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DOE OSTI2016

Characterization of silica quartz as raw material in photovoltaic applications

Raw materials are essential for the functioning of modern societies, and access to these raw materials is vital to the world economy. Sustainable development, both globally level, raises important new challenges associated with access and efficient use of raw materials. High purity quartz, is consider as a critical raw material and it is a rare commodity that only forms under geological conditions where a narrow set of chemical and physical parameters is fulfilled. When identified and following special beneficiation techniques, high purity quartz obtains very attractive prices and is applied in high technology sectors that currently are under rapid expansion such as photovoltaic solar cells, silicon metal - oxide wafers in the semiconductor industry and long distance optical fibers that are used in communication networks. Crystalline silicon remains the principal material for photovoltaic technology. Metallurgical silicon is produced industrially by the reduction of silica with carbon in an electric arc furnace at temperatures higher than 2000 °C in the hottest parts, by a reaction that can be written ideally as: SiO{sub 2} + 2C = Si + 2CO. The aim of this study has been to test experimental methods for investigating the various physical and chemical proprieties of Hoggar quartz with different techniques: X Ray Fluorescence, infra-red spectroscopy, Scanning Electron Microscopy, Optic Microscopy, Carbon Analyzer and Vickers Hardness. The results show finally that the quartz has got good result in purity but need enrichment for the photovoltaic application.

36 MATERIALS SCIENCE↗

DOE OSTI2022

Data-centric framework for crystal structure identification in atomistic simulations using machine learning

Atomic-level modeling performed at large scales enables the investigation of mesoscale materials properties with atom-by-atom resolution. The spatial complexity of such cross-scale simulations renders them unsuitable for simple human visual inspection. Instead, specialized structure characterization techniques are required to aid interpretation. These have historically been challenging to construct, requiring significant intuition and effort. Here we propose an alternative framework for a fundamental structural characterization task: classifying atoms according to the crystal structure to which they belong. Our approach is data-centric and favors the employment of Machine Learning over heuristic rules of classification. A group of data-science tools and simple local descriptors of atomic structure are employed together with an efficient synthetic training set. We also introduce the first standard and publicly available benchmark data set for evaluation of algorithms for crystal-structure classification. Further, it is demonstrated that our data-centric framework outperforms all of the most popular heuristic methods—especially at high temperatures when lattices are the most distorted—while introducing a systematic route for generalization to new crystal structures. Moreover, through the use of outlier detection algorithms our approach is capable of discerning between amorphous atomic motifs (i.e., noncrystalline phases) and unknown crystal structures, making it uniquely suited for exploratory materials synthesis simulations.

36 MATERIALS SCIENCE↗

DOE OSTI2015

Multireference configuration interaction calculations of the first six ionization potentials of the uranium atom

The first 6 ionization potentials (IPs) of the uranium atom have been calculated using multireference configuration interaction (MRCI+Q) with extrapolations to the complete basis set limit using new all-electron correlation consistent basis sets. The latter was carried out with the third-order Douglas-Kroll-Hess Hamiltonian. Correlation down through the 5s5p5d electrons has been taken into account, as well as contributions to the IPs due to the Lamb shift. Spin-orbit coupling contributions calculated at the 4-component Kramers restricted configuration interaction level, as well as the Gaunt term computed at the Dirac-Hartree-Fock level, were added to the best scalar relativistic results. The final ionization potentials are expected to be accurate to at least 5 kcal/mol (0.2 eV) and thus more reliable than the current experimental values of IP{sub 3} through IP{sub 6}.

74 ATOMIC AND MOLECULAR PHYSICS↗

DOE OSTI2021

Reanalysis of Water Withdrawal for Irrigation, Electric Power, and Public Supply Sectors in the Conterminous United States, 1950–2016

