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DOE OSTI2022

A multistage distributionally robust optimization approach to water allocation under climate uncertainty

This paper investigates a Multistage Distributionally Robust Optimization (MDRO) approach to water allocation under climate uncertainty. The MDRO is formed by creating sets of conditional distributions (called conditional ambiguity sets) on a finite scenario tree. The distributions in the conditional ambiguity sets remain close to a nominal conditional distribution according a ø-divergence (e.g., Kullback-Leibler divergence, Hellinger distance, Burg entropy, etc.). Here, the paper discusses a decomposition algorithm to solve the resulting MDRO with ø-divergences, which uses the dual formulation and solves only linear subproblems instead of convex ones. Some properties of the algorithm such as generating feasible policies and valid upper/lower bounds are established. The paper then applies the modeling and solution techniques to allocate water in a rapidly-developing area of Tucson, Arizona. Tucson, like many arid and semi-arid regions around the world, faces considerable uncertainty in its ability to provide water for its citizens in the future. The primary sources of uncertainty in the Tucson region include (1) unpredictable population growth, (2) the availability of water from the Colorado River, and (3) the effects of climate variability on water consumption. This paper integrates forecasts for all these sources of uncertainty into a single optimization model for robust and sustainable water allocation. Then, it uses this model to analyze the value of constructing additional treatment facilities to reduce future water shortages. The results indicate that the MDRO approach can be very valuable for water managers by providing insights to minimize their risks and help them plan for the future.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2024

Non-Stationary Policy Learning for Multi-Timescale Multi-Agent Reinforcement Learning

In multi-timescale multi-agent reinforcement learning (MARL), agents interact across different timescales. In general, policies for time-dependent behaviors, such as those induced by multiple timescales, are non-stationary. Learning non-stationary policies is challenging and typically requires sophisticated or inefficient algorithms. Motivated by the prevalence of this control problem in real-world complex systems, we introduce a simple framework for learning non-stationary policies for multi-timescale MARL. Our approach uses available information about agent timescales to define and learn periodic multi-agent policies. In detail, we theoretically demonstrate that the effects of non-stationarity introduced by multiple timescales can be learned by a periodic multi-agent policy. To learn such policies, we propose a policy gradient algorithm that parameterizes the actor and critic with phase-functioned neural networks, which provide an inductive bias for periodicity. The framework's ability to effectively learn multi-timescale policies is validated on a gridworld and building energy management environment.

control↗

DOE OSTI2024

Implications of stop-and-go traffic on training learning-based car-following control

Learning-based car-following control (LCC) of connected and autonomous vehicles (CAVs) is gaining significant attention with the advancement of computing power and data accessibility. While the flexibility and large model capacity of model-free architecture enable LCC to potentially outperform the model-based car-following (CF) model in improving traffic efficiency and mitigating congestion, the generalizability of LCC for traffic conditions different from the training environment/dataset is not well-understood. Herein, this study seeks to explore the impact of stop-and-go traffic in the training dataset on the generalizability of LCC. It uses the characteristics of lead vehicle trajectories to describe stop-and-go traffic, and links the theory of identifiability (i.e., obtaining a unique parameter estimation result using sensor measurements) to the generalizability of behavior cloning (BC) and policy-based deep reinforcement learning (DRL). Correspondingly, the study shows theoretically that: (i) stop-and-go traffic can enable the property of identifiability and enhance the control performance of BC-based LCC in different traffic conditions; (ii) stop-and-go traffic is not necessary for DRL-based LCC to generalize to different traffic conditions; (iii) DRL-based LCC trained with only constant-speed lead vehicle trajectories (not sufficient to ensure identifiability) can be generalized to different traffic conditions; and (iv) stop-and-go traffic increases variance in the training dataset, which improves the convergence of parameter estimation while negatively impacting the convergence of DRL to the optimal control policy. Numerical experiments validate the above findings, illustrating that BC-based LCC entails comprehensive training datasets for generalizing to different traffic conditions, while DRL-based LCC can achieve generalization with simple free-flow traffic training environments. This further suggests DRL as a more promising and cost-effective LCC approach to reduce operational costs, mitigate traffic congestion, and enhance safety and mobility, which can accelerate the deployment and acceptance of CAVs.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2024

