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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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At least 343 records · Page 19
All sourcesNASA NTRSDOE OSTI
DOE OSTI2020

Nanoscale lattice strains in self-ion implanted tungsten

Developing a comprehensive understanding of the modification of material properties by neutron irradiation is important for the design of future fission and fusion power reactors. Self-ion implantation is commonly used to mimic neutron irradiation damage, however an interesting question concerns the effect of ion energy on the resulting damage structures. The reduction in the thickness of the implanted layer as the implantation energy is reduced results in the significant quandary: Does one attempt to match the primary knock-on atom energy produced during neutron irradiation or implant at a much higher energy, such that a thicker damage layer is produced? In this work, we address this question by measuring the full strain tensor for two ion implantation energies, 2 MeV and 20 MeV in self-ion implanted tungsten, a critical material for the first wall and divertor of fusion reactors. A comparison of 2 MeV and 20 MeV implanted samples is shown to result in similar lattice swelling. Multi-reflection Bragg coherent diffractive imaging (MBCDI) shows that implantation induced strain is in fact heterogeneous at the nanoscale, suggesting that there is a non-uniform distribution of defects, an observation that is not fully captured by micro-beam Laue diffraction. At the surface, MBCDI and high-resolution electron back-scattered diffraction (HR-EBSD) strain measurements agree quite well in terms of this clustering/non-uniformity of the strain distribution. However, MBCDI reveals that the heterogeneity at greater depths in the sample is much larger than at the surface. This combination of techniques provides a powerful method for detailed investigation of the microstructural damage caused by ion bombardment, and more generally of strain related phenomena in micro-volumes that are inaccessible via any other technique.

36 MATERIALS SCIENCE↗
DOE OSTI2025

The relationship between below average cognitive ability at age 5 years and the child’s experience of school at age 9

Background At age 5, while only embarking on their educational journey, substantial differences in children’s cognitive ability will already exist. The aim of this study was to examine the causal association between below average cognitive ability at age 5 years and child-reported experience of school and self-concept, and teacher-reported class engagement and emotional-behavioural function at age 9 years. Methods This longitudinal cohort study used data from 7,392 children in the Growing Up in Ireland Infant Cohort, who had completed the Picture Similarities and Naming Vocabulary subtests of the British Abilities Scales at age 5. Principal components analysis was used to produce a composite general cognitive ability score for each child. Children with a general cognitive ability score more than 1 standard deviation (SD) below the mean at age 5 were categorised as ‘Below Average Cognitive Ability’ (BACA), and those scoring above this as ‘Typical Cognitive Development’ (TCD). The outcomes of interest, measured at age 9, were child-reported experience of school, child’s self-concept, teacher-reported class engagement, and teacher-reported emotional behavioural function. Binary and multinomial logistic regression models were used to examine the association between BACA and these outcomes. Results Compared to those with TCD, those with BACA had significantly higher odds of never liking school [Adjusted odds ratio (AOR) 1.82, 95% CI 1.37–2.43, p < 0.001], of being picked on (AOR 1.27, 95% CI 1.09–1.48) and of picking on others (AOR 1.53, 95% CI 1.27–1.84). They had significantly higher odds of experiencing low self-concept (AOR 1.20, 95% CI 1.02–1.42) and emotional-behavioural difficulties (AOR 1.34, 95% CI 1.10–1.63, p = 0.003). Compared to those with TCD, children with BACA had significantly higher odds of hardly ever or never being interested, motivated and excited to learn (AOR 2.29, 95% CI 1.70–3.10). Conclusion Children with BACA at school-entry had significantly higher odds of reporting a negative school experience and low self-concept at age 9. They had significantly higher odds of having teacher-reported poor class engagement and problematic emotional-behavioural function at age 9. The findings of this study suggest BACA has a causal role in these adverse outcomes. Early childhood policy and intervention design should be cognisant of the important role of cognitive ability in school and childhood outcomes.