Accurately measuring water use by the economy is essential for developing reliable models of water resource availability. Indeed, these models rely on retrospective analyses that provide insights into shifting human population demands and adaptions to water shortages. However, accurate, methodologically consistent, empirically authentic, and spatiotemporally comprehensive historical datasets for water withdrawals are scarce. Herein, we present a reanalysis of annual resolution (1950–2016) historical data set on irrigation, electric power, and public supply water withdrawal within the conterminous United States (US) at the county-level, and, for power plants, at the site-level. To estimate electric power water use, we synthesized a historically comprehensive list of generators and historic patterns in generation across fuels, prime movers, and cooling technologies. Irrigation water use estimation required building a crop-demand model that utilized historical information on irrigated acreage for crops and golf courses, stage-specific crop water demand, and climate information. To estimate public water supply use, we developed a random forest model constructed from information on population, infrastructure, climate, and land cover. These estimates generally agree with total county and state water use information provided by the US Geological Survey (USGS) water use circular and estimates generated from independent studies for specific years. However, we also observed discrepancies between our estimates and USGS data that appear to be caused by inconsistencies in the methods used by the USGS's primary data sources at the state level over decades of data collection, highlighting the importance of reanalysis to yield spatiotemporally consistent and intercomparable estimates of water use.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2017

Three-dimensional positioning and structure of chromosomes in a human prophase nucleus

The human genetic material is packaged into 46 chromosomes. The structure of chromosomes is known at the lowest level, where the DNA chain is wrapped around a core of eight histone proteins to form nucleosomes. Around a million of these nucleosomes, each about 11 nm in diameter and 6 nm in thickness, are wrapped up into the complex organelle of the chromosome, whose structure is mostly known at the level of visible light microscopy to form a characteristic cross shape in metaphase. However, the higher-order structure of human chromosomes, between a few tens and hundreds of nanometers, has not been well understood. We show a three-dimensional (3D) image of a human prophase nucleus obtained by serial block-face scanning electron microscopy, with 36 of the complete set of 46 chromosomes captured within it. The acquired image allows us to extract quantitative 3D structural information about the nucleus and the preserved, intact individual chromosomes within it, including their positioning and full spatial morphology at a resolution of around 50 nm in three dimensions. The chromosome positions were found, at least partially, to follow the pattern of chromosome territories previously observed only in interphase. The 3D conformation shows parallel, planar alignment of the chromatids, whose occupied volumes are almost fully accounted for by the DNA and known chromosomal proteins. Here, we also propose a potential new method of identifying human chromosomes in three dimensions, on the basis of the measurements of their 3D morphology.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗

DOE OSTI2018

IAEA CRP on HTGR UAM: Propagation of Phase I cross section uncertainties to Phase II neutronics steady state using SCALE/SAMPLER and PHISICS/RELAP5-3D

The IAEA Coordinated Research Project (CRP) on High Temperature Gas Cooled Reactor (HTGR) Uncertainties in Modeling (UAM) has been actively supported by the HTGR Methods group at Idaho National Laboratory since 2013. The INL team is responsible for the development of the prismatic reactor design exercises, based on the 350 MW General Atomics Modular HTGR (MHTGR). The focus of this paper is the reporting of the INL results obtained for the propagation of the lattice cross section uncertainties to the stand-alone neutronics simulation of the full MHTGR-350 core. For the nominal (i.e. best-estimate) model, a series of fresh and depleted single block and super cell SCALE/KENO and SCALE/NEWT models were developed at INL to assess spectral effects in the MHTGR-350, and a combination of these lattice cells were used to construct 8-group cross section libraries for use in the INL-developed PHISICS/RELAP5-3D code suite. The block-level homogenized libraries were assigned to the 220 fuel zones utilized in the MHTGR-350 PHISICS core model, according to the fresh and mixed fresh/depleted core loading pattern. A set of 1,000 perturbed NEWT lattice and PHISICS/RELAP5-3D core calculations were performed using the stochastic sampling module SAMPLER in SCALE 6.2. The paper discusses the mean and standard deviation values obtained for the eigenvalue, power offset and peak axial power density uncertainty results for this sequence of 1,000 lattice-to-core MHTGR-350 simulations.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗

DOE OSTI2025

A Smoothed Augmented Lagrangian Framework for Convex Optimization with Nonsmooth Constraints

