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DOE OSTI2023

2023 Risk Management Plan and Register for Low-Power WEC for Non-Grid Applications

This is an updated risk management plan and risk register for the design, build and test of a novel, remote, low-power wave energy converter (WEC) for non-grid applications. This Columbia Power Technologies project seeks to develop a prototype low-power WEC that lowers the total cost of ownership and provides robust, new capabilities for customers in the maritime environment. The testing location for this prototype is the U.S. Navy Wave Energy Test Site (WETS) in Kaneohe Bay, O'ahu, Hawai'i. Detailed in the Risk Management Plan document is a Failure Modes, Effects, and Criticality Analysis (FMEC) that systematically identifies all potential failure modes and their effects on the system. Risk registers for major subsystems were completed according to the methodology described in the Risk Management Plan and are also included here.

16 TIDAL AND WAVE POWER↗

DOE OSTI2023

PacWave South SeaRAY k2 Risk Registers

The SeaRAY is a deployable power system for maritime sensors, monitoring equipment, communications, unmanned underwater vehicles, and other similar payloads. This project is to design, deliver, and test a prototype low-power WEC that lowers the total cost of ownership and provides robust, new capabilities for customers in the maritime environment. Failure Modes, Effects, and Criticality Analysis (FMECA) is conducted to systematically identify all potential failure modes and their effects on the system, and to analyze the criticality of each risk based on the likelihood of the event and the severity of the impact. Actions may then be recommended to mitigate the criticality of a risk, either by reducing the likelihood of the risk or the severity of its impact. Risk assessment is executed iteratively as an integral part of the design process. By incorporating risk assessment early in the development cycle, mitigation of risk can be achieved cost effectively. The actions recommended to mitigate risk may be subsequently executed, and as the design progresses the risk assessment is reviewed and revised. Review of the risk assessment is integrated into structured design reviews, ensuring that critical risks are comprehended and that the Project will not progress to e.g. fabrication while intolerable risks remain. The risk assessment process results in the population and maintenance of Risk Registers (RRs). Each major system (and as needed, subsystem) will have a distinct RR. This allows each system or subsystem to be assessed individually, rendering the RRs to a manageable size for review.

16 TIDAL AND WAVE POWER↗

DOE OSTI2026

Managing Marine Energy Risks for Project Success

This presentation reviews recommended practices for marine energy risk management based on NLR's recent risk management framework publication (https://www.nrel.gov/docs/fy24osti/90212.pdf). This presentation will include a demonstration of risk management processes and techniques that everyone in the marine energy industry can use to successfully meet their project objectives. This presentation will include a description of methods to identify and manage risks that are specific to marine energy, while demonstrating this through tools such as risk registers, failure modes effects and criticality analysis (FMECA), and more tools that are currently being developed. The goal of this presentation is for the participants to have knowledge and access to tools to help them manage the risks specific to their marine energy projects.

13 HYDRO ENERGY↗

DOE OSTI2024

CalWave - Reports and Plans for xWave Device Demonstration at PacWave South Site

CalWave has developed a submerged pressure differential type Wave Energy Converter (WEC) architecture called xWave. The single body device oscillates submerged, is positively buoyant, and taut moored to the sea floor and integrates novel features such as absorber submergence depth control. Since participation in the US Wave Energy Prize, CalWave has evolved the design and successfully concluded a scaled 10-month open ocean pilot. CalWave recently concluded the final design phase of a scaled up WEC version for PacWave and started component order/build of the WEC towards the grid-connected demonstration at PacWave. Documentation and data here includes: a system certification plan, a risk registry in the form of an FMECA (Failure Mode, Effects, and Criticality Analysis) table, an updated LCOE content model, a report on performance metrics, and a risk management plan.

16 TIDAL AND WAVE POWER↗

DOE OSTI2026

Failure Mode and Effects Analysis (FMEA) for Photovoltaic Inverter

Photovoltaic (PV) inverters are critical yet vulnerable components in modern energy systems, often acting as reliability bottlenecks that increase the levelized cost of energy (LCOE). To address this, this paper presents a comprehensive Failure Mode and Effects Analysis (FMEA) tailored for PV inverters. Leveraging field data and literature, we identify failure-prone components, such as capacitors,, and relays, and prioritize their risks based on quantitative Risk Priority Numbers (RPNs). The analysis reveals that surge-induced MOV short circuits, capacitor degradation, and environmental cooling fan failures dominate the risk profile. These findings provide a targeted framework for reliability improvement, guiding future efforts in predictive diagnostics, design optimization, and accelerated life testing strategies.