Bowe, Andrea K.↗
DOE OSTI2021

Using Computationally-Determined Properties for Machine Learning Prediction of Self-Diffusion Coefficients in Pure Liquids

The ability to predict transport properties of liquids quickly and accurately will greatly improve our understanding of fluid properties both in bulk and complex mixtures, as well as in confined environments. Such information could then be used in the design of materials and processes for applications ranging from energy production and storage to manufacturing processes. As a first step, we consider the use of machine learning (ML) methods to predict the diffusion properties of pure liquids. Recent results have shown that Artificial Neural Networks (ANNs) can effectively predict the diffusion of pure compounds based on the use of experimental properties as the model inputs. In the current study, a similar ANN approach is applied to modeling diffusion of pure liquids using fluid properties obtained exclusively from molecular simulations. A diverse set of 102 pure liquids is considered, ranging from small polar molecules (e.g., water) to large nonpolar molecules (e.g., octane). Self-diffusion coefficients were obtained from classical molecular dynamics (MD) simulations. Since nearly all the molecules are organic compounds, a general set of force field parameters for organic molecules was used. The MD methods are validated by comparing physical and thermodynamic properties with experiment. Computational input features for the ANN include physical properties obtained from the MD simulations as well as molecular properties from quantum calculations of individual molecules. Furthermore, fluid properties describing the local liquid structure were obtained from center of mass radial distribution functions (COM-RDFs). Feature sensitivity analysis revealed that isothermal compressibility, heat of vaporization, and the thermal expansion coefficient were the most impactful properties used as input for the ANN model to predict the MD simulated self-diffusion coefficients. The MD-based ANN successfully predicts the MD self-diffusion coefficients with only a subset (2 to 3) of the available computationally determined input features required. A separate ANN model was developed using literature experimental self-diffusion coefficients as model targets. Although this second ML model was not as successful due to a limited number of data points, a good correlation is still observed between experimental and ML predicted self-diffusion coefficients.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2024

Electronic structure, self-doping, and superconducting instability in the alternating single-layer trilayer stacking nickelates La 3 ⁢Ni 2 ⁢O 7

Motivated by the recently proposed alternating single-layer trilayer stacking structure for the nickelate La 3 ⁢Ni 2 ⁢O 7 , we comprehensively study this system using ab initio and random-phase approximation techniques. Here, our analysis unveils similarities between this novel La 3⁢ Ni 2 ⁢O 7 structure and other Ruddlesden-Popper nickelate superconductors, such as a similar charge-transfer gap value and orbital-selective behavior of the eg orbitals. Pressure primarily increases the bandwidths of the Ni e g bands, suggesting an enhancement of the itinerant properties of those e g states. By changing the cell volume ratio V/V 0 from 0.9 to 1.10, we found that the bilayer structure in La 3 ⁢Ni 2 ⁢O 7 always has lower energy than the single-layer trilayer stacking La 3 ⁢Ni 2 ⁢O 7 . In addition, we observe a “self-doping” effect (compared to the average 1.5 electrons per eg orbital per site of the entire structure) from the trilayer to the single-layer sublattices and this effect will be enhanced by overall electron doping. Moreover, we find a leading d x 2 -y 2 -wave pairing state that is restricted to the single layer. Because the effective coupling between the single layers is very weak, due to the nonsuperconducting trilayer in-between, this suggests that the superconducting transition temperature T c in this structure should be much lower than in the bilayer structure.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗
DOE OSTI2022

Over-Potential Tailored Thin and Dense Lithium Carbonate Growth in Solid Electrolyte Interphase for Advanced Lithium Ion Batteries

A stable solid electrolyte interphase (SEI) is highly desired to prevent parasitic reactions during normal operation of lithium-ion batteries (LIBs). Lithium carbonate (Li 2 CO 3 ) is one of the most significant components for smooth SEI passivation layers; while the formation mechanism and special distribution of the Li 2 CO 3 layer has not yet been illustrated. In this study, an over-potential tailored Li 2 CO 3 growth mechanism based on the typical hard carbon anode is demonstrated. With an increase in the over-potential, the size of Li 2 CO 3 decreases gradually as the amount increases. When the over-potential is large (potential at 0.01 V), a Li 2 CO 3 -rich thin and dense inorganic layer with the average thickness of 4.4 nm in the SEI is constructed. The special SEI the completely wraps the boundaries of the anode enables a larger Li-ion de-solvation energy barrier and a lower Li-ion diffusion energy barrier, which supports low self-discharge behavior and a fast kinetic rate at the anode. More generally, this Li 2 CO 3 growth mechanism is also applicable to commercialized graphite anodes and similar results are also obtained. Therefore, this work provides a new insight into the Li 2 CO 3 growth mechanism in SEIs, as well as a guideline for the design of stable artificial SEIs.