An Ethics-Based Review of Generative Artificial Intelligence: Assuring Responsible Use (Version 1.0)

The rapid expansion of generative artificial intelligence (GenAI) has generated excitement regarding its potential benefits and concern over its ethical implications. Governments, corporations, and standards organizations have described ethical principles to direct GenAI's development and use; however, practical guidance for implementing these principles is limited. Addressing this gap is critical, especially considering the array of risks associated with GenAI, such as legal liabilities, privacy concerns, security threats, and potential misuse. Robust policies and procedures are critical to support responsible deployment of GenAI. This report examines Pacific Northwest National Laboratory (PNNL)’s approach to promoting responsible GenAI use. Proposed initiatives include developing policies based on ethical principles, creating a governance process to review projects relative to those principles, and implementing onboarding processes for training staff. The governance framework described in this report adapts the structure and principles of Institutional Review Boards (IRBs), traditionally used in human subjects research, for GenAI ethical review, providing oversight. Ethical principles guiding responsible GenAI usage include transparency and accountability, privacy, fairness, safety, security, and validity and reliability. To operationalize these principles, we propose forming a GenAI Assurance Council (GAC) that mirrors the IRB's structure. The GAC will evaluate GenAI projects across privacy, accountability, transparency, safety, security, fairness, and validity dimensions. Complementing policy and governance is AI literacy training to support staff understanding of GenAI's ethical implications. An initial training effort for AI Incubator Chat—a GenAI tool deployed at PNNL—showed promising results, underscoring the importance of clear guidelines and user accountability. Collaborative efforts and the dissemination of best practices are also discussed. The proposed GAC model and AI literacy training provide a blueprint for establishing ethical GenAI use and governance, offering practical tools to bridge the gap between ethical principles and real-world applications. The responsible integration of GenAI at PNNL entails a multifaceted approach involving policy development, ethical governance, and AI literacy training. The positive initial feedback and collaborative opportunities position PNNL to lead by example in GenAI's responsible use, reflecting a proactive stance in addressing the ethical, legal, and societal challenges associated with this emerging technology. PNNL's systematic and ethical approach to GenAI offers a model for other institutions to emulate, promoting safe and responsible technological advancements in the AI domain.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2025

Safe Physics-Informed Machine Learning for Dynamics and Control

This tutorial paper focuses on safe physics-informed machine learning in the context of dynamics and control, providing a comprehensive overview of how to integrate physical models and safety guarantees. As machine learning techniques enhance the modeling and control of complex dynamical systems, ensuring safety and stability remains a critical challenge, especially in safety-critical applications like autonomous vehicles, robotics, medical decision-making, and energy systems. We explore various approaches for embedding and ensuring safety constraints, including structural priors, Lyapunov and Control Barrier Functions, predictive control, projections, and robust optimization techniques. Additionally, we delve into methods for uncertainty quantification and safety verification, including reachability analysis and neural network verification tools, which help validate that control policies remain within safe operating bounds even in uncertain environments. The paper includes illustrative examples demonstrating the implementation aspects of safe learning frameworks that combine the strengths of data-driven approaches with the rigor of physical principles, offering a path toward the safe control of complex dynamical systems.

Drgona, Jan↗

DOE OSTI2021

Home Energy Professionals Certifications ISO/IEC 17024: 2021 Policies and Procedures Manual

