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NASA NTRS2009

The Principle of Energetic Consistency

A basic result in estimation theory is that the minimum variance estimate of the dynamical state, given the observations, is the conditional mean estimate. This result holds independently of the specifics of any dynamical or observation nonlinearity or stochasticity, requiring only that the probability density function of the state, conditioned on the observations, has two moments. For nonlinear dynamics that conserve a total energy, this general result implies the principle of energetic consistency: if the dynamical variables are taken to be the natural energy variables, then the sum of the total energy of the conditional mean and the trace of the conditional covariance matrix (the total variance) is constant between observations. Ensemble Kalman filtering methods are designed to approximate the evolution of the conditional mean and covariance matrix. For them the principle of energetic consistency holds independently of ensemble size, even with covariance localization. However, full Kalman filter experiments with advection dynamics have shown that a small amount of numerical dissipation can cause a large, state-dependent loss of total variance, to the detriment of filter performance. The principle of energetic consistency offers a simple way to test whether this spurious loss of variance limits ensemble filter performance in full-blown applications. The classical second-moment closure (third-moment discard) equations also satisfy the principle of energetic consistency, independently of the rank of the conditional covariance matrix. Low-rank approximation of these equations offers an energetically consistent, computationally viable alternative to ensemble filtering. Current formulations of long-window, weak-constraint, four-dimensional variational methods are designed to approximate the conditional mode rather than the conditional mean. Thus they neglect the nonlinear bias term in the second-moment closure equation for the conditional mean. The principle of energetic consistency implies that, to precisely the extent that growing modes are important in data assimilation, this term is also important.

Cohn, Stephen E.↗

NASA NTRS2011

Non-Stationary Internal Tides Observed with Satellite Altimetry

Temporal variability of the internal tide is inferred from a 17-year combined record of Topex/Poseidon and Jason satellite altimeters. A global sampling of along-track sea-surface height wavenumber spectra finds that non-stationary variance is generally 25% or less of the average variance at wavenumbers characteristic of mode-l tidal internal waves. With some exceptions the non-stationary variance does not exceed 0.25 sq cm. The mode-2 signal, where detectable, contains a larger fraction of non-stationary variance, typically 50% or more. Temporal subsetting of the data reveals interannual variability barely significant compared with tidal estimation error from 3-year records. Comparison of summer vs. winter conditions shows only one region of noteworthy seasonal changes, the northern South China Sea. Implications for the anticipated SWOT altimeter mission are briefly discussed.

Ray, Richard D.↗

NASA NTRS2004

On the Positive Bias of Peak Horizontal Velocity from an Idealized Doppler Profiler

In the presence of 3-D turbulence, peak horizontal velocity estimates from an idealized Doppler profiler are found to be positively biased due to an incomplete specification of the vertical velocity field. The magnitude of the bias was estimated by assuming that the vertical and horizontal velocities can be separated into average and perturbation values and that the vertical and horizontal velocity perturbations are normally distributed. Under these assumptions, properties of the Type-I Extreme Value Distribution for maxima, known as the Gumbel distribution, can be used to obtain an analytical solution of the bias. The bias depends on geometric properties of the profiler configuration, the variance in the horizontal velocity, and the unresolved variance in the vertical velocity. When these variances are normalized by the average horizontal velocity, the bias can be mapped as a simple function of the normalized variances.

Short, David A.↗

NASA NTRS2012

A Probabilistic Mass Estimation Algorithm for a Novel 7- Channel Capacitive Sample Verification Sensor

A document describes an algorithm created to estimate the mass placed on a sample verification sensor (SVS) designed for lunar or planetary robotic sample return missions. A novel SVS measures the capacitance between a rigid bottom plate and an elastic top membrane in seven locations. As additional sample material (soil and/or small rocks) is placed on the top membrane, the deformation of the membrane increases the capacitance. The mass estimation algorithm addresses both the calibration of each SVS channel, and also addresses how to combine the capacitances read from each of the seven channels into a single mass estimate. The probabilistic approach combines the channels according to the variance observed during the training phase, and provides not only the mass estimate, but also a value for the certainty of the estimate. SVS capacitance data is collected for known masses under a wide variety of possible loading scenarios, though in all cases, the distribution of sample within the canister is expected to be approximately uniform. A capacitance-vs-mass curve is fitted to this data, and is subsequently used to determine the mass estimate for the single channel s capacitance reading during the measurement phase. This results in seven different mass estimates, one for each SVS channel. Moreover, the variance of the calibration data is used to place a Gaussian probability distribution function (pdf) around this mass estimate. To blend these seven estimates, the seven pdfs are combined into a single Gaussian distribution function, providing the final mean and variance of the estimate. This blending technique essentially takes the final estimate as an average of the estimates of the seven channels, weighted by the inverse of the channel s variance.

