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DOE OSTI2020

A comparison study on trading behavior and profit distribution in local energy transaction games

With the increasing integration of distributed energy resources, localized peer-to-peer energy transactions are receiving more attention since they could absorb more distributed renewables locally and stabilize the power grid. To better study the trading behavior and provide guidance for a viable local market design, different game-theoretical frameworks including cooperative and non-cooperative games are established and compared here. For the cooperative grand coalition, the maximum social welfare is guaranteed, the Shapley value and bargaining based approaches are implemented for further profit redistribution. It is shown that the asymmetrical bargaining power can be critical in the final payment clearing and it is equivalent to the Shapley value allocation if prosumers bargain based on their marginal contributions. Non-cooperative trading is formulated by using a Stackelberg bilevel model in which the upper level has the privilege in internal price setting. However, system optimum is not obtained due to competition, and the selfish leader could take away 89% of the collective benefit by price-gap based arbitraging. Aiming for a long-lasting trading market, a virtual benevolent leader and a uniform price structure in which purchase price equals selling price are tested. Experimental results indicate that maximum social welfare and a fairer profit allocation can be achieved with a uniform price structure, regardless of the selfish or benevolent attitude.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2021

Machine Learning Augmented Predictive and Generative Model for Rupture Life in Ferritic and Austenitic Steels

The Larson-Miller parameter (LMP) offers an efficient and fast scheme to estimate the creep rupture life of alloy materials for high temperature applications. However, owing to poor generalizability and dependence on the constant C, which is typically not known a-priori, estimations using the Larson-Miller parameter often result in suboptimal performance for a wide range of materials. At best it is useful in comparing alloys of similar composition. In this work, three machine learning (ML) schemes were developed for rupture life prediction for 9-12% Cr ferritic-martensitic steels and austenitic stainless steels, i.e., a hierarchical model to parameterize LMP using the LMP constant C to compute rupture life, a hierarchical model to parameterize both C and LMP to compute rupture life, and a direct prediction of rupture life. Specifically, we show that the third scheme, using a gradient boosting algorithm, can be used to train ML models for very accurate prediction of rupture life in a variety of alloys (Pear-son Correlation Coefficient > 0.9 for 9-12% Cr and > 0.8 for austenitic stainless steels). In addition, the Shapley value was used to quantify feature importance, making the model interpretable by identifying the effect of various features on the model performance. Furthermore, a variational autoencoder-based generative model was built by conditioning on the experimental dataset to sample hypothetical synthetic candidate alloys from the learnt joint distribution not existing in both 9-12 % Cr ferritic-martensitic steel and austenitic stainless steel datasets. Finally, based on the predictive and generative model, a reinforcement learning strategy has been proposed to guide experimentalists into designing better heat resistant alloys.

Mamun, Md Osman G.↗

DOE OSTI2024

Automatic Loss Factor Modeling and Attribution on Unlabeled PV Energy Data

We present a novel approach for modeling the loss factors of photovoltaic power generation systems (PV systems). This method is a white-box machine learning model built on convex optimization that is fast, interpretable, and auditable. It takes as an input the measured daily energy produced by the system, over a multi-year period, and returns a multiplicative decomposition model of the daily energy signal and full attribution of the total energy loss to each feature. The methods section of this paper has two major components: (1) the description of the signal decomposition (SD) model, expressed in the SD framework, and (2) the attribution of total energy losses via Shapley values. We validate the method on synthetic and open-source data sets and compare to similar methods from the literature.

artificial intelligence↗

DOE OSTI2021

A Cooperative Game Theory-based Secondary Frequency Regulation in Distribution Systems

Participation of distribution systems in frequency regulation has become an important factor for grid operation after the integration of distributed energy resources (DERs). While available reserves from a single distribution system may not be sufficient for frequency regulation, aggregated reserves from several distribution systems can provide frequency regulation at grid-scale. This paper proposes a cooperative game theory-based approach for secondary frequency regulation in distribution systems consisting of distributed energy resources (DERs). A two-stage strategy is proposed to effectively and precisely determine a change in active power set points of DERs following a command from system operators. In the first stage, the value or worth of each DER and their coalitions are determined using initial rates of change of frequency (ROCOF) for each DER/coalition. In the second stage, the Shapley value, one of the solution concepts of cooperative game theory, is used to determine changes in active power set points of DERs. The proposed method is implemented on several distribution systems including a modified IEEE 13-node system and modified 33-node distribution system.