The U.S. Department of Energy (DOE) enlisted its National Renewable Energy Laboratory (NREL) to coordinate the development of a framework for new certifications in the weatherization and home performance industry. The Home Energy Professional certifications support DOE's Weatherization Assistance Program (WAP) and the broader residential home performance industry through the credentialing process of defined job task analysis for energy auditors and quality control inspectors. The HEP certifications are not intended to supplant or infringe upon any existing industry-recognized credentials, however, the WAP and the home performance industry have utilized the advanced HEP certifications to promote quality work and standardized job task analysis since 2010. On an ongoing basis, NREL brings industry practitioners and subject matter experts together to develop, review, and revise the certification schemes in accordance with the International Organization for Standardization (ISO)/International Electrotechnical Commission (IEC) 17024 standard, "Conformity assessment - General requirements for bodies operating certification of persons" (ISO/IEC 17024). This handbook covers the policies and procedures for the process of developing, maintaining, and validating the certification schemes. Each policy and procedure includes the relevant ISO/IEC 17024 section at the beginning.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2020

Efficient proactive vehicle relocation for on-demand mobility service with recurrent neural networks

One major challenge for on-demand mobility service (OMS) providers is to seamlessly match empty vehicles with trip requests so that the total vacant mileage is minimized. In this work, we develop an innovative data-driven approach for devising efficient vehicle relocation policy for OMS that (1) proactively relocates vehicles before the demand is observed and (2) reduces the inequality among drivers' income so that the proactive relocation policy is fair and is likely to be followed by drivers. Our approach represents the fusion of optimization and machine learning methods, which comprises three steps: First, we formulate the optimal proactive relocation as an optimal/stable matching problems and solve for global optimal solutions based on historical data. Second, the optimal solutions are then grouped and fed to train the deep learning models which consist of fully connected layers and long short-term memory networks. Low rank approximation is introduced to reduce the model complexity and improve the training performances. Finally, we use the trained model to predict the relocation policy which can be implemented in real time. We conduct comprehensive numerical experiments and sensitivity analyses to demonstrate the performances of the proposed method using New York City taxi data. Here, the results suggest that our method will reduce empty mileage per trip by 54-70% under optimal matching strategy, and a 25-32% reduction can also be achieved by following stable matching strategy. We also validate that the predicted relocation policies are robust in the presence of uncertain passenger demand level and passenger trip-requesting behavior.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2021

On Distributed Model-Free Reinforcement Learning Control with Stability Guarantee

Distributed learning can enable scalable and effective decision making in numerous complex cyber-physical systems such as smart transportation, robotics swarm, power systems, etc. However, the stability of the system is usually not guaranteed in most existing learning paradigms; and this limitation can hinder the wide deployment of machine learning in decision making of safety-critical systems. This paper presents a stability guaranteed distributed reinforcement learning (SGDRL) framework for interconnected linear subsystems, without knowing the subsystem models. While the learning process requires data from a peer-to-peer (p2p) communication architecture, the control implementation of each subsystem is only based on its local state. The stability of the interconnected subsystems will be ensured by a diagonally dominant eigenvalue condition, which will then be used in a model-free RL algorithm to learn the feedback control gains. The RL algorithm structure follows an off-policy iterative framework, with interleaved policy evaluation and policy update steps. We numerically validate our theoretical results by performing simulations on four interconnected sub-systems.

Mukherjee, Sayak↗

DOE OSTI2020

The Future of Sensitivity Analysis: An essential discipline for systems modeling and policy support

Sensitivity analysis (SA) is en route to becoming an integral part of mathematical modeling. The tremendous potential benefits of SA are, however, yet to be fully realized, both for advancing mechanistic and data-driven modeling of human and natural systems, and in support of decision making. In this perspective paper, a multidisciplinary group of researchers and practitioners revisit the current status of SA, and outline research challenges in regard to both theoretical frameworks and their applications to solve real-world problems. Six areas are discussed that warrant further attention, including (1) structuring and standardizing SA as a discipline, (2) realizing the untapped potential of SA for systems modeling, (3) addressing the computational burden of SA, (4) progressing SA in the context of machine learning, (5) clarifying the relationship and role of SA to uncertainty quantification, and (6) evolving the use of SA in support of decision making. An outlook for the future of SA is provided that underlines how SA must underpin a wide variety of activities to better serve science and society.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2025

