers to rigorous timing demands on controllers and the consequences of failures mid-air. Flight testing of a single vehicle is time and labor intensive due to these challenges and more, and the complexity increases exponentially with the number of vehicles. While simulations and hardware-in-the-loop bench testing can provide adequate environments for preliminary validation, differences in system deployment architecture, software interfaces, and hardware infrastructure between simulation and a fleet of real UAVs create a sizable gap that must be navigated carefully during system integration. In support of the Autonomy Teaming and TRAjectories for Complex Trusted Operational Reliability (ATTRACTOR) project, which had the goal of establishing a basis of certification of trust and trustworthiness in multi-agent autonomous systems, this gap was tackled from two directions. First, a novel mixed-reality simulation environment was engineered to blur the transition from simulation to flight hardware. Second, a fleet of Unmanned Surface Vehicles (USVs) was developed as a test and evaluation platform that more closely represented the final aerial fleet while eliminating many of the risks associated with air vehicles. This paper delves into the second element, analyzing the efficacy of the USV platform in performing system integration testing for the UAV system. In this paper we present the USV fleet and its role in reducing the aforementioned gaps in deployment architecture, software interfaces, and hardware infrastructure when moving from simulation to flight. An overview of the hardware and software onboard the vehicles will be provided along with supporting infrastructure. The system integration process will be documented including results in supporting both the overarching design reference mission (DRM) of ATTRACTOR and individual research efforts conducted during the project. Finally, we will discuss some of the practical lessons learned regarding the testing, deployment, and operation of multi-agent autonomous systems.

Matthew P Vaughan↗

NASA NTRS1975

Tug fleet and ground operations schedules and controls. Volume 1: Executive summary

This study presents Tug Fleet and Ground Operations Schedules and Controls plan. This plan was developed and optimized out of a combination of individual Tug program phased subplans, special emphasis studies, contingency analyses and sensitivity analyses. The subplans cover the Tug program phases: (1) Tug operational, (2) Interim Upper Stage (IUS)/Tug fleet utilization, (3) and IUS/Tug payload integration, (4) Tug site activation, (5) IUS/Tug transition, (6) Tug acquisition. Resource requirements (facility, GSE, TSE, software, manpower, logistics) are provided in each subplan, as are appropriate Tug processing flows, active and total IUS and Tug fleet requirements, fleet management and Tug payload integration concepts, facility selection recommendations, site activation and IUS to Tug transition requirements. The impact of operational concepts on Tug acquisition is assessed and the impact of operating Tugs out of KSC and WTR is analyzed and presented showing WTR as a delta. Finally, cost estimates for fleet management and ground operations of the DDT&E and operational phases of the Tug program are given.

Source record↗

DOE OSTI2021

A Decision Support Framework for Grid-Aware Electric Bus Charge Scheduling

While there are many advantages to electric public transit vehicles, they also pose new challenges for fleet operators. One key challenge is defining a charge scheduling policy that minimizes operating costs and power grid disruptions while maintaining schedule adherence. An uncoordinated policy could result in some buses running out of charge before completing their trip, while a grid agnostic policy might incur higher energy costs or cause an adverse impact on the grid’s distribution system. We present a grid aware decision-theoretic framework for electric bus charge scheduling that accounts for energy price, grid load, and bus status. The framework connects environmental models for traffic (SUMO) and the electric grid (GridLAB-D) to a planner, which evaluates bus charging decisions with regard to their long-term effect on grid reliability and cost. The framework has been evaluated on a simulation of Richland, WA’s bus and grid network, and compared to greedy methods.

EV, machine leaning, EV-Grid, Transportation, Grid↗

DOE OSTI2025

Assessment of CTF for Steady-state and Transient Post-CHF Conditions in Support of Time-at-Temperature Modeling Applications

The US nuclear industry is exploring options to improve operational economics and uprate the current fleet of light-water reactors by investigating transitioning to cladding performance–based safety criteria as opposed to the current limit, which requires complete avoidance of critical heat flux (CHF)/dryout. Past experience has shown that not all events leading to a dryout are severe enough to cause fuel performance degradation. Allowing temporary dryout of the fuel—that is, using a time-at-temperature (TaT) strategy—could allow for economic improvements via large power uprates and enhanced operational flexibility for current plants without compromising fuel integrity. To support this effort, the US Department of Energy is executing a comprehensive program that includes generating cladding material data under TaT conditions, developing new mechanistic models, and demonstrating modeling and simulation capabilities for transients of interest. This paper presents work performed to assess the CTF thermal-hydraulics subchannel code. CTF is a package used in the VERA core simulator, which will ultimately be used for TaT analysis. CTF will provide the thermal-hydraulic boundary conditions that will be needed for fuel performance analysis in the BISON code. Quantifying both the accuracy and uncertainty of post-CHF models will therefore be necessary. This paper outlines the strategy for the assessment of TaT and presents the results of using the steady-state and transient dryout experiments of the Boiling Fine-mesh Bundle Tests for CTF validation. The results show that the current model tends to overpredict steady-state critical power. This behavior translates to the transient tests, in which CTF is unable to capture transient dryout behavior. Some discussion of sensitivity analysis work being performed is provided to indicate which models must be further analyzed to properly model transient dryout and its uncertainty.