14 SOLAR ENERGY↗

DOE OSTI2025

Preliminary System Interface Failure Mode Analysis for Two Advanced Reactors

This study explores two distinct Balance of Plant (BOP) configurations: the Rankine cycle for a sodium-cooled fast reactor (SFR) and the Brayton cycle for a gas-cooled reactor (GCR). As representative designs, the Power Reactor Innovative Small Module (PRISM) by GE Hitachi Nuclear Energy was selected for the SFR, while the Gas Turbine Modular Helium Reactor (GT MHR) by General Atomics was chosen for the gas-cooled reactor. Both configurations were adapted to deliver high-quality heat for industrial applications. A Failure Modes and Effects Analysis (FMEA) was conducted for each system to identify critical failure modes affecting key components. This study marks the first phase of a two-step design optimization approach, integrating FMEA into the design process. Based on the analysis, design modifications and mitigation strategies were proposed to enhance system resilience. The second phase, to be detailed in a subsequent report, will focus on the role of the control system in mitigating these failures. The FMEA serves as a foundation for defining the control topology, ensuring system resilience against component failures that could compromise essential functions, such as electricity and heat production.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2023

Setting Priorities for Photovoltaic Reliability Research Using Criticality Analysis

A forward-looking research opportunity number (RON) is defined for photovoltaic reliability researchers. The RON enables researchers to prioritize their efforts toward the highest impact. For a given degradation mode, the RON is based on three factors: the effect on levelized cost of electricity, the susceptibility of future module products, and the maturity of accelerated tests that can detect and quantify the mode. Reporting bias is avoided because the RON does not rely on polls. The RON is derived for three example cases: light and elevated temperature degradation, backsheet cracking, and antireflective coating abrasion. Finally, these examples demonstrate that targeted research has reduced the risk for these modes over the last several years.

14 SOLAR ENERGY↗

DOE OSTI2021

Bio-project “derisking” through development of systematic methodologies and frameworks for risk assessment

One of the primary hindrances to producing a viable, sustainable domestic biomass industry for renewable biofuels, bio-products and bio-power is the lack of understanding and quantification of the risks associated with both the biomass supply chain and preprocessing and conversion technologies. Currently a consistent method for assessing, comparing, and quantifying risks in biomass supply chains does not exist, creating a major investment barrier to bioenergy projects in the U.S. The lack of a standardized approach has resulted in bioenergy stakeholders independently using inconsistent approaches and evaluation criteria, leading to unreliable and incomparable assessments of risks and financing barriers to bio-project development. Along with the challenges of inconsistent risk assessment for supply chain risk, technology specific risks based on variability in biomass properties are not fully understood and can pose significant unforeseen challenges for bioenergy projects. In many cases these properties have not yet been identified and the impacts on the proposed technology and products unquantified. This is particularly challenging for emerging preprocessing and conversion technologies. Without a firm understanding of the preprocessing/conversion technology-specific critical properties, the risk of a proposed bio-project cannot be fully evaluated. To address inconsistent risk evaluation in the biomass supply chain supporting project financing, a Biomass Supply Chain Risk Standards (BSCRS) framework was developed. The BSCRS framework includes a comprehensive list of known and perceived risks (Risk Indicators) to the supply chain developed through 100’s of interviews with bioenergy industry experts spanning from feedstock growers and suppliers to representatives from the financial sector. These risks have been organized into a manageable hierarchy of Risk Categories and Risk Factors that can be practically assessed. This BSCRS framework also provides mitigation strategies for multiple Risk Indicators from best available industry practices and research findings. Additionally, a risk quantification methodology for each Risk Factor, Risk Category, and the bio-project as a whole was developed to enable capital markets to assess feedstock risk more efficiently and more accurately. Multiple case studies representing existing bio-projects have been used to evaluate and verify the BSCRS framework and scoring methodology. To address technological risk along with the supply chain risk captured in the developed BSCRS framework, this work also focuses on development of a systematic criticality assessment tool using well-accepted, quantitative risk analysis methods to evaluate bioenergy feedstock critical properties impacting system unit operations. The proposed Failure Mode and Effect Analysis (FMEA) approach uses a team of subject area experts (SAEs) for each targeted unit operation within a system. Collectively, the team will develop and use a quantitative scoring system to assess the material attributes, process parameters, and quality attributes for key unit operations that have already been identified. The FMEA process generates Risk Priority Numbers (RPNs) for the various failures and predominant causes for each material/process unit/product combination resulting in a semi-quantitative, standardized methodology for assessing technological risk and biomass properties contributing to that risk.