25 ENERGY STORAGE↗
DOE OSTI2024

Exploiting a derivative discontinuity estimate for accurate G0W0 ionization potentials and electron affinities

Abstract The GW approximation has become an important tool for predicting charged excitations of isolated molecules and condensed systems. Its popularity can be attributed to many factors, including a favorable scaling and relatively good accuracy. In practical applications, the GW is often performed as a one-shot perturbation known as G 0 W 0 . Unfortunately, G 0 W 0 suffers from a strong starting point dependence and is often not as accurate as one would need. Self-consistent GW methodologies alleviate these problems but come with a marked increase in computational cost. In this manuscript, we propose the use of an estimate of the exchange-correlation derivative discontinuity to provide a remarkably good starting point for G 0 W 0 calculations, yielding ionization potentials and electron affinities with eigenvalue self-consistent GW quality at no additional cost. We assess the quality of the resulting methodology with the GW 100 benchmark set and compare its advantages over other similar methods.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2021

Exploiting the Liquid Phase to Enhance the Cross-Coupling of Alcohols over Nanoporous Gold Catalysts

Controlling selectivity in the cross-coupling of two similar compounds is a classic challenge in heterogeneous catalysis. Here it is shown that the phase in which the catalysis is performed has a dramatic impact on the selectivity of the oxidative coupling of alcohols to esters over unsupported nanoporous gold catalysts, affording nearly optimal cross-coupling to a single ester at equimolar concentrations in the liquid. Operation in the liquid vs the gas phase affects 1) the relative C-H activation rates of methoxy and 1-propoxy, 2) the fraction of C-H activation which leads to esters vs aldehydes, and 3) the fraction of esters which result from cross-coupling vs self-coupling. While activation of the critical adsorbed reactive alkoxy intermediate is faster for 1-propoxy than methoxy in both phases, the liquid phase is more effective in coupling the resulting aldehyde with adsorbed methoxy or 1-propoxy to yield an ester. Additionally, operation in the liquid phase promotes cross-coupling to methyl propionate, whereas in the gas-phase self-coupling of 1-propanol to propyl propionate is favored. The promotion of self-coupling in the gas phase results from the stabilization of larger alkoxides on the surface by Au-alkyl van der Waals forces. However, such forces do not appear dominant in the liquid phase, as evidenced by similar cross-coupling selectivities of methanol with ethanol, 1-propanol, and 1-butanol. Introducing steric hindrance into the higher alcohol (i.e., 2-methyl-1-propanol) further promotes cross-coupling. Here, this promotion is attributed to a kinetic preference for an aldehyde to couple with less-hindered alkoxides. Altogether, these findings demonstrate that alcohol cross-coupling selectivities are strongly impacted by the phase in which the catalysis is conducted, thus altering the phase provides opportunities for selective and efficient chemical syntheses.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2023

Tuning Self-Assembly of Gold Nanoparticles Grafted with Charged Polymers by Varying Temperature and Electrolytes

Here, we report on the assembly of gold nanoparticles (AuNPs, 5 and 10 nm core diameters) grafted with poly(ethylene glycol) (PEG) terminated with either positively (–NH 2 ) or negatively charged (–COOH) end groups. We employ synchrotron-based small-angle X-ray scattering (SAXS) techniques to investigate the effect of electrolytes and temperature on the assembly and crystallization behavior of these grafted AuNPs. Our studies reveal that –NH 2 -grafted AuNPs spontaneously assemble into a layered hexagonal structure that deteriorates upon adding K 2 CO 3 to the suspension. The hexagonal structure recovers after heating the same suspension above 60 °C. On the other hand, the COOH-terminated AuNPs remain dispersed in the suspensions and assemble and crystallize into a face-centered cubic structure only in the presence of K 2 CO 3 at temperatures above 60 °C. Varying the pH of the –NH 2 -terminated AuNP suspensions induces short-range order (SRO) structures with a single characteristic length scale that shrinks upon heating. Similarly, SRO for the –COOH-terminated AuNP is realized only by lowering the pH. This study demonstrates the use of electrolytes and temperature on the surface charge of grafted AuNPs as knobs to tune self-assembly and crystallization.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2021

A comparative study of internal kink stability in EU DEMO designs with negative and positive triangularity