Gautam, Mukesh↗

NASA NTRS2024

Generating Dominating Sets Using Locally Defined Centrality Measures

The dominating set problem has many practical applications but is well-known to be NP-hard. Therefore, there is a need for efficient heuristic algorithms, especially in applications such as ad hoc wireless networks. Most distributed algorithms proposed in the literature assume that each node has knowledge of the network structure. We propose a distributed heuristic algorithm that uses two rounds of communication, and where each node has only local information, both in terms of network structure and dominating set assignment. First, each node calculates a local centrality measure to determine whether it is part of the dominating set D. The second round guarantees D is a dominating set by adding any non-dominated nodes. We compare several centrality measures and show that the Shapley centrality, derived from the Shapley value in game theory, is theoretically motivated and performs well in practice on several synthetic and real-world networks.

Network↗

DOE OSTI2025

How does ion temperature gradient turbulence depend on magnetic geometry? Insights from data and machine learning

Magnetic geometry has a significant effect on the level of turbulent transport in fusion plasmas. Here, we model and analyse this dependence using multiple machine learning methods and a dataset of >200 000 nonlinear gyrokinetic simulations of ion-temperature-gradient turbulence in diverse non-axisymmetric geometries. The dataset is generated using a large collection of both optimised and randomly generated stellarator equilibria. At fixed gradients and other input parameters, the turbulent heat flux varies between geometries by several orders of magnitude. Trends are apparent among the configurations with particularly high or particularly low heat flux. Regression and classification techniques from machine learning are then applied to extract patterns in the dataset. Due to a symmetry of the gyrokinetic equation, the heat flux and regressions thereof should be invariant to translations of the raw features in the parallel coordinate, similar to translation invariance in computer vision applications. Multiple regression models including convolutional neural networks (CNNs) and decision trees can achieve reasonable predictive power for the heat flux in held-out test configurations, with highest accuracy for the CNNs. Using Spearman correlation, sequential feature selection and Shapley values to measure feature importance, it is consistently found that the most important geometric lever on the heat flux is the flux surface compression in regions of bad curvature. The second most important geometric feature relates to the magnitude of geodesic curvature. These two features align remarkably with surrogates that have been proposed based on theory, while the methods here allow a natural extension to more features for increased accuracy. The dataset, released with this publication, may also be used to test other proposed surrogates, and we find that many previously published proxies do correlate well with both the heat flux and stability boundary.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2020

How machine learning can help select capping layers to suppress perovskite degradation

Environmental stability of perovskite solar cells (PSCs) has been improved by trial-and-error exploration of thin low-dimensional (LD) perovskite deposited on top of the perovskite absorber, called the capping layer. In this study, a machine-learning framework is presented to optimize this layer. We featurize 21 organic halide salts, apply them as capping layers onto methylammonium lead iodide (MAPbI 3 ) films, age them under accelerated conditions, and determine features governing stability using supervised machine learning and Shapley values. We find that organic molecules’ low number of hydrogen-bonding donors and small topological polar surface area correlate with increased MAPbI 3 film stability. The top performing organic halide, phenyltriethylammonium iodide (PTEAI), successfully extends the MAPbI3 stability lifetime by 4 ± 2 times over bare MAPbI 3 and 1.3 ± 0.3 times over state-of-the-art octylammonium bromide (OABr). Through characterization, we find that this capping layer stabilizes the photoactive layer by changing the surface chemistry and suppressing methylammonium loss.

36 MATERIALS SCIENCE↗

DOE OSTI2021

A machine learning aided interpretable model for rupture strength prediction in Fe-based martensitic and austenitic alloys

Abstract The class of 9–12% Cr ferritic-martensitic alloys (FMA) and austenitic stainless steels have received considerable attention due to their numerous applications in high temperature power generation industries. To design high strength steels with prolonged service life requires a thorough understanding of the long-term properties, e.g., creep rupture strength, rupture life, etc., as a function of the chemical composition and processing parameters that govern the microstructural characteristics. In this article, the creep rupture strength of both 9–12% Cr FMA and austenitic stainless steel has been parameterized using curated experimental datasets with a gradient boosting machine. The trained model has been cross validated against unseen test data and achieved high predictive performance in terms of correlation coefficient ( $$R^{2} > 0.98 $$ R 2 > 0.98 for 9–12% Cr FMA and $$R^{2} > 0.95 $$ R 2 > 0.95 for austenitic stainless steel) thus bypassing the need for additional comprehensive tensile test campaigns or physical theoretical calculations. Furthermore, the feature importance has been computed using the Shapley value analysis to understand the complex interplay of different features.