Wolf, Michael↗

NASA NTRS2014

A Revised Calibration Function and Results for the Phoenix Mission TECP Relative Humidity Sensor

The original calibration function of the R(sub H) sensor on the Phoenix Thermal and Electrical Conductivity Sensor (TECP) has been revised in order to extend the range of the valid calibration, and to improve accuracy. The original function returned non-physical R(sub H) values at the lowest temperatures. To resolve this, and because the original calibration was performed against a pair of hygrometers that measured frost point (T(sub f)), the revised calibration equation is also cast in terms of frost point. Because of the complexity of maintaining very low temperatures and high R(sub H) in the laboratory, no calibration data exists at T is greater than 203K. However, sensor response during the mission was smooth and continuous down to 181 K. Therefore we have opted to include flight data in the calibration data set; selection was limited to data acquired during periods when the atmosphere is known to have been saturated. T(sub f) remained below 210 K throughout the mission(P is greater than 0.75 Pa). R(sub H), conversely, ranged from 1 to well under 0.01 diurnally, due to approximately 50 K temperature variations. To first order, both vapor pressure and its variance are greater during daylight hours. Variance in overnight humidity is almost entirely explained by temperature, while atmospheric turbulence contributes substantial variance to daytime humidity. Likewise, data gathered with the TECP aloft reflect higher H2O abundances than at the surface, as well as greater variance. There is evidence for saturation of the atmosphere overnight throughout much of the mission. In virtually every overnight observation, once the atmosphere cooled to T(sub f), water vapor begins to decrease, and tracks air temperature. There is no evidence for substantial decreases in water vapor prior to saturation, as expected for adsorptive exchange. Likewise, there is no evidence of local control of vapor by phases such as perchlorate hydrates hydrated minerals. The daytime average H2O pressure does not change substantially over the course of the mission, although the H2O column abundance varies by a factor of 2. Column abundances calculated from TECP data are lower than orbital measurements if one assumes that H2O is uniformly mixed through a single scale height. These results argue that the vertical distribution of H2O begins to change well in advance of surface concentrations as northern autumn approaches.

Phoenix Thermal and Electrical Conductivity Sensor↗

NASA NTRS2021

Revisiting the Global Patterns of Seasonal Cycle in Sea Surface Salinity

Argo profiling floats and L-band passive microwave remote sensing have significantly improved the global sampling of sea surface salinity (SSS) in the past 15 years, allowing the study of the range of SSS seasonal variability using concurrent satellite and in situ platforms. Here, harmonic analysis was applied to four 0.25° satellite products and two 1° in situ products between 2016 and 2018 to determine seasonal harmonic patterns. The 0.25° World Ocean Atlas (WOA) version 2018 was referenced to help assess the harmonic patterns from a long-term perspective based on the 3-year period. The results show that annual harmonic is the most characteristic signal of the seasonal cycle, and semiannual harmonic is important in regions influenced by monsoon and major rivers. The percentage of the observed variance that can be explained by harmonic modes varies with products, with values ranging between 50% and 72% for annual harmonic and between 15% and 19% for semiannual harmonic. The large spread in the explained variance by the annual harmonic reflects the large disparity in nonseasonal variance (or noise) in the different products. Satellite products are capable of capturing sharp SSS features on meso- and frontal scales and the patterns agree well with the WOA 2018. These products are, however, subject to the impacts of radiometric noises and are algorithm dependent. The coarser-resolution in situ products may underrepresent the full range of high-frequency small scale SSS variability when data record is short, which may have enlarged the explained SSS variance by the annual harmonic.

L-band↗

NASA NTRS2022

The Impacts of Freshwater Input and Surface Wind Velocity on the Strength and Extent of a Large High Latitude River Plume