Augmented Lagrangian (AL) methods have proven remarkably useful in solving optimization problems with complicated constraints. The last decade has seen the development of overall complexity guarantees for inexact AL variants. Yet, a crucial gap persists in addressing nonsmooth convex constraints. To this end, we present a smoothed augmented Lagrangian (AL) framework where nonsmooth terms are progressively smoothed with a smoothing parameter $\eta _k$ . The resulting AL subproblems are $\eta _k$ -smooth, allowing for leveraging accelerated schemes. By a careful selection of the inexactness level $\epsilon _k$ (for inexact subproblem resolution), the penalty parameter $\rho _k$ , and smoothing parameter $\eta _k$ at epoch k, we derive rate and complexity guarantees of $\tilde{\mathcal {O}}(1/{\varepsilon }^{3/2})$ and $\tilde{\mathcal {O}}(1/{\varepsilon })$ in convex and strongly convex regimes for computing an ${\varepsilon }$ -optimal solution, when $\rho _k$ increases at a geometric rate, a significant improvement over the best available guarantees for AL schemes for convex programs with nonsmooth constraints. Analogous guarantees are developed for settings with $\rho _k = \rho$ as well as $\eta _k = \eta$ . Preliminary numerics on a fused Lasso problem display promise.

augmented Lagrangian↗

DOE OSTI2019

The Dissolution of Fe in HCl from the Ilmenite Concentrate; Evaluating the Effect of Operating Parameters and Mutual Interactions

Selective HCl dissolution of ilmenite components for obtaining Ti or titanium dioxide (TiO{sub 2}) has been highly recognized due to its advantages, greater environmental friendliness, and simplicity, compared to H{sub 2}SO{sub 4} and Cl{sub 2} methods. The effect of numerous parameters has been studied with the one-factor-at-a-time method. The present study aimed to evaluate the effect of key operation parameters, such as acid-to-solid ratio (A/S: 5 to 20 mL/g), reaction temperature (T: 70 °C to 100 °C), and acid concentration (A pct: 15 to 30 wt pct), on the dissolution of Fe in HCl solution with the minimum Ti losses to the leachate from its abundant, domestic, and low-cost mineral source (Kahnooj ilmenite concentrate) using central composite design–response surface methodology. After 90 minutes of leaching, the Ti/Fe (pct) in terms of dissolved amounts was selected as the process assessment response function. Based on the conducted experimental and statistical analysis, increasing the levels of parameters in the studied domain leads to an increase in Ti/Fe (pct), in the order of A pct > T > A/S. Two statistically significant mutual interactions between A/S-T and T-A pct, with 95 pct confidence level, were revealed for the first time in this study. The optimization strategy was set to the minimization of Ti/Fe (pct) by considering the objective of study and the selected response function. The A/S, T, and A pct were determined to be 5 mL/g, 70 °C, and 15 pct, respectively, for maximum impurity dissolution and minimum Ti loss to the leachate.

36 MATERIALS SCIENCE↗

DOE OSTI2022

Microscopic-macroscopic level densities for low excitation energies

Level density ρ(E,Q) is derived within the micro-macroscopic approximation (MMA) for a system of strongly interacting Fermi particles with the energy E and additional integrals of motion Q , in line with several topics of the universal and fruitful activity of A. S. Davydov. Within the extended Thomas Fermi and semiclassical periodic orbit theory beyond the Fermi-gas saddle-point method, we obtain ρ ∝ I ν (S)/S ν , where I ν (S) is the modified Bessel function of the entropy S . For small shell-structure contribution, one finds ν = κ/2 + 1, where κ is the number of additional integrals of motion. This integer number is a dimension of Q, Q = { N, Z , …} for the case of two-component atomic nuclei, where N and Z are the numbers of neutrons and protons, respectively. For much larger shell structure contributions, one obtains ν = κ /2 + 2. The MMA level density ρ reaches the well-known Fermi gas asymptote for large excitation energies and the finite micro-canonical combinatoric limit for low excitation energies. Further, the additional integrals of motion can also be the projection of the angular momentum of a nuclear system for nuclear rotations of deformed nuclei, number of excitons for collective dynamics, and so on. Fitting the MMA total level density ρ( E , Q) for a set of the integrals of motion Q = { N, Z }, to experimental data on a long nuclear isotope chain for low excitation energies, one obtains the results for the inverse level-density parameter K , which differs significantly from those of neutron resonances due to shell, isotopic asymmetry, and pairing effects.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗

DOE OSTI2022

Priors on red galaxy stochasticity from hybrid effective field theory

ABSTRACT We investigate the stochastic properties of typical red galaxy samples in a controlled numerical environment. We use halo occupation distribution (HOD) modelling to create mock realizations of three separate bright red galaxy samples consistent with data sets used for clustering and lensing analyses in modern galaxy surveys. Second-order Hybrid Effective Field Theory (HEFT) is used as a field-level forward model to describe the full statistical distribution of these tracer samples, and their stochastic power spectra are directly measured and compared to the Poisson shot-noise prediction. While all of the galaxy samples we consider are hosted within haloes with sub-Poisson stochasticity, we observe that the galaxy samples themselves possess stochasticities that range from sub-Poisson to super-Poisson, in agreement with predictions from the halo model. As an application of our methodology, we place priors on the expected degree of non-Poisson stochasticity in cosmological analyses using such samples. We expect these priors will be useful in reducing the complexity of the full parameter space for future analyses using second-order Lagrangian bias models. More generally, the techniques outlined here present the first application of HEFT methods to characterize models of the galaxy–halo connection at the field level, revealing new connections between once-disparate modelling frameworks.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2018

Real-space analysis of radiation-induced specific changes with independent component analysis

A method of analysis is presented that allows for the separation of specific radiation-induced changes into distinct components in real space. The method relies on independent component analysis (ICA) and can be effectively applied to electron density maps and other types of maps, provided that they can be represented as sets of numbers on a grid. Here, for glucose isomerase crystals, ICA was used in a proof-of-concept analysis to separate temperature-dependent and temperature-independent components of specific radiation-induced changes for data sets acquired from multiple crystals across multiple temperatures. ICA identified two components, with the temperature-independent component being responsible for the majority of specific radiation-induced changes at temperatures below 130 K. The patterns of specific temperature-independent radiation-induced changes suggest a contribution from the tunnelling of electron holes as a possible explanation. In the second case, where a group of 22 data sets was collected on a single thaumatin crystal, ICA was used in another type of analysis to separate specific radiation-induced effects happening on different exposure-level scales. Here, ICA identified two components of specific radiation-induced changes that likely result from radiation-induced chemical reactions progressing with different rates at different locations in the structure. In addition, ICA unexpectedly identified the radiation-damage state corresponding to reduced disulfide bridges rather than the zero-dose extrapolated state as the highest contrast structure. The application of ICA to the analysis of specific radiation-induced changes in real space and the data pre-processing for ICA that relies on singular value decomposition, which was used previously in data space to validate a two-component physical model of X-ray radiation-induced changes, are discussed in detail. This work lays a foundation for a better understanding of protein-specific radiation chemistries and provides a framework for analysing effects of specific radiation damage in crystallographic and cryo-EM experiments.

Borek, Dominika (ORCID:0000000243216253)↗

DOE OSTI2021

AlphaBuilding ResCommunity: A multi-agent virtual testbed for community-level load coordination

Training and validating algorithms in a simulation testbed can accelerate research and applications of optimal control of residential loads to improve energy flexibility and grid resilience. We developed an open-source simulation environment, AlphaBuilding ResCommunity, that can be used to train and validate algorithms to control a single thermostatically controlled load (TCL) or coordinate a group of TCLs. We used reduced-order models to simulate the thermodynamics of TCLs, and the parameter values were determined from the connected smart thermostat data of real households. The environment was built upon the standardized OpenAI Gym interface. Ancillary functions, such as retrieving the parameters and weather forecasts, are provided to facilitate control strategies that require predictive information. Compared with existing efforts, AlphaBuilding ResCommunity has three advantages: (1) more realistic model settings because the parameter values are identified from actual household operating data, and modelling and measurement uncertainty are considered; (2) passive thermal storage control; and (3) ease of use due to a simple software dependency and standardized interface. We demonstrated the applications of the environment by implementing a Kalman Filter and Model Predictive Control on a single TCL and a Priority-Stack-Based Control and Alternating Direction Method of Multipliers to coordinate multiple TCLs for load tracking.