36 MATERIALS SCIENCE↗

DOE OSTI2026

Explainable machine learning for incipient anomaly detection in compact molten salt heat exchanger with overlapping feature distributions

High-temperature molten salt-cooled reactors (MSCRs) are a promising next-generation nuclear technology option, offering efficient power conversion and inherent safety features. However, the reliability of these systems depends on the robust operation of heat exchangers (HXs), which are susceptible to failure due to temperature gradients and channel plugging caused by fluid freezing. Conventional monitoring methods, relying on inlet and outlet measurements, lack the spatial resolution needed to detect early-stage faults. We propose a novel design of a compact salt-to-salt matrix-type HX design consisting of interleaved arrays of parallel tubes, with integrated synthetic fiber optic distributed temperature sensing (DTS) to enable localized detection of incipient faults. To evaluate performance of this design, we generate high-fidelity synthetic data using heat transfer computational modeling to simulate channel plugging, and introduce sensor noise for realistic modeling of measurements. The dataset comprises of 97% normal operation and 3% anomaly cases, with each anomaly class representing 1% of the data. These early anomalies result in overlapping temperature profiles between normal and faulty channels, producing a non-separable dataset that challenges traditional classification techniques. We benchmark eight supervised machine learning (ML) models and demonstrate that XGBoost achieves the highest performance. To improve transparency, we develop an explainability framework combining Shapley values and partially ordered sets (POSETs) to quantify and structurally analyze feature importance. This approach identifies both dominant predictors and ambiguous feature relationships, enhancing trust and interpretability. Our results highlight the potential of combining DTS and explainable ML with intelligent feature selection to improve predictive maintenance and ensure operational resilience in advanced nuclear systems.

Prantikos, Konstantinos [Argonne National Laborato↗

DOE OSTI2025

Predicting weather impacts on corn production in a data-limited region using a transfer learning approach

The stability of food supply and prices may depend more on annual changes in yields from year-to-year variability in weather than on longer-term average changes from changing climatic conditions. However, the absence of high-quality data on crop yields at fine spatial resolutions in many regions of the world makes it challenging to statistically model their response to interannual variability in weather patterns. Therefore, there is a need for empirical methods that can project annual crop yield changes even in limited data regions. Here, we propose a transfer learning algorithm that uses high spatial resolution data from one region to project yields in another region with more limited data. The goal of our work is to understand what data types can be beneficial for transferring learning from a source region to a very different target region with more limited data. We utilize Long Short-Term Memory to develop a transfer learning model that is trained on historical county-level corn yield in the United States and predicts district-level corn yield variations in India. Even using smaller amounts of data in India, simulating a data-scarce region, we achieve an average root mean square error of 0.48 bu acre−1 in predicting interannual yield variations. Using Shapley values to interpret results, we explore the contribution of the different weather parameters to interannual yield variability and find a larger influence of precipitation-related variables. Our study demonstrates the usefulness of this method for transferring models of weather impacts on crop yields trained on a data-rich country to one with more limited data. It suggests the potential of applying the transfer learning model to mitigate the need for extensive raw data globally.

Vishwakarma, Srishti [ORNL] (ORCID:000000031674419↗

DOE OSTI2025

Coincident learning for beam-based rf station fault identification using phase information at the SLAC linac coherent light source

Anomalies in radio-frequency (rf) stations can result in unplanned downtime and performance degradation in linear accelerators such as SLAC’s Linac Coherent Light Source (LCLS). Detecting these anomalies is challenging due to the complexity of accelerator systems, high data volume, and scarcity of labeled fault data. Prior work identified faults using beam-based detection, combining rf amplitude and beam position monitor data. Due to the simplicity of the rf amplitude data, classical methods are sufficient to identify faults, but the recall is constrained by the low-frequency and asynchronous characteristics of the data. In this work, we leverage high-frequency, time-synchronous rf phase data to enhance anomaly detection in the LCLS accelerator. Due to the complexity of phase data, classical methods fail, and we instead train deep neural networks within the Coincident Anomaly Detection (CoAD) framework. We find that applying CoAD to phase data detects nearly 3 times as many anomalies as when applied to amplitude data, while achieving broader coverage across rf stations. Furthermore, the rich structure of phase data enables us to cluster anomalies into distinct physical categories. Through the integration of auxiliary system status bits, we link clusters to specific fault signatures, providing additional granularity for uncovering the root cause of faults. We also investigate interpretability via Shapley values, confirming that the learned models focus on the most informative regions of the data and providing insight for cases where the model makes mistakes. This work demonstrates that phase-based anomaly detection for rf stations improves both diagnostic coverage and root cause analysis in accelerator systems and that deep neural networks are essential for effective analysis.