The ePIC Simulation Campaign Workflow on the Open Science Grid

The ePIC collaboration is realizing the first experiment of the future Electron-Ion Collider (EIC) at the Brookhaven National Laboratory that will allow for a precision study of the nucleons and the nucleus at the scale of sea quarks and gluons through the study of electron-proton/ion collisions. This paper will discuss the current workflow for running centralized simulation campaigns for ePIC on the Open Science Grid (OSG) infrastructure. This involves monthly releases of ePIC software and container deployments to CVMFS, generation of input datasets in HepMC format according to collaboration-defined policy, using Snakemake in CI/CD for validation and benchmarking, and submitting jobs to the OSG condor scheduler for opportunistic running on available resources. File transfers utilize XrootD, and Rucio is used for data management. The workflow is continuously refined to improve daily throughput (currently 50-100k core hours per day) and minimize job failures. Since May 2023, monthly simulation campaigns employing the workflow have cumulatively used over 20 million core hours on the OSG and produced over 350 TB of simulation data. The campaigns incorporate simulations for the broad science program of the EIC and are actively used for the detector and physics studies in preparation of the Technical Design Report (TDR).

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗

DOE OSTI2022

Data Validation for Hosting Capacity Analyses

The usefulness of Hosting Capacity Analysis (HCA) is dependent on users' confidence that the results accurately reflect grid conditions. This report provides the findings and recommendations from research, conducted by The National Renewable Energy Lab (NREL) and The Interstate Renewable Energy Council (IREC), into HCA data validation best practices. The goal is to provide utilities, regulators, and stakeholders best practices for HCA data validation procedures so that future HCA deployments avoid uncertainties and potential mistakes from earlier rollouts and provide useful and accurate data from the day they are published. Utilities can use this report to develop or refine their HCA data validation procedures. Regulators can use the report to inform their oversight of utilities' HCA data validation practices, while stakeholders can use it to evaluate the effectiveness of utility efforts.

14 SOLAR ENERGY↗

DOE OSTI2020

Technical Evaluation of the Department of Energy Research and Development Activities in Underground Research Laboratories - 20287

Congress created the U.S. Nuclear Waste Technical Review Board (NWTRB) in the 1987 Nuclear Waste Policy Amendments Act (Public Law 100-203) to evaluate the technical and scientific validity of activities undertaken by the Secretary of Energy to implement the Nuclear Waste Policy Act. Since 2012, DOE has collaborated in research conducted in several underground research laboratories (URLs) located in Europe and Asia. According to DOE, these international collaborations have been beneficial to its spent nuclear fuel (SNF) and high-level waste radioactive (HLW) disposal research program, particularly after the termination of the Yucca Mountain repository program when DOE began generic research on alternative host rocks (crystalline, clay, and salt) and repository environments very different from those at Yucca Mountain. In accordance with its mandate, the NWTRB is reviewing the DOE research and development (R and D) activities related to URLs. The NWTRB's review is documented in a report to Congress and the Secretary of Energy that will be released in January 2020, and this paper summarizes the NWTRB review and findings. The NWTRB held a fact-finding meeting with DOE and subsequently held a workshop on international URL collaborations in April of 2019. Based on the presentations and discussions at the workshop and at the fact-finding meeting, as well as information from reports published by DOE and others, there are four principal findings related to DoE's URL-related R and D activities. First, DOE participation in URL-related international research greatly benefits the U.S. geologic disposal R and D program by furthering its understanding of generic and site-specific disposal issues relevant to alternative repository host rocks and environments. DOE-funded R and D activities also are benefiting the URL-related research of other countries, especially in the area of complex analytical and numerical model/software development. Second, the more developed repository programs in other countries have focused on creating and strengthening their safety cases and making them transparent to the public. Repository programs in other countries use URLs to explain the technical bases underlying their safety cases, periodically reassess knowledge gaps and define new activities to strengthen the technical bases, and demonstrate the technology that will allow implementation of the proposed safety concept. Third, countries with more developed geologic disposal programs have found domestic URLs essential to their repository programs. DOE needs domestic URLs to advance geologic disposal efforts over the next decades and further its ability to train the next generation of scientists, engineers, and skilled technical workers. Fourth, DoE's international URL collaborations have advanced its generic disposal R and D program, including development of modeling capabilities recognized internationally as state-of-the-art, but further work on its coupled thermal-hydrological-mechanical-chemical models and URL- and laboratory-based research can strengthen its program. (authors)

