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NASA NTRS2012

Microwave Satellite Data for Hydrologic Modeling in Ungauged Basins

An innovative flood-prediction framework is developed using Tropical Rainfall Measuring Mission precipitation forcing and a proxy for river discharge from the Advanced Microwave Scanning Radiometer for Earth Observing System (AMSR-E) onboard the National Aeronautics and Space Administration's Aqua satellite. The AMSR-E-detected water surface signal was correlated with in situ measurements of streamflow in the Okavango Basin in Southern Africa as indicated by a Pearson correlation coefficient of 0.90. A distributed hydrologic model, with structural data sets derived from remote-sensing data, was calibrated to yield simulations matching the flood frequencies from the AMSR-E-detected water surface signal. Model performance during a validation period yielded a Nash-Sutcliffe efficiency of 0.84. We concluded that remote-sensing data from microwave sensors could be used to supplement stream gauges in large sparsely gauged or ungauged basins to calibrate hydrologic models. Given the global availability of all required data sets, this approach can be potentially expanded to improve flood monitoring and prediction in sparsely gauged basins throughout the world

Distributed hydrologic modeling↗

DOE OSTI2016

Trial Implementation of the High-Impact, Low-Frequency Power Grid Event Risk Framework to Support Informed Decision-Making

In 2015, Pacific Northwest National Laboratory (PNNL) developed a multi-hazard risk-assessment framework for modeling high-impact, low-frequency (HILF) power grid events to support risk-informed decisions for power grid management and emergency planning. The identified framework elements are based on a systematic and comprehensive characterization of hazards to the level of detail required for modeling risk. In 2016, PNNL performed a trial implementation of the framework for a single hazard category and a set of key power grid asset types as a way to test the framework. A specific realization of a HILF event is referred to as an initiating event, or initiator. An initiating event is the manifestation of a hazard, and can be, for example, an earthquake of specified magnitude at a specified epicenter. Other examples of HILF events include geomagnetic disturbances and pandemics. For this test implementation, grid assets of a benchmark power system transmission network were assigned proxy geographical coordinates associated with Washington State locations; and real-world seismic hazard information was used for those locations. Based on the fragility of the grid assets to events of different severities, the set of possible failure scenarios (i.e., combinations of different asset failures) and their associated probabilities were determined, and recovery of grid assets and restoration of the network were considered. These combinations of failures and their subsequent recovery constitute a HILF event sequence that results in a given level of consequence, such as loss of power over a given geographic area for a given duration. The concurrent quantitative consideration of event probabilities and event consequences characterizes a risk model. For HILF event sequences, risk was expressed as expected unserved energy per year. This implementation demonstrates the feasibility and value of using the HILF event risk framework despite some of the identified challenges. This report discusses this trial implementation and presents risk results and insights from the implementation.

Veeramany, Arun↗

DOE OSTI2026

Machine learning enables reconstruction of past fire regimes from charcoal-derived fire intensity and fuel composition