09 BIOMASS FUELS↗

DOE OSTI2024

Analyzing Potential Failures and Effects in a Pilot-Scale Biomass Preprocessing Facility for Improved Reliability

This study demonstrates a failure identification methodology applied to a preprocessing facility generating conversion-ready feedstocks from biomass meeting conversion process critical quality attribute (CQA) specifications. Failure Modes and Effects Analysis (FMEA) was used as an industrially relevant risk analysis approach to evaluate a logging residue preprocessing system to prepare feedstock for pyrolysis conversion. Risk evaluations considered both system-level and operation unit-level assessments considering process efficiency, product quality, cost, sustainability, and safety. Key outputs included estimations of semi-quantitative risk scores for each failure, identification of the failure impacts, identification of failure causes associated with material attributes and process parameters, ranking success rates of failure detection methods, and speculation of potential mitigation strategies for decreasing failure risk scores. Results showed that deviations from moisture specifications had cascading consequences for other CQAs along with process safety implications. Failures linked to fixed carbon specifications carried the highest risk scores for product quality and process efficiency impacts. As increased throughput can be inversely related to meeting product quality specifications; achieving throughput and other material-based CQAs simultaneously will likely require system optimization or prioritization based on system economics. Ultimately, this work successfully demonstrates FMEA as a risk analysis approach for other bioenergy process systems.

09 BIOMASS FUELS↗

DOE OSTI2022

Failure Mode and Effects Analysis for a Photovoltaic Inverter

While PV panel reliability continues to increase, PV inverters become the limiting factor for PV system reliability. Consequently, it is critical to have a generic tool from a third party for PV inverter reliability assessment to help 1) utilities/PV farm operators schedule maintenance in advance, and 2) inverter developers improve the next-generation design. However, these two things cannot be accomplished without first understanding the reasons behind inverter failure. Following this idea, as the first step, it is essential to identify and investigate the most failure-prone components within a PV inverter system. After all, any system is only as reliable as the components that are contained within it. This motivates the failure mode and effects analysis (FMEA) work presented for this workshop. The FMEA is conducted as follows: first, the overview of the methodology on the development of the FMEA is presented; then, based on a top-down approach starting from the PV inverter system, critical inverter components with high failure rates are identified and summarized; afterward, a thorough FMEA study at a component-level is performed and its results, including failure modes, failure mechanisms, and critical stressors, are tabulated; finally, according to three rankings (chance of occurrence, severity of occurrence, and ease of detection prior to failure) for each failure mechanism provided by the FMEA, risk priority numbers are calculated and the failure mechanisms along with the critical stressors are ranked in terms of their potentially detrimental effect on the PV inverter.

Brown, Buck↗

DOE OSTI2020

General Failure Modes and Effects Analysis for Accelerator and Detector Magnet Design at JLab

The aim of this article is to develop a risk management procedure, which could be applied to the magnet design process, for both superconducting and normal magnets at the Jefferson Laboratory (JLab). This procedure allowed us to identify the key risks at each of the critical phases of design and propose procedures, tests, and checks to mitigate each risk. In this article, we present a qualitative and quantitative risk management procedure commonly referred to a “failure modes and effects analysis.” As part of this procedure, we calculated a risk priority number (RPN) for each activity of the process, identified the most critical activities and proposed mitigation activities, which in turn resulted in a revised RPN. Additionally, another benefit of this procedure was the identification of appropriate “control and hold” points within the design process, which allowed one to review and approve a particular outcome before proceeding to the next sequential activity.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗

DOE OSTI2023

Failure Modes and Effects Analysis of Biorefinery Pathways

This talk provides an overview of failure modes and effects analysis (FMEA) development and implementation as a systematic criticality and risk assessment tool for biorefinery pathways within the FCIC. This supports a quality by design (QbD) approach, and this talk provides a high-level overview of the results for the FMEA evaluation focused on the generation of pine residue materials for high-temperature pyrolysis conversion. the FMEA interviews included two approaches. The first approach was based around the entire system of unit operations giving a wholistic system level view. The second approach used detailed interviews from individual unit operation within the system allowing for specific failures for individual system components. These two approaches provide different resolutions of information about the reliability and risk. The FMEA results focused on failures associated with meeting critical quality attributes (CQAs) identified for the high temperature conversion of loblolly pine residues and were supplemented with experimental data supporting process upsets and reliability also collected within the consortium. Estimations of risk scores for meeting each given CQA specification, identification of the impacts for not meeting a CQA specification, capturing causes associated with material attributes and process parameters for each failure, identification of current detection methods, and speculation of potential mitigation strategies for decreasing a failure’s risk score were gathered through the FMEA interviews, and were combined to understand the overall process risk metrics and where technology, process, and knowledge improvements are needed in order to de-risk emerging biorefineries.

09 BIOMASS FUELS↗

DOE OSTI2022

Feedstock-Conversion Interface Consortium: Failure Mode and Effects Analysis Summary Report (FY2022)

This report provides an overview of the development of failure modes and effects analysis (FMEA) and its implementation as a systematic criticality and risk assessment tool supporting a quality by design (QbD) approach for FCIC research. This report also provides a high-level overview of the results for the FMEA evaluation of two feedstock preprocessing system configurations: (1) generation of pine residue materials for high-temperature pyrolysis conversion and (2) generation of corn stover materials for low-temperature conversion using deacetylation and disc mechanical refining pretreatment for fermentation to hydrocarbons. For the results presented in this report, our FMEA interviews included two approaches. The first approach was to perform FMEA interviews for the entire system of unit operations giving a wholistic system level view. The second approach consisted of detailed interviews for each individual unit operation within the system allowing for a “deep dive” into the specific failures for the individual components within the configuration. These two approaches provide different resolutions of information. The FMEA results of this report were focused on failures associated with meeting critical quality attributes (CQAs) identified for the target conversion processes for each processed feedstock type. The information gathered through the FMEA interviews include estimations of risk scores for meeting each given CQA specification, identification of the impacts for not meeting a CQA specification, capturing causes associated with material attributes and process parameters for each failure, identification of current detection methods, and speculation of potential mitigation strategies for decreasing a failure’s risk score. The complete results of all FMEA interviews are provided in the Appendices of this report.

09 BIOMASS FUELS↗

DOE OSTI2023

Failure Mode and Effects Analysis Summary Report

conversion↗

DOE OSTI2021

Modeling Framework for Bulk Electric Grid Impacts from HEMP E1 and E3 Effects (Tasks 3.1 Final Report)

This report presents a framework to evaluate the impact of a high-altitude electromagnetic pulse (HEMP) event on a bulk electric power grid. This report limits itself to modeling the impact of EMP E1 and E3 components. The co-simulation of E1 and E3 is presented in detail, and the focus of the paper is on the framework rather than actual results. This approach is highly conservative as E1 and E3 are not maximized with the same event characteristics and may only slightly overlap. The actual results shown in this report are based on a synthetic grid with synthetic data and a limited exemplary EMP model. The framework presented can be leveraged and used to analyze the impact of other threat scenarios, both manmade and natural disasters. This report d escribes a Monte-Carlo based methodology to probabilistically quantify the transient response of the power grid to a HEMP event. The approach uses multiple fundamental steps to characterize the system response to HEMP events, focused on the E1 and E3 components of the event. 1) Obtain component failure data related to HEMP events testing of components and creating component failure models. Use the component failure model to create component failure conditional probability density function (PDF) that is a function of the HEMP induced terminal voltage. 2) Model HEMP scenarios and calculate the E1 coupled voltage profiles seen by all system components. Model the same HEMP scenarios and calculate the transformer reactive power consumption profiles due to E3. 3) Sample each component failure PDF to determine which grid components will fail, due to the E1 voltage spike, for each scenario. 4) Perform dynamic simulations that incorporate the predicted component failures from E1 and reactive power consumption at each transformer affected by E3. These simulations allow for secondary transients to affect the relays/protection remaining in service which can lead to cascading outages. 5) Identify the locations and amount of load lost for each scenario through grid dynamic simulation. This can be an indication of the immediate grid impacts from a HEMP event. In addition, perform more detailed analysis to determine critical nodes and system trends. 6) To help realize the longer-term impacts, a security constrained alternating current optimal power flow (ACOPF) is run to maximize critical load served. This report describes a modeling framework to assess the systemic grid impacts due to a HEMP event. This stochastic simulation framework generates a large amount of data for each Monte Carlo replication, including HEMP location and characteristics, relay and component failures, E3 GIC profiles, cascading dynamics including voltage and frequency over time, and final system state. This data can then be analyzed to identify trends, e.g., unique system behavior modes or critical components whose failure is more likely to cause serious systemic effects. The proposed analysis process is demonstrated on a representative system. In order to draw realistic conclusions of the impact of a HEMP event on the grid, a significant amount of work remains with respect to modeling the impact on various grid components.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2024