Abstract Internal kink (IK) instability is investigated for European demonstration fusion reactor (EU DEMO) plasmas in both negative triangularity (NT) and positive triangularity (PT) configurations. For NT plasmas, the IK becomes more unstable as an ideal conformal wall moves away from the plasma boundary, with the mode growth rate saturating at the wall radial location of about b / a = 1.5 , where a is the plasma minor radius and b the wall radial location. The plasma resistivity destabilizes the IK mode. The effect of sub-sonic toroidal plasma flow is sufficiently weak and can thus be ignored for these EU DEMO equilibria. These results are consistent with those for PT plasmas, albeit with larger mode growth rate in the NT configuration. Both perturbative and self-consistent magneto-hydrodynamic (MHD)-kinetic hybrid calculations predict (partial) stabilization of the IK modes in both NT and PT configurations, with inclusion of various kinetic contributions. Precessional drift motion of trapped fusion-born alphas in EU DEMO produces weak stabilization to the IK mode. Stronger stabilization occurs with the toroidal precession of trapped thermal particles (ions and electrons) and the bounce-transit motion of thermal ions. The stabilization is similar between the NT and PT configurations, due to the similarity of the mode eigenfunction (occupying a nearly circular region in the plasma core) despite the sign difference in the triangularity. The non-perturbative MHD-kinetic hybrid model predicts much less stabilization of the mode than the perturbative model, primarily due to the self-consistent determination of the mode eigenvalue in the former. Generally, no significant difference in the IK mode stability is found between the NT and PT plasmas in EU DEMO.

Physics↗
DOE OSTI2025

SAGAbg. III. Environmental Stellar Mass Functions, Self-quenching, and the Stellar-to-halo Mass Relation in the Dwarf Galaxy Regime

Recent efforts have extended our view of the number and properties of satellite galaxies beyond the Local Group firmly down to M ⋆ ∼ 10 6 M ⊙ . A similarly complete view of the field dwarf population has lagged behind. Using the background galaxy sample from the Satellites Around Galactic Analogs (SAGA) survey at z < 0.05, we take inventory of the dwarf population down to M ⋆ ∼ 5 × 10 6 M ⊙ using three metrics: the stellar mass function (SMF) as a function of environment, the stellar-to-halo mass relation (SHMR) of dwarf galaxies inferred via abundance matching, and the quenched fraction of highly isolated dwarfs. We find that the low-mass SMF shape shows minimal environmental dependence, with the field dwarf SMF described by a low-mass power-law index of α 1 = −1.44 ± 0.09 down to M ⋆ ∼ 5 × 10 6 M ⊙ , and that the quenched fraction of isolated dwarfs drops monotonically to f q ∼ 10 −3 at M ⋆ ∼ 10 8.5 M ⊙ . Though slightly steeper than estimates from H I kinematic measures, our inferred SHMR agrees with literature measurements of satellite systems, consistent with minimal environmental dependence of the SHMR in the probed mass range. Finally, although most contemporary cosmological simulations against which we compare accurately predict the SAGAbg-SMF SHMR, we find that big-box cosmological simulations largely overpredict isolated galaxy quenched fractions via a turnaround in f q (M ⋆ ) at 10 8 ≲ M ⋆ /M ⊙ ≲ 10 9 , underscoring the complexities in disentangling the drivers of galaxy formation and the need for systematic multidimensional observations of the dwarf population across environments.

Kado-Fong, Erin [Yale Univ., New Haven, CT (United↗
DOE OSTI2023

Dynamic Oscillation and Motion of Oil‐in‐Water Emulsion Droplets

Abstract The interplay of interfacial tensions on droplets results in a range of self‐powered motions that mimic those of living systems and serve as a tunable model to understand their complex non‐equilibrium behavior. Spontaneous shape deformations and oscillations are crucial features observed in nature but difficult to incorporate in synthetic artificial systems. Here, we report sessile oil‐in‐water emulsions that exhibit rapid oscillating behavior. The oscillations depend on the nature and concentration of the surfactant, the chemical composition of the oil, and the wettability of the solid substrate. The rapid changes in the contact angle per oscillation are observed using side‐view optical microscopy. We propose that the changes in the interfacial tension of the oil droplets is due to the partitioning of the surfactant into the oil phase and the movement of self‐emulsified oil out of the parent droplets giving rise to the rhythmic variation in droplet contact‐line. The ability to control and understand droplet oscillation can help model similar oscillations in out‐of‐equilibrium systems in nature and reproduce biomimetic behavior in artificial systems for various applications, such as microfluidic lab‐on‐a‐chip and adaptive materials.