Background Fire is a foundational ecological process that shapes ecosystem structure, diversity, and resilience. Quantifying paleofire regime attributes such as frequency, severity, and intensity is essential for understanding the historical range of variability in fire behavior and its ecological effects. While frequency and severity are often reconstructed in paleofire studies, quantitative reconstructions of fire intensity remain limited. Recent work has shown that maximum pyrolysis temperature—a proxy for fire intensity—and plant species type can be inferred from charcoal using transmission Fourier-transform infrared (FTIR) spectroscopy. However, the sample preparation for transmission FTIR is destructive and time-consuming, limiting application and reuse of materials for other analyses. We evaluated reflectance FTIR spectroscopy as a non-destructive alternative for reconstructing combustion temperature and plant species from laboratory-generated charcoal. We also examined the influence of contrasting airflow environments (ambient air versus nitrogen-rich) on pyrolysis temperature and plant species reconstruction prediction accuracies and compared predictive performance between a novel, neural network–based deep learning model with the traditional modern analogue technique (MAT) using k-nearest neighbor functions. As proof of concept, we apply our enhanced methodology to ancient charcoal to demonstrate applicability at improving long-term fire regime reconstructions and the ability to link paleofire records with contemporary fire ecology. Results Our analysis shows that transmission and reflectance FTIR spectra yield comparable spectral profiles. However, sample preparation for reflectance FTIR is minimal and non-destructive, unlike transmission FTIR which is destructive. We demonstrate that oxygen environments improved reconstruction accuracy relative to nitrogen-rich conditions. Finally, our deep learning neural network (DL) achieved testing accuracies of 98.7% for temperature and 96.2% for species identification, outperforming MAT’s k-NN approach (89.8% and 65.9%, respectively). A Shapley importance analysis identified 5 key spectral regions that greatly influenced the model’s temperature or species categorization. When applied to ancient charcoal, our results show historic fires from the most recent past primarily burned at low intensities (400–500 °C), reflective of natural fire regimes in ponderosa pine forests. Our results corroborate charcoal morphology data that suggests all ancient charcoal originated from burned woody plant types. Conclusions By combining reflectance FTIR spectroscopy with a deep learning approach, we provide the first accuracies high enough to confidently identify both species and temperature from laboratory-produced charcoal, improving quantitative reconstructions of fire intensity and fuel composition from paleofire records. This opens a wide range of research into the link between fire and larger drivers (i.e., climate or human) and greater ecological understanding of fire regimes beyond that of burn scars or recent observations. These methodological improvements have direct relevance for fire management by improving interpretation of historical fire behavior, informing fuel–fire relationships, and providing a scalable analytical framework applicable to both long-term ecological studies and contemporary fire science.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2021

Evaluation and improvement of the parameterization of aerosol hygroscopicity in global climate models using in-situ surface measurements (Final Report)

Aerosols are tiny particles suspended on the atmosphere that can interact with incoming solar radiation and affect the Earth radiative budget. They do so by scattering and absorbing solar radiation, and these properties vary depending on the aerosol size and chemical composition. Moreover, by taking up water from the surrounding air, hygroscopic aerosol particles will grow in size and change their chemical composition, thus modifying their optical properties (scattering and absorption) and their final impact on radiative forcing calculations. An accurate knowledge of aerosol hygroscopicity is crucial for estimating the net radiative impact of aerosols. We took a three-pronged approach to improve our understanding of aerosol hygroscopicity and how it is implemented in Earth system models. In the first part of our project, we developed a benchmark dataset from existing aerosol hygroscopic growth measurements made by tandem nephelometer humidogram systems. We analyzed, using a standardized methodology, observations from 26 in-situ stations around the globe. Measurement data was collected from multiple data providers, reviewed and harmonized to create a consistent dataset of the scattering enhancement factor due to aerosol water uptake. This dataset is archived in several publicly available databases for use by interested researchers. In the second part of the project, we used the benchmark hygroscopicity dataset to perform a global study on aerosol hygroscopicity and aerosol optical properties. Measurements show a global picture of scattering enhancement with larger values for Arctic and marine sites and lower for urban and desert sites. We assessed the RH dependence of aerosol radiative forcing and showed that the overall effect of aerosol hygroscopicity on DARF is an increase in the absolute forcing effect (negative sign) by a factor of up to 4 compared to dry conditions (RH<40%). Finally, we explored using aerosol single scattering albedo (SSA) and scattering Angstrom exponent (SAE) as possible proxies for aerosol hygroscopicity. SSA showed more promise as a surrogate for the scattering enhancement factor than SAE, but neither was ideal. In the third part of the project we evaluated the output of ten Earth system models (ESMs) against the benchmark hygroscopicity dataset. ESMs utilize various schemes for aerosol hygroscopicity which had not been previously tested against observations on a global scale. We found that ESMs currently overestimate scattering enhancement due to hygroscopic growth. Model parameterizations of hygroscopicity and model chemistry are two main factors driving the observed diversity in hygroscopicity simulations among the models. In addition, our study makes several suggestions for modelers, including improving the parameterizations of organic and sea salt aerosol hygroscopicity. Future hygroscopicity model evaluation experiments should include the model data related to particles size which was not available for our study.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2021

Does Bayesian model averaging improve polynomial extrapolations? Two toy problems as tests