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2021

Too Good to Be True? Evaluation of Colonoscopy Sensitivity Assumptions Used in Policy Models

Background: Models can help guide colorectal cancer screening policy. Although models are carefully calibrated and validated, there is less scrutiny of assumptions about test performance. Methods: We examined the validity of the CRC-SPIN model and colonoscopy sensitivity assumptions. Standard sensitivity assumptions, consistent with published decision analyses, assume sensitivity equal to 0.75 for diminutive adenomas (<6 mm), 0.85 for small adenomas (6–10 mm), 0.95 for large adenomas (≥10 mm), and 0.95 for preclinical cancer. We also selected adenoma sensitivity that resulted in more accurate predictions. Targets were drawn from the Wheat Bran Fiber study. In the study, we examined how well the model predicted outcomes measured over a three-year follow-up period, including the number of adenomas detected, the size of the largest adenoma detected, and incident colorectal cancer. Results: Using standard sensitivity assumptions, the model predicted adenoma prevalence that was too low (42.5% versus 48.9% observed, with 95% confidence interval 45.3%–50.7%) and detection of too few large adenomas (5.1% versus 14.% observed, with 95% confidence interval 11.8%–17.4%). Predictions were close to targets when we set sensitivities to 0.20 for diminutive adenomas, 0.60 for small adenomas, 0.80 for 10- to 20-mm adenomas, and 0.98 for adenomas 20 mm and larger. Conclusions: Colonoscopy may be less accurate than currently assumed, especially for diminutive adenomas. Alternatively, the CRC-SPIN model may not accurately simulate onset and progression of adenomas in higher-risk populations. Impact: Misspecification of either colonoscopy sensitivity or disease progression in high-risk populations may affect the predicted effectiveness of colorectal cancer screening. When possible, decision analyses used to inform policy should address these uncertainties.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2022

Data Validation for Hosting Capacity Analyses: Executive Summary

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2026

Tree-ring evidence marks year 2022 as the driest spring season in nearly four centuries in the Western Himalayas

The Hindukush-Karakoram-Himalayan region is a crucial freshwater source for billions across South Asia, yet its climate remains poorly understood due to limited long-term records. Winter and spring precipitation govern snow accumulation and downstream water availability in dry months particularly across the Western Himalayas (WH), but recent decades show intensifying droughts with unclear long-term context. Here, we have reconstructed a nearly four-century-long spring i.e. February to May (FMAM) precipitation for the Lahaul region of the (WH), an area dominated by the Western Disturbances. This record was developed using moisture-sensitive Cedrus deodara (Deodar) tree-rings from three high-elevation sites. A regional composite tree-ring-width chronology, developed through a Nested Principal Component Analysis and modeled with a nonlinear Generalized Additive Model (GAM) that explains 71 % of the variance during the calibration period. We identified the last two decades as the most precipitation deficit phase and the year 2022 showing the driest FMAM on record. The observed rise in the FMAM dry episodes post 1999 CE in our reconstruction, corresponds to the meteorological records. This recent drying is linked to a northward shift of the subtropical westerly jet and reduced moisture transport, both associated with unusual sea surface temperature patterns in the tropical Indian Ocean and the Western Pacific Ocean. Our results provide compelling evidence of long-term hydroclimatic instability in the WH and emphasize the value of tree-ring records in extending precipitation histories beyond the instrumental observations. Such reconstructions can be benchmarks to validate high-resolution climate models and formulate adaptation policies to mitigate future risks.