Salko Jr, Robert [ORNL] (ORCID:0000000253566679)↗

DOE OSTI2020

Technical Evaluation of Battery Electric Bus Potential in Mexico City and León, Mexico

The National Renewable Energy Laboratory (NREL) in partnership with USAID Mexico's Low Emissions Development (MLED) II program explored the technical feasibility of transit bus electrification in Mexico City (CDMX) and León. NREL and USAID engaged CDMX and León transit agencies to understand routes of interest and existing fleet fueling and bus specifications.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2024

Meta-Analysis of Advanced Nuclear Reactor Cost Estimations

Supporting Data can be downloaded at: https://gain.inl.gov/content/uploads/4/2024/06/INL-RPT-24-77048-R1.xlsx Nuclear energy is a critical cornerstone of the current United States clean energy supply and may play a larger role in the future in support of a transition to a net-zero economy. The current fleet of nuclear reactors predominantly consists of large light-water reactors (LWRs), while many of the reactor designs under consideration are smaller and/or different technologies. Because these new designs have not yet been built, there is a high degree of uncertainty associated with their cost. This complicates energy-planning efforts because cost projections are not always standardized, consistent, and centralized in an easily accessible location. To help support energy planning in the US, this report provides advanced nuclear cost ranges using a transparent methodology along with other relevant information that can be used to help support decision making and energy planning. The purpose of this work was to conduct a methodical process for cost evaluation using only public information that was vetted with the end-goal to provide reference cost projections for nuclear energy. To provide a solid basis for these values, the approach and assumptions are explicitly laid out throughout the report allowing any user of the data to challenge or reconsider them. Because future US nuclear-reactor costs are still unknown due to little recent observed data, the report opted to compile a comprehensive list of bottom-up estimates and evaluate averages/trends within the data to identify reference ranges. This was deemed preferable to opining on the robustness or validity of one cost estimation versus another. To that end, the work evaluated thousands of lines of cost subaccounts from several bottom-up cost estimates. A wide variety of different reactor types captured in the data are of various sizes and technologies. Some of these reactors will be representative of advanced reactors under development while others will not. Thus, the results here are dependent on the data that are available and the accuracy of the estimates that are used. Each bottom-up estimate was reviewed to determine whether it was complete. Incomplete data sets were corrected to ensure an adequate basis of cross-comparison. The report is not without limitations and should be interpreted as an initial step to develop cost ranges for nuclear technology. Ultimately, future work can build upon the methodology with refined cost estimates to reduce uncertainty. US-based overnight capital cost (OCC) estimates were compiled from extensive data sets into ranges for both large and small reactor sizes for 2030. To project the cost declines over time, learning rates were sampled from literature sources. No SMRs were previously built; hence, learning rates based on bottom-up approaches (e.g., by quantifying the impact stemming from fabrication of different components, modular work, site construction, commissioning) were prioritized. For larger reactors, actual learning rates from deployments were used to project future costs (adjusted to account for standardization or lack thereof between designs). Other costs included are fixed and variable operations and maintenance costs. The final variables were capacity factors and ramp rates to support energy planning.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

NASA NTRSDate not supplied

Bootstrapping Multi-Agent Unmanned Aerial Vehicle (UAV) System Integration Using Ground-Based Assets: Lessons Learned

In support of the Autonomy Teaming and TRAjectories for Complex Trusted Operational Reliability (ATTRACTOR) project, a fleet of unmanned ground vehicles (UGVs) was developed as a test and evaluation (T\&E) platform to reduce system integration gaps between simulation and live flight hardware. While simulation and hardware-in-the-loop bench testing provide adequate environments for preliminary validation, differences in system deployment architecture, software interfaces, and hardware infrastructure increase the risks to safety, property, and the project. Given ATTRACTOR’s goal of establishing a basis of certification of trust and trustworthiness in multi-agent autonomous systems, bridging these gaps was critical to successful project execution and feasibility assessment. In this paper we present the UGV fleet and its role in speeding up system integration, smoothing the transition from simulation to flight, and providing researchers an easy-to-use hardware test bed. An overview of the hardware and software on-board the vehicles is provided along with supporting infrastructure. The system integration process is documented including results in supporting both the overarching design reference mission (DRM) of ATTRACTOR and individual research efforts conducted since the creation of the fleet. Finally, we discuss the practical lessons learned regarding the testing, deployment, and operation of multi-agent autonomous systems.