Leveraging Optimal Sparse Sensor Placement to Aggregate a Network of Digital Twins for Nuclear Subsystems

Nuclear power plants (NPPs) require continuous monitoring of various systems, structures, and components to ensure safe and efficient operations. The critical safety testing of new fuel compositions and the analysis of the effects of power transients on core temperatures can be achieved through modeling and simulations. They capture the dynamics of the physical phenomenon associated with failure modes and facilitate the creation of digital twins (DTs). Accurate reconstruction of fields of interest (e.g., temperature, pressure, velocity) from sensor measurements is crucial to establish a two-way communication between physical experiments and models. Sensor placement is highly constrained in most nuclear subsystems due to challenging operating conditions and inherent spatial limitations. This study develops optimized data-driven sensor placements for full-field reconstruction within reactor and steam generator subsystems of NPPs. Optimized constrained sensors reconstruct field of interest within a tri-structural isotropic (TRISO) fuel irradiation experiment, a lumped parameter model of a nuclear fuel test rod and a steam generator. The optimization procedure leverages reduced-order models of flow physics to provide a highly accurate full-field reconstruction of responses of interest, noise-induced uncertainty quantification and physically feasible sensor locations. Accurate sensor-based reconstructions establish a foundation for the digital twinning of subsystems, culminating in a comprehensive DT aggregate of an NPP.

42 ENGINEERING↗

DOE OSTI2026

Reliability Assessment of Cooling Fans for PV Inverters: Testing, Modeling, and Case Studies

The reliability of photovoltaic (PV) inverters is critical for long-term solar system performance, with cooling fan failures frequently leading to costly downtime. While much research exists on general cooling fan reliability, little attention has been given to fans operating within PV inverters and their unique environmental challenges. Here, this article proposes a comprehensive methodology to address this gap. First, a failure mode and effects analysis is performed on fans to identify the key failure mechanisms in PV applications, their corresponding stressors, and the models necessary for lifetime prediction. Second, an accelerated life test is designed and conducted to collect valuable experimental data for PV inverter fans in a reasonable amount of time. Third, a mathematical conversion of dynamic mission profiles into effective constant stress levels is derived. Fourth, case studies are given, showcasing lifetime estimates that account for geographic variations in mission profile data. The results demonstrate that this integrated approach leads to an accurate reliability assessment for PV inverter cooling fans.

accelerated life testing (ALT)↗

DOE OSTI2022

Software Development for Data Visualization and Analysis of PN-Diodes & MOSFET Devices

The U.S. Department of Energy has a broad mission to ensure the nation’s security by addressing ongoing environmental challenges, developing novel energy production technologies, and mitigating nuclear security concerns. These efforts benefit from developing more effective semiconductor materials and devices. The research discussed in this report aims to further the development of these new electronics by improving implementations of vertical device structures, which offer theoretically better performance compared to lateral structures. Specifically, it reviews the background and development of a new and easy-to-use program for data processing and analysis from experiments run on vertical gallium nitride power devices. Current vertical structures fall short in critical performance metrics, such as On-Resistance and Breakdown Voltage, due to poor management of the device’s electric field. Junction termination extensions, or JTEs, are a field management technique that increases a device’s resilience to expected failure modes by controlling its surface electric fields. Each JTE design requires significant experimental validation, consisting of hundreds of tested devices, each outputting an enormous set of data points. The new software includes multiple methods of filtering large sets of device testing data to identify and remove flawed devices, automate device analyses, and provide statistical breakdowns for four metrics used to define the effectiveness of the JTE and the current carrying capacity of the device. These results can then be related back to fabrication techniques and device design, and in the future, be combined with processing simulations to further improve our understanding of the JTE mechanisms.

97 MATHEMATICS AND COMPUTING↗