Arctic Ocean physical and biogeochemical properties are strongly influenced by freshwater input from land and through the Bering Strait, where the mean currents transport water northward from the Bering Sea. The Yukon River is one of the largest rivers in North America and the Arctic, contributing large quantities of freshwater and terrigenous material to the coastal ocean in the northern Bering Sea. However, a detailed analysis of the coastal hydrodynamics at the outflow of the river has not been conducted in this remote but regionally important river. A three-dimensional hydrodynamic model was built to represent the lower Yukon River and coastal ocean for the ice-free months in 7 years. On average, a large anticyclonic eddy persisted at the main outflow of the Yukon that recirculates water back toward the coast where the currents converge to form a mean northward transport along the delta. Interannual spatial variance in salinity was relatively small, while there was substantial variance in u and v current velocity. u velocity spatial variance was correlated to the volume of freshwater discharge across years, while v velocity spatial variance was correlated to the N–S wind velocity. During strong wind events, plume structure was substantially altered: southerly winds deepened the plume and enhanced northward transport, while northerly winds shoaled and strengthened the pycnocline, and reversed the flow toward the south. The variability in plume dispersion on short time scales due to wind forcing has implications for where terrigenous material is processed in and settles out of the water column.

river plume↗

NASA NTRSDate not supplied

From Formal Errors Towards Realistic Uncertainties

Evaluation of uncertainties of geodetic parameter estimates is the problem that is not yet solved in a satisfactory way. A direct evaluation of the uncertainties derived from a least square solution is labeled "formal" and is usually biased, sometimes up to an order of magnitude. Customary, the use of formal errors for scientific analysis is discouraged. We claim that the root of the problem is neglecting off-diagonal elements in the variance-covariance matrix of the noise in the data. A careful reconstruction of the full variance-covariance matrix, including the off-diagonal terms greatly improves realism of uncertainty estimates derived from least squares. We processed the dataset of VLBI group delays and built a prior variance-covariance of the atmosphere-driven noise based on analysis of the output of NASA high-resolution numerical weather models. We found that the uncertainties of parameter estimates derived from this least square solution that uses such variance-covariance matrices become much closer to realistic errors. We consider approaches for implementation of this method in routine data analysis of space geodesy data.

Leonid Petrov↗

NASA NTRSDate not supplied

Ocean-Land Teleconnections and Chaotic Atmospheric Variability in Climate Models, with Implications for Real-World Behavior

This study introduces a unique approach to estimating a fundamental but unmeasurable property of Nature: ρo 2 , the fraction of the variance of a given meteorological variable that is determined by boundary forcing (specifically, SSTs) as opposed to chaotic atmospheric dynamics. Here, we focus on continental monthly-averaged near-surface air temperature, or T2M. Rather than determining the fractions of SST-explained T2M variance found for a specific atmospheric general circulation model (AGCM) and then assuming that these fractions also represent Nature, we perform an analysis that entails: (i) evaluating a specific AGCM’s ability to capture observed variability with an infinite number of ensemble members, (ii) quantifying the degree to which different modeling systems agree on SST-land teleconnections, and (iii) combining these results into our novel estimates of ρo 2 . The derived ρo 2 fields suggest, with caveats, that AGCMs tend to overestimate the fraction of explained T2M variance (the signal-to-total variance ratio) in the Tropics.

Randal D Koster↗

NASA NTRS1972

Convergence of oscillator spectral estimators for counted-frequency measurements.

A common intermediary connecting frequency-noise calibration or testing of an oscillator to useful applications is the spectral density of the frequency-deviating process. In attempting to turn test data into predicts of performance characteristics, one is naturally led to estimation of statistical values by sample-mean and sample-variance techniques. However, sample means and sample variances themselves are statistical quantities that do not necessarily converge (in the mean-square sense) to actual ensemble-average means and variances, except perhaps for excessively large sample sizes. This is especially true for the flicker noise component of oscillators. This article shows, for the various types of noises found in oscillators, how sample averages converge (or do not converge) to their statistical counterparts. The convergence rate is shown to be the same for all oscillators of a given spectral type.

Tausworthe, R. C.↗

NASA NTRS1973

An approach to the analysis of performance of quasi-optimum digital phase-locked loops.

An approach to the analysis of performance of quasi-optimum digital phase-locked loops (DPLL's) is presented. An expression for the characteristic function of the prior error in the state estimate is derived, and from this expression an infinite dimensional equation for the prior error variance is obtained. The prior error-variance equation is a function of the communication system model and the DPLL gain and is independent of the method used to derive the DPLL gain. Two approximations are discussed for reducing the prior error-variance equation to finite dimension. The effectiveness of one approximation in analyzing DPLL performance is studied.

Polk, D. R.↗

NASA NTRS1974

Use of a diffuser for producing texture masks for image processing

The use of a diffuser in synthesizing binary texture-variance masks for applications in image processing is investigated. The binary texture-variance masks are used to separate various objects in an image on the basis of their spatial texture variance. The diffuser is required to reduce the speckling present in the mask. The reduction in speckling is described quantitatively as a reduction of the misclassification probability associated with the separation of the objects into several texture classes. General results are furnished for the statistics of the field scattered by the diffuser, and these are used to obtain expressions for the misclassification probabilities in the presence of a diffuser.