Matthew P. Vaughan↗

DOE OSTI2023

Energy Cost Analysis and Operational Range Prediction Based on Medium- and Heavy-Duty Electric Vehicle Real-World Deployments across the United States

While the market for medium- and heavy-duty battery-electric vehicles (MHD EVs) is still nascent, a growing number of these vehicles are being deployed across the U.S. This study used over 2.3 million miles of operational data from multiple types of MHD EVs across various regions and operating conditions to address knowledge gaps in total cost of ownership and operational range. First, real-world energy cost savings were determined: MHD fleets should experience energy cost savings each year from 2021 to 2035, regardless of vehicle platform, with the greatest savings seen in transit buses (up to USD 4459 annually) and HD trucks (up to USD 3284 annually). Second, to help fleets across various geographies throughout the U.S. assess the suitability of EVs for their year-round operating needs, operational range was modeled using the XGBoost algorithm (R2: 70%) given 22 input features relevant to vehicle efficiency. Finally, this paper recommends (1) that MHD fleets apply energy-saving practices to minimize the impacts of cold temperatures and high congestion levels on vehicle efficiency and range, and (2) that local hauling fleets select trucks with a nominal range nearly double the expected maximum daily range to account for range losses under local, urban driving conditions.

Qiu, Yin (ORCID:0009000900948794)↗

DOE OSTI2023

Light Water Sustainability Program: Optimizing Information Automation Using a New Method Based on System-Theoretic Process Analysis

This report describes the interim progress for research supporting the design and optimization of information automation systems for nuclear power plants. Much of the domestic nuclear fleet is currently focused on modernizing technologies and processes, including transitioning toward digitalization in the control room and elsewhere throughout the plant, along with a greater use of automation, artificial intelligence, robotics, and other emerging technologies. While there are significant opportunities to apply these technologies toward greater plant safety, efficiency, and overall cost-effectiveness, optimizing their design and avoiding potential safety and performance risks depends on ensuring that human-performance-related organizational and technical design issues are identified and addressed. This report describes modeling tools and techniques, based on sociotechnical system theory, to support these design goals and their application in the current research effort. The report is intended for senior nuclear energy stakeholders, including regulators, corporate management, and senior plant management. We have developed and employed a method to design an optimized information automation ecosystem (IAE) based on the systems-theoretic constructs underlying sociotechnical systems theory in general and the Systems-Theoretic Accident Modeling and Processes (STAMP) approach in particular. We argue that an IAE can be modeled as an interactive information control system whose behavior can be understood in terms of dynamic control and feedback relationships amongst the system’s technical and organizational components. Up to this point, we have employed a Causal Analysis based on STAMP (CAST) technique to examine a performance- and safety-related incident at an industry partner’s plant that involved the unintentional activation of an emergency diesel generator. This analysis provided insight into the behavior of the plant’s current information control structure within the context of a specific, significant event. Our ongoing analysis is focused on identifying near-term process improvements and longer-term design requirements for an optimized IAE system. The latter analyses will employ a second STAMP-derived technique, System-Theoretic Process Analysis (STPA). STPA is a useful modeling tool for generating and analyzing actual or potential information control structures. Finally, we have begun modeling plantwide organizational relationships and processes. Organizational system modeling will supplement our CAST and STPA findings and provide a basis for mapping out a plantwide information control architecture. CAST analysis findings indicate an important underlying contributor to the incident under investigation, and a significant risk to information automation system performance, was perceived schedule pressure, which exposed weaknesses in interdepartmental coordination between and within responsible plant organizations and challenged the resilience of established plant processes, until a human caused the initiating event. These findings are discussed in terms of their risk to overall system performance and their implications for information automation system resilience and brittleness. We present two preliminary information automation models. The proactive issue resolution model is a test case of an information automation concept with significant near-term potential for application and subsequent reduction in significant plant events. The IAE model is a more general representation of a broader, plantwide information automation system. From our results, we have generated a set of preliminary system-level requirements and safety constraints. These requirements will be further developed over the remainder of our project in collaboration with nuclear industry subject matter experts and specialists in the technical systems under consideration. Additionally, we will continue to pursue the system analyses initiated in the first part of our effort, with a particular emphasis on STPA as the main tool to identify weak or weakening control structures that affect the resilience of organizations and programs. Our intent is to broaden the scope of the analysis from an individual use case to a related set of use cases (e.g., maintenance tasks, compliance tasks) with similar human-system performance challenges. This will enable more generalized findings to refine the Proactive Issue Resolution and IAE models, as well as their system-level requirements and safety constraints. We will use organizational system modeling analyses to supplement STPA findings and model development. We conclude the report with a set of summary recommendations and an initial draft list of system-level requirements and safety constraints for optimized information automation systems.

99 GENERAL AND MISCELLANEOUS↗

DOE OSTI2023

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

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

99 GENERAL AND MISCELLANEOUS↗