Krishna Mani, Sanjana↗
DOE OSTI2023

Dynamic Oscillation and Motion of Oil‐in‐Water Emulsion Droplets

The interplay of interfacial tensions on droplets results in a range of self‐powered motions that mimic those of living systems and serve as a tunable model to understand their complex non‐equilibrium behavior. Spontaneous shape deformations and oscillations are crucial features observed in nature but difficult to incorporate in synthetic artificial systems. Here, we report sessile oil‐in‐water emulsions that exhibit rapid oscillating behavior. The oscillations depend on the nature and concentration of the surfactant, the chemical composition of the oil, and the wettability of the solid substrate. The rapid changes in the contact angle per oscillation are observed using side‐view optical microscopy. We propose that the changes in the interfacial tension of the oil droplets is due to the partitioning of the surfactant into the oil phase and the movement of self‐emulsified oil out of the parent droplets giving rise to the rhythmic variation in droplet contact‐line. The ability to control and understand droplet oscillation can help model similar oscillations in out‐of‐equilibrium systems in nature and reproduce biomimetic behavior in artificial systems for various applications, such as microfluidic lab‐on‐a‐chip and adaptive materials.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2021

Neutron irradiation-enhanced grain growth in tungsten and tungsten alloys

Herein, to understand the microstructural stability of candidate plasma-facing materials under fusion-relevant environments, neutron irradiation of W and W-3%Re alloys with and without K and La dopants was performed in the mixed-spectrum High Flux Isotope Reactor at nominal temperatures of ~850 °C and ~1100 °C to calculated doses between 0.42 and 0.47 dpa. To the best of our knowledge, this study presents the first experimental evidence of radiation-enhanced recrystallization in W and undoped W–Re alloys at ~850 °C, conditions where thermal annealing does not cause any grain growth in a similar timescale. Potassium- or lanthanum-doped tungsten alloys showed more resistance to radiation-enhanced grain growth. We explain the acceleration of grain growth by analyzing the self-diffusion constant under atomic displacement environments. The microstructural observations of the studied W variants suggest that La doping is more effective than K doping for mitigating recrystallization. This study also found that radiation-enhanced recrystallization is an important consideration when designing and applying W to plasma-facing components in future nuclear fusion reactors.

36 MATERIALS SCIENCE↗
DOE OSTI2026

Structure-Dependent Lithium Metal Reactivity of Lithium Lanthanum Titanium Oxide Solid Electrolytes

Ongoing efforts to design stable, ionically conductive solid-state electrolytes (SSEs) for next-generation solid-state batteries make it clear that both long and short-range structural order strongly influence materials performance. However, clear structure-property relationships are generally lacking, making it difficult to develop design rules for improving the (electro) chemical stability of SSEs. Here, in this work, we synthesize epitaxial, single-crystal lithium lanthanum titanium oxide (LLTO) films and demonstrate that the kinetics of Ti 4+ reduction and lithium intercalation depend sensitively on the crystal orientation, with electrochemical stability increasing as LLTO (001) < (110) similar to (112) < (100). However, thermodynamic stability is ultimately unaffected-all orientations fully reduce after extended contact with Li metal. In contrast, amorphous LLTO films exhibit minimal, self-limiting reactivity that results in an interface that is stable to extended contact with Li metal. The results demonstrate the potential to engineer crystal lattice strain and long-range order to differentially tune the stability of the solid electrolyte toward reactive lithium metal and cathode materials, suggesting strategies for enabling the wider deployment of LLTO and other ionically conductive ceramic films in advanced energy storage technologies

Ketter, Benjamin [Argonne National Laboratory (ANL↗
DOE OSTI2023

Trapped flux in pure and Mn-substituted CaKFe 4 As 4 and MgB 2 superconducting single crystals

Abstract Measurements of temperature dependent magnetization associated with trapped magnetic flux in single crystals of CaKFe 4 As 4 , CaK(Fe 0.983 Mn 0.017 ) 4 As 4 and MgB 2 using zero-field-cooled and field-cooled protocols are presented. The results allow for the determination of the values of superconducting transition temperature, lower critical field and self-field critical current density. These are compared with the literature data. Possible experimental concerns are briefly outlined. Our results, on these known superconductors at ambient pressure, are qualitatively similar to those recently measured on superhydrides at megabar pressures (Minkov et al 2023 Nat. Phys. https://doi.org/10.1038/s41567-023-02089-1 ) and, as such, hopefully serve as a baseline for the interpretation of high pressure, trapped flux measurements.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗
DOE OSTI2020