Wang, Z↗

DOE OSTI2019

A stilbene - CdZnTe based radioxenon detection system

Atmospheric monitoring of radioxenon is one of the most widely used methods by the Comprehensive Nuclear-Test-Ban Treaty Organization (CTBTO) to detect elevated levels of 131m Xe, 133/133m Xe, and 135 Xe. The ratios of these radionuclides help discriminate between peaceful use of nuclear technology and nuclear weapon explosions. Radioxenon detection systems often use plastic scintillators in the capacity of an electron detector and a gas cell, plastic gas cells are responsible for introducing high memory effect in these systems. This work presents the design of a new detection system for radioxenon monitoring that utilizes silicon photomultipliers, a stilbene gas cell, and a CdZnTe detector. This detector was evaluated using xenon radioisotope samples produced in the TRIGA reactor at Oregon State University. Here, a 48-h background was collected and calculations of the Minimum Detectable Concentration (MDC) were carried out using the Region of Interest (ROI) approach. An MDC of less than 1 mBq/m 3 was obtained for 131m Xe, 133 Xe, and 133m Xe in accordance with the sensitivity limits set by the CTBTO and performs respectably when compared to state-of-the-art radioxenon detection systems. Using 131m Xe, this study indicates that the stilbene gas cell exhibits a memory effect of 0.045 ±0.017%, this is almost a two-order magnitude improvement compared to plastic scintillators. The main purpose of this work is to explore the use of new stilbene detection media for radioxenon application and addressing the problem of memory effect.

98 NUCLEAR DISARMAMENT, SAFEGUARDS, AND PHYSICAL P↗

DOE OSTI2015

SU-E-J-216: A Sequence Independent Approach for Quantification of MR Image Deformations From Brachytherapy Applicators

Purpose: MRI is increasingly used as a single imaging modality for brachytherapy treatment planning. The presence of a brachytherapy applicator may cause distortions in the images, especially at higher field strengths. Our aim is to develop a procedure to quantify these distortions theoretically for any MR-sequence and to verify the estimated deformations for clinical sequences. Methods: Image distortions due to perturbation of the B0-field are proportional to the ratio of the induced frequency shift and the read-out bandwidth of the applied sequence. By reconstructing a frequency-shift map from the phase data from a multi-echo sequence, distortions can be calculated for any MR-sequence. Verification of this method for estimating distortions was performed by acquiring images with opposing read-out directions and consequently opposing distortions. The applicator shift can be determined by rigidly matching these images. Clinically, T2W-TSE-images are used for this purpose. For pre-clinical tests, EPI-sequences with narrow read-out bandwidth (19.5–47.5Hz), consequently large distortions, were added to the set of clinical MRsequences. To quantify deformations of the Utrecht Interstitial CT/MR applicator (Elekta Brachytherapy) on a Philips Ingenia 3T MRI, pre-clinical tests were performed in a phantom with the applicator in water, followed by clinical validation. Results: Deformations observed in the narrow bandwidth EPI-images were well predicted using the frequency-shift, the latter giving an overestimation up to 30%/up to 1 voxel. For clinically applied MR-sequences distortions were well below the voxel size. In patient setup distortions determined from the frequency-shift map were at sub-voxel level (<0.7mm). Using T2W-images larger distortions were found (1–2mm). This discrepancy was caused by patient movement between/during acquisition of the T2W-images with opposing read-out directions. Conclusion: Phantom experiments demonstrated the feasibility of a clinical procedure for quantification of MR-image distortions for any MR-sequence. In a clinical set-up the distortions from a Utrecht interstitial CT/MR applicator are sub-voxel level. This work was partially funded by Elekta Brachytherpy.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2023

Rapid identification of enteric bacteria from whole genome sequences using average nucleotide identity metrics