Accelerator Physics (physics.acc-ph)↗

DOE OSTI2022

Allocating Reserves in Active Distribution Systems for Tertiary Frequency Regulation

This paper proposes a cooperative game theory-based approach for reserve optimization to enable distributed energy resources (DERs) participate in tertiary frequency regulation. Tertiary frequency regulation schemes ensure that reserve requirements of primary and secondary frequency regulation are fulfilled with a minimum cost. While the available reserve from a single distribution system may not suffice tertiary frequency regulation, stacked reserve from several distribution systems can enable them participate in tertiary frequency regulation at scale. In this paper, a two-stage strategy is proposed to effectively and precisely allocate spinning reserve requirement from each DER in distribution systems. In the first stage, two types of characteristic functions are computed: worthiness index (WI) and power loss reduction (PLR). In the second stage, the equivalent Shapley values are computed based on the characteristic functions, which are used to determine distribution factors for reserve allocation among DERs. The effectiveness of the proposed method for allocating reserves among DERs is demonstrated through several case studies on modified versions of the IEEE 13-node and 33-node distribution systems.

Gautam, Mukesh↗

DOE OSTI2021

A Cooperative Game Theory-based Approach to Under-frequency Load Shedding Control

This paper proposes a cooperative game theory-based under-frequency load shedding (UFLS) approach for frequency stability and control in power systems. UFLS is a crucial factor for frequency stability and control especially in power grids with high penetration of renewable energy sources and restructured power systems. Conventional UFLS methods, most of which are off-line, usually shed fixed amounts of predetermined loads based on a predetermined schedule which can lead to over or under curtailment of load. This paper presents a co-operative game theory-based two-stage strategy to effectively and precisely determine locations and amounts of loads to be shed for UFLS control. In the first stage, the total amount of loads to be shed, also referred to as deficit in generation or the disturbance power, is computed using the initial rate of change of frequency (ROCOF) referred to the equivalent inertial center. In the second stage, the Shapley value, one of the solution concepts of cooperative game theory, is used to determine load shedding amounts and locations. The proposed method is implemented on the reduced 9-bus 3-machine Western Electricity Coordinating Council (WECC) system and simulated on Real-time Digital Simulators (RTDS). The results show that the proposed UFLS approach can effectively return the system to normal state after disturbances.

42 ENGINEERING↗

DOE OSTI2026

Machine learning of factors for improving oyster hatchery production

Oyster aquaculture and restoration in the Chesapeake Bay are vital, yet hatcheries frequently struggle with inconsistent larval growth and sudden mass mortality events. Unpredictable disruptions in larval production cause large economic losses, represent a perceived risk to growers, and impede industry expansion. To better understand associations between production yield and its potential predictors, we applied machine learning (random forest, and neural network) and statistical (generalized additive model) models to a comprehensive dataset of environmental, water quality, and operational parameters from a Maryland oyster hatchery, aiming to identify key yield predictors and develop a robust forecasting tool. We used recursive Boruta algorithm for variable selection, pinpointing critical predictors, and employed cross-validation to fine-tune model settings. Shapley value analysis offered crucial insights into model interpretations, highlighting week number, Normalized Difference Vegetation Index, salinity, turbidity, and fecundity as primary drivers of yield variability. For low-yield cases, salinity-related variables were particularly important. Our findings provide an early warning system for potential production downturns, empowering hatchery operators to make data-driven decisions for optimizing water conditions, feeding schedules, and broodstock management. By boosting predictability and efficiency, this research directly supports economic stability of the oyster industry and ecological health of the Chesapeake Bay.

Vishwakarma, Srishti [Oak Ridge National Laborator↗

DOE OSTI2021

SAGE Intrusion Detection System: Sensitivity Analysis Guided Explainability for Machine Learning.