Stark, H.↗

NASA NTRS1973

An empirical analysis of the distribution of overshoots in a stationary Gaussian stochastic process

The frequency distribution of overshoots in a stationary Gaussian stochastic process is analyzed. The primary processes involved in this analysis are computer simulation and statistical estimation. Computer simulation is used to simulate stationary Gaussian stochastic processes that have selected autocorrelation functions. An analysis of the simulation results reveals a frequency distribution for overshoots with a functional dependence on the mean and variance of the process. Statistical estimation is then used to estimate the mean and variance of a process. It is shown that for an autocorrelation function, the mean and the variance for the number of overshoots, a frequency distribution for overshoots can be estimated.

Carter, M. C.↗

NASA NTRS1974

Relation of solar wind fluctuations to differential flow between protons and alphas

An analysis is made of the difference between the alpha particle and proton flow velocities in the solar wind as observed by the OGO 5 satellite. The alpha and proton velocities from each of 962 spectral scans are compared with the variance of 32 solar wind flux measurements made during the scans. The average velocity difference is plotted for each of 10 logarithmic variance intervals and is seen to decrease and approach zero when the variance is high. It is shown that such an anticorrelation may be due to the fact the wave/particle interactions provide the drag force between two streams of different velocity in a collisionless plasma.

Neugebauer, M.↗

NASA NTRS1974

Monitoring the sea surface with a short pulse radar

A solution is presented for the scattering of short pulses from a stochastic, corrugated surface relative to the sea for the case of a narrow-beam transmitting antenna pointing near nadir. The spectrum of the received power and its time history are calculated and this solution is used to show that a measure of the variance of the surface ordinant can be obtained from the backscattered power. Included explicitly in the analysis is the finite nature of the source and the role of the small-scale wave structure (capillary wave range). It is shown that when sufficiently short pulses are transmitted, one can obtain a measure of the variance of the large scale surface ordinant from either the temporal spacing of the peaks in the returned power or from the envelope of the spectrum of the received power. Assuming an appropriate model for the statistics and spectrum of the surface ordinate, the variance can be used to compute the wind speed and the significant wave height of the surface.

Le Vine, D. M.↗

NASA NTRS1976

On the interpretation of least squares collocation

A demonstration is given of the strict mathematical equivalence between the least squares collocation and the classical minimum variance estimates. It is shown that the least squares collocation algorithms are a special case of the modified minimum variance estimates. The computational efficiency of several forms of the general minimum variance estimation algorithm is discussed. It is pointed out that for certain geodetic applications the least square collocation algorithm may provide a more efficient formulation of the results from the point of view of the computations required.

Tapley, B. D.↗

NASA NTRS1977

Characterization of nonGaussian atmospheric turbulence for prediction of aircraft response statistics

Mathematical expressions were derived for the exceedance rates and probability density functions of aircraft response variables using a turbulence model that consists of a low frequency component plus a variance modulated Gaussian turbulence component. The functional form of experimentally observed concave exceedance curves was predicted theoretically, the strength of the concave contribution being governed by the coefficient of variation of the time fluctuating variance of the turbulence. Differences in the functional forms of response exceedance curves and probability densities also were shown to depend primarily on this same coefficient of variation. Criteria were established for the validity of the local stationary assumption that is required in the derivations of the exceedance curves and probability density functions. These criteria are shown to depend on the relative time scale of the fluctuations in the variance, the fluctuations in the turbulence itself, and on the nominal duration of the relevant aircraft impulse response function. Metrics that can be generated from turbulence recordings for testing the validity of the local stationary assumption were developed.

Mark, W. D.↗

NASA NTRS1977

A hybrid technique for spacecraft attitude interpolation with arbitrary attitude data gaps

An algorithm for obtaining sufficiently accurate estimates of a system parameter Y, given a data record of the parameter in which at arbitrary times no direct observations of Y exist, and describing the variance of these estimates, is proposed. The method provides estimates at all requested times, and the variance of the estimates is maintained as close to the variance of directly measured data as the quality of input information will allow. Three classes of information are used: (1) the measured data record of Y and the statistical extension of this record into time intervals of no direct measurement, obtained by a modification of standard autocorrelation techniques; (2) an a priori indicator of the behavior of Y; and (3) one or more indirect indicators of Y based on observation of other system parameters. The application of the algorithm to the SEASAT-A attitude determination under conditions of sensor field-of-view limitations and sun occultations is presented.

Treder, A. J.↗