Cedrus deodara↗

DOE OSTI2021

Foundational Open Source Solar System Modeling Through Improvement and Validation of the System Advisor Model and PVWatts (FY19-FY21 Final Technical Report)

Accelerating intelligent deployment of solar energy technologies demands accurate system modeling every step of the way. From project development to policy research, grid integration studies to development of novel technologies, industry and researchers alike need validated, transparent, easy-to-use, extensible, cutting-edge, and accurate models of both the performance and financing of solar systems. The System Advisor Model (SAM) and PVWatts tools provide a platform to fill that need. The overarching goal of this set of software tools is to enable accurate PV system modeling across the industry, and our usage metrics indicate that we continue to succeed in that endeavor, with a user starting SAM every 2 minutes globally, and over 17 million PVWatts hits per month. This project leveraged DOEs past investment in the SAM and PVWatts platforms to continue to provide valuable and extensible PV, battery, and financial modeling resources to the larger solar community. We pursued multiple avenues in parallel: software maintenance and technical support that are foundational to the continued usability of the SAM and PVWatts platforms; platform and PV model improvements and stakeholder engagement activities that are core to the continued relevance of the platforms; and open source activities to foster the continued creation of a vibrant open-source community around the SAM and PVWatts tools, which opens up exciting new opportunities for industry interaction.

14 SOLAR ENERGY↗

DOE OSTI2022

Nuclear Forensics

Nuclear forensics is a key part of the nuclear security strategy for the United States and the international community. The NACS Division is central to the leadership role that LLNL has had in nuclear forensics over the past 25 years. Our current nuclear forensic program includes conducting R&D on provenance and attribution signatures, collaborating with international partners, training the next generation of nuclear forensic experts, developing test materials for verification and validation exercises, and providing expert advice to national and international policy makers. Key to our success in these areas has been the strong and continuing involvement in nuclear forensic casework obtained through law enforcement and intelligence channels as well as our outstanding analytical capabilities. NACS must continue to conduct forward-thinking R&D in nuclear forensics that supports operational programs and addresses intelligence gaps. To maintain leadership in nuclear forensics, we must attract, develop, and retain the best talent. The NNSA has a central leadership role in developing educational initiatives for nuclear forensics. In concert with the Glenn T. Seaborg Institute, the NACS Division will continue to participate in all nuclear forensic educational initiatives (undergraduate, graduate, postdoctoral) and incorporate LLNL’s D&I vision into its student and postdoc recruitment efforts. We will continue to build formal relationships with key academic partners and institutions with active and emerging nuclear forensic research interests. We will also strengthen relationships with NNSA DNN and SSAA funded university consortia (e.g. NSSC, ACE, CNEC, CVT, ETI, MTV), helping them conduct research of interest and relevance to nuclear forensics, while at the same time evaluating and recruiting promising talent from these programs.

07 ISOTOPE AND RADIATION SOURCES↗

DOE OSTI2026

ORCHID: Orchestrated Retrieval-Augmented Classification of High-Risk Property with Intelligent Decision-Making

High-Risk Property (HRP) classification is critical at U.S. Department of Energy (DOE) sites, where inventories include sensitive and often dual-use equipment. Compliance must track evolving rules designated by various export control policies to make transparent and auditable decisions. Traditional expert-only workflows are time-consuming, backlog-prone, and struggle to keep pace with shifting regulatory boundaries. We propose ORCHID, a modular agentic framework for HRP classification that pairs retrieval-augmented generation (RAG) with human oversight to produce policy based outputs that can be audited. Small cooperating agents—retrieval, description refiner, classifier, validator, and feedback logger—coordinate via agent-to-agent messaging and invoke tools through the Model Context Protocol (MCP) for model-agnostic on-premise operation. The interface follows an "Item to Evidence to Decision" loop with step-by-step reasoning, on-policy citations, and append-only audit bundles (run-cards, prompts, evidence). In preliminary tests on real HRP cases, ORCHID improves accuracy and traceability over a non-agentic baseline while deferring uncertain items to Subject Matter Experts (SMEs). The demonstration shows single item submission, grounded citations, SME feedback capture, and exportable audit artifacts—illustrating a practical path to trustworthy LLM assistance in sensitive DOE compliance workflows.

Das, Sanjay [ORNL] (ORCID:0009000542591915)↗