This report details the results of a three-fold investigation of sensitivity analysis (SA) for machine learning (ML) explainability (MLE): (1) the mathematical assessment of the fidelity of an explanation with respect to a learned ML model, (2) quantifying the trustworthiness of a prediction, and (3) the impact of MLE on the efficiency of end-users through multiple users studies. We focused on the cybersecurity domain as the data is inherently non-intuitive. As ML is being using in an increasing number of domains, including domains where being wrong can elicit high consequences, MLE has been proposed as a means of generating trust in a learned ML models by end users. However, little analysis has been performed to determine if the explanations accurately represent the target model and they themselves should be trusted beyond subjective inspection. Current state-of-the-art MLE techniques only provide a list of important features based on heuristic measures and/or make certain assumptions about the data and the model which are not representative of the real-world data and models. Further, most are designed without considering the usefulness by an end-user in a broader context. To address these issues, we present a notion of explanation fidelity based on Shapley values from cooperative game theory. We find that all of the investigated MLE explainability methods produce explanations that are incongruent with the ML model that is being explained. This is because they make critical assumptions about feature independence and linear feature interactions for computational reasons. We also find that in deployed, explanations are rarely used due to a variety of reason including that there are several other tools which are trusted more than the explanations and there is little incentive to use the explanations. In the cases when the explanations are used, we found that there is the danger that explanations persuade the end users to wrongly accept false positives and false negatives. However, ML model developers and maintainers find the explanations more useful to help ensure that the ML model does not have obvious biases. In light of these findings, we suggest a number of future directions including developing MLE methods that directly model non-linear model interactions and including design principles that take into account the usefulness of explanations to the end user. We also augment explanations with a set of trustworthiness measures that measure geometric aspects of the data to determine if the model output should be trusted.

97 MATHEMATICS AND COMPUTING↗

NASA NTRSDate not supplied

Off-Nominal Event Analysis in Autonomous Flights Based on Explainable Artificial Intelligence

A key objective in the Urban Air Mobility program at NASA is to intelligently perform an autonomous flight in a complex urban environment under all weather conditions with guaranteed levels of safety. To accomplish this, the mission manager (central decision-making module) of the vehicle needs to make informed decisions between various Courses of Action (CoA) based on its' interpretation of the inputs it receives. If an off-nominal event is detected either based on the amalgamation of sensor data or the use of machine learning models, the mission manager may greatly benefit from identification of the input features that most likely contributed to that specific event. Such an understanding is usually not possible to obtain from the classical machine learning models (deep learning) due to the inherent black box like structure. However, this understanding is achieved using eXplainable Artificial Intelligence (XAI) models that provide a human interpretable rationale for the predictions made. This work presents a game theory inspired XAI model for the off-nominal assessment of autonomous flights. The proposed approach based on Shapley values is model agnostic, provides local as well as global explanation and satisfies the four axioms (efficiency, symmetry, dummy, additivity) to achieve fair contribution. The versatility of the approach is first demonstrated on a simulated dataset in which the significance of each input to flight phase prediction is clearly identified. Subsequently, data from simulated flight trajectories are fed into the model which reveal the input features that most likely contributed to a rotor failure event thereby empowering the mission manager to take the appropriate CoA.

autonomy↗

NASA NTRSDate not supplied

Off-Nominal Event Analysis in Autonomous Flights Based on Explainable Artificial Intelligence

autonomy↗

DOE OSTI2021

Modeling household online shopping demand in the U.S.: a machine learning approach and comparative investigation between 2009 and 2017

Despite the rapid growth of online shopping and research interest in the relationship between online and in-store shopping, national-level modeling and investigation of the demand for online shopping with a prediction focus remain limited in the literature. Here, this paper differs from prior work and leverages two recent releases of the U.S. National Household Travel Survey (NHTS) data for 2009 and 2017 to develop machine learning (ML) models, specifically gradient boosting machine (GBM), for predicting household-level online shopping purchases. The NHTS data allow for not only conducting nationwide investigation but also at the level of households, which is more appropriate than at the individual level given the connected consumption and shopping needs of members in a household. We follow a systematic procedure for model development including employing Recursive Feature Elimination algorithm to select input variables (features) in order to reduce the risk of model overfitting and increase model explainability. Among several ML models, GBM is found to yield the best prediction accuracy. Extensive post-modeling investigation is conducted in a comparative manner between 2009 and 2017, including quantifying the importance of each input variable in predicting online shopping demand, and characterizing value-dependent relationships between demand and the input variables. In doing so, two latest advances in machine learning techniques, namely Shapley value-based feature importance and Accumulated Local Effects plots, are adopted to overcome inherent drawbacks of the popular techniques in current ML modeling. The modeling and investigation are performed at the national level, with a number of findings obtained. The models developed and insights gained can be used for online shopping-related freight demand generation and may also be considered for evaluating the potential impact of relevant policies on online shopping demand.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