Enhanced Self-Seeding with Ultrashort Electron Beams

In this paper, we describe a new method to produce intensity stable, highly coherent, narrow-band x-ray pulses in self-seeded free electron (FEL) lasers. The approach uses an ultrashort electron beam to generate a single spike FEL pulse with a wide coherent bandwidth. The self-seeding monochromator then notches out a narrow spectral region of this pulse to be amplified by a long portion of electron beam to full saturation. In contrast to typical self-seeding where monochromatization of noisy self-amplified spontaneous emission pulses leads to either large intensity fluctuations or multiple frequencies, we show that this method produces a stable, coherent FEL output pulse with statistical properties similar to a fully coherent optical laser.

43 PARTICLE ACCELERATORS↗
DOE OSTI2022

ADG: automated generation and evaluation of many-body diagrams

The goal of the present paper is twofold. First, a novel expansion many-body method applicable to superfluid open-shell nuclei, the so-called Bogoliubov in-medium similarity renormalization group (BIMSRG) theory, is formulated. This generalization of standard single-reference IMSRG theory for closed-shell systems parallels the recent extensions of coupled cluster, self-consistent Green’s function or many-body perturbation theory. Within the realm of IMSRG theories, BIMSRG provides an interesting alternative to the already existing multi-reference IMSRG (MR-IMSRG) method applicable to open-shell nuclei. The algebraic equations for low-order approximations, i.e., BIMSRG(1) and BIMSRG(2), can be derived manually without much difficulty. However, such a methodology becomes already impractical and error prone for the derivation of the BIMSRG(3) equations, which are eventually needed to reach high accuracy. Based on a diagrammatic formulation of BIMSRG theory, the second objective of the present paper is thus to describe the third version (v3.0) of the code that automatically (1) generates all valid BIMSRG(n) diagrams and (2) evaluates their algebraic expressions in a matter of seconds. This is achieved in such a way that equations can easily be retrieved for both the flow equation and the Magnus expansion formulations of BIMSRG. Expanding on this work, the first future objective is to numerically implement BIMSRG(2) (eventually BIMSRG(3)) equations and perform ab initio calculations of mid-mass open-shell nuclei.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2020

Evaluation of the Four-Dimensional Ensemble-Variational Hybrid Data Assimilation with Self-Consistent Regional Background Error Covariance for Improved Hurricane Intensity Forecasts

The feasibility of a hurricane initialization framework based on the Gridpoint Statistical Interpolation (GSI)-based four-dimensional ensemble-variational (GSI-4DEnVar) hybrid data assimilation system for the Hurricane Weather Research and Forecasting model (HWRF) model is evaluated in this study. The system considers the temporal evolution of error covariances via the use of four-dimensional ensemble perturbations that are provided by high-resolution, self-consistent HWRF ensemble forecasts. It is different from the configuration of the GSI-based three-dimensional ensemble-variational (GSI-3DEnVar) hybrid data assimilation system, similar to that used in the operational HWRF, which employs background error covariances provided by coarser-resolution global ensembles from the National Centers for Environmental Prediction (NCEP) Global Forecast System (GFS) ensemble Kalman filtering data assimilation system. In addition, our proposed initialization framework discards the empirical intensity correction in the vortex initialization package that is employed by the GSI-3DEnVar initialization framework in operational HWRF. Data assimilation and numerical simulation experiments for Hurricanes Joaquin (2015), Patricia (2015), and Matthew (2016) are conducted during their intensity changes. The impacts of two initialization frameworks on the HWRF analyses and forecasts are compared. It is found that GSI-4DEnVar leads to a reduction in track, minimum sea level pressure (MSLP), and maximum surface wind (MSW) forecast errors in all of the HWRF simulations, compared with the GSI-3DEnVar initialization framework. With assimilating high-resolution observations within the hurricane inner-core region, GSI-4DEnVar can produce the initial hurricane intensity reasonably well without the empirical vortex intensity correction. Further diagnoses with Hurricane Joaquin indicate that GSI-4DEnVar can significantly alleviate the imbalances in the initial conditions and enhance the performance of the data assimilation and subsequent hurricane intensity and precipitation forecasts

54 ENVIRONMENTAL SCIENCES↗