Identification of enteric bacteria species by whole genome sequence (WGS) analysis requires a rapid and an easily standardized approach. We leveraged the principles of average nucleotide identity using MUMmer (ANIm) software, which calculates the percent bases aligned between two bacterial genomes and their corresponding ANI values, to set threshold values for determining species consistent with the conventional identification methods of known species. The performance of species identification was evaluated using two datasets: the Reference Genome Dataset v2 (RGDv2), consisting of 43 enteric genome assemblies representing 32 species, and the Test Genome Dataset (TGDv1), comprising 454 genome assemblies which is designed to represent all species needed to query for identification, as well as rare and closely related species. The RGDv2 contains six Campylobacter spp., three Escherichia/Shigella spp., one Grimontia hollisae, six Listeria spp., one Photobacterium damselae, two Salmonella spp., and thirteen Vibrio spp., while the TGDv1 contains 454 enteric bacterial genomes representing 42 different species. The analysis showed that, when a standard minimum of 70% genome bases alignment existed, the ANI threshold values determined for these species were ≥95 for Escherichia/Shigella and Vibrio species, ≥93% for Salmonella species, and ≥92% for Campylobacter and Listeria species. Using these metrics, the RGDv2 accurately classified all validation strains in TGDv1 at the species level, which is consistent with the classification based on previous gold standard methods.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2025

Genome-wide identification of novel flagellar motility genes in Pseudomonas syringae pv. tomato DC3000

Pseudomonas syringaepv.tomatoDC3000 (PstDC3000) is a plant pathogenic bacterium that possesses complicated motility regulation pathways including a typical chemotaxis system. A significant portion of our understanding about the genes functioning inPstDC3000 motility is based on comparison to other bacteria. This leaves uncertainty about whether gene functions are conserved, especially since specific regulatory modules can have opposite functions in sets ofPseudomonas. In this study, we used a competitive selection to enrich for mutants with altered swimming motility and used random barcode transposon-site sequencing (RB-TnSeq) to identify genes with significant roles in swimming motility. Besides many of the known or predicted chemotaxis and motility genes, our method identified PSPTO_0406 (dipA), PSPTO_1042 (chrR) and PSPTO_4229 (hypothetical protein) as novel motility regulators. PSPTO_0406 is a homolog ofdipA, a known cyclic di-GMP degrading enzyme inP. aeruginosa. PSPTO_1042 is part of an extracytoplasmic sensing system that controls gene expression in response to reactive oxygen species, suggesting that PSPTO_1042 may function as part of a mechanism that enablesPstDC3000 to alter motility when encountering oxidative stressors. PSPTO_4229 encodes a protein containing an HD-related output domain (HDOD), but with no previously identified functions. We found that deletion and overexpression of PSPTO_4229 both reduce swimming motility, suggesting that its function is sensitive to expression level. We used the overexpression phenotype to screen for nonsense and missense mutants of PSPTO_4229 that no longer reduce swimming motility and found a pair of conserved arginine residues that are necessary for motility suppression. Together these results provide a global perspective on regulatory and structural genes controlling flagellar motility inPstDC3000.

Microbiology↗

DOE OSTI2017

An Improved Method to Measure the Cosmic Curvature

In this paper, we propose an improved model-independent method to constrain the cosmic curvature by combining the most recent Hubble parameter H ( z ) and supernovae Ia (SNe Ia) data. Based on the H ( z ) data, we first use the model-independent smoothing technique, Gaussian processes, to construct a distance modulus μ {sub H} ( z ), which is susceptible to the cosmic curvature parameter Ω{sub k}. In contrary to previous studies, the light-curve-fitting parameters, which account for the distance estimation of SN (μ {sub SN}( z )), are set free to investigate whether Ω {sub k} has a dependence on them. By comparing μ {sub H} ( z ) to μ {sub SN}(z), we put limits on Ω {sub k}. Our results confirm that Ω {sub k} is independent of the SN light-curve parameters. Moreover, we show that the measured Ω {sub k} is in good agreement with zero cosmic curvature, implying that there is no significant deviation from a flat universe at the current observational data level. We also test the influence of different H(z) samples and different Hubble constant H {sub 0} values, finding that different H(z) samples do not have a significant impact on the constraints. However, different H {sub 0} priors can affect the constraints of Ω {sub k} to some degree. The prior of H {sub 0} = 73.24 ± 1.74 km s{sup −1} Mpc{sup −1} gives a value of Ω {sub k}, a little bit above the 1 σ confidence level away from 0, but H{sub 0} = 69.6 ± 0.7 km s{sup −1} Mpc{sup −1} gives it below 1 σ .

79 ASTRONOMY AND ASTROPHYSICS↗

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↗