We assess the accuracy of Bayesian polynomial extrapolations from small parameter values, x, to large values of x. We consider a set of polynomials of fixed order, intended as a proxy for a fixed-order effective field theory (EFT) description of data. We employ Bayesian model averaging (BMA) to combine results from different order polynomials (EFT orders). Our study considers two 'toy problems' where the underlying function used to generate data sets is known. We use Bayesian parameter estimation to extract the polynomial coefficients that describe these data at low x. A 'naturalness' prior is imposed on the coefficients, so that they are $\mathcal{O}(1)$. We BMA different polynomial degrees by weighting each according to its Bayesian evidence and compare the predictive performance of this BMA with that of the individual polynomials. In conclusion, the credibility intervals on the BMA forecast have the stated coverage properties more consistently than does the highest evidence polynomial, though BMA does not necessarily outperform every polynomial.

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗

DOE OSTI2021

Point-spread Function Deconvolution of the IFU Data and Restoration of Galaxy Stellar Kinematics

We present a performance test of the point-spread function (PSF) deconvolution algorithm applied to astronomical integral field unit (IFU) spectroscopy data for restoration of galaxy kinematics. We deconvolve the IFU data by applying the Lucy–Richardson algorithm to the 2D image slice at each wavelength. We demonstrate that the algorithm can effectively recover the true stellar kinematics of the galaxy, by using mock IFU data with a diverse combination of surface brightness profile, signal-to-noise ratio, line-of-sight geometry, and line-of-sight velocity distribution (LOSVD). In addition, we show that the proxy of the spin parameter ${\lambda }_{{R}_{e}}$ can be accurately measured from the deconvolved IFU data. We apply the deconvolution algorithm to the actual SDSS-IV MaNGA IFU survey data. The 2D LOSVD, geometry, and ${\lambda }_{{R}_{e}}$ measured from the deconvolved MaNGA IFU data exhibit noticeable differences compared to the ones measured from the original IFU data. The method can be applied to any other regular-grid IFU data to extract the PSF-deconvolved spatial information.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2024

Reviews and syntheses: Opportunities for robust use of peak intensities from high-resolution mass spectrometry in organic matter studies

Abstract. Earth's biogeochemical cycles are intimately tied to the biotic and abiotic processing of organic matter (OM). Spatial and temporal variations in OM chemistry are often studied using direct infusion, high-resolution Fourier transform mass spectrometry (FTMS). An increasingly common approach is to use ecological metrics (e.g., within-sample diversity) to summarize high-dimensional FTMS data, notably Fourier transform ion cyclotron resonance mass spectrometry (FT-ICR MS). However, problems can arise when FTMS peak-intensity data are used in a way that is analogous to abundances in ecological analyses (e.g., species abundance distributions). Using peak-intensity data in this way requires the assumption that intensities act as direct proxies for concentrations. Here, we show that comparisons of the same peak across samples (within-peak) may carry information regarding variations in relative concentration, but comparing different peaks (between-peak) within or between samples does not. We further developed a simulation model to study the quantitative implications of using peak intensities to compute ecological metrics (e.g., intensity-weighted mean properties and diversity) that rely on information about both within-peak and between-peak shifts in relative abundance. We found that, despite analytical limitations in linking concentration to intensity, ecological metrics often perform well in terms of providing robust qualitative inferences and sometimes quantitatively accurate estimates of diversity and mean molecular characteristics. We conclude with recommendations for the robust use of peak intensities for natural organic matter studies. A primary recommendation is the use and extension of the simulation model to provide objective guidance on the degree to which conceptual and quantitative inferences can be made for a given analysis of a given dataset. Broad use of this approach can help ensure rigorous scientific outcomes from the use of FTMS peak intensities in environmental applications.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2015

Developing MiniApps on Modern Platforms Using Multiple Programming Models, In: 2015 IEEE International Conference on Cluster Computing

We have developed a set of reduced, proxy applications ("MiniApps") based on large-scale application codes supported at the Oak Ridge Leadership Computing Facility (OLCF). The MiniApps are designed to encapsulate the details of the most important (i.e. the most time-consuming and/or unique) facets of the applications that run in production mode on the OLCF. In each case, we have produced or plan to produce individual versions of the MiniApps using different specific programming models (e.g., OpenACC, CUDA, OpenMP). We describe some of our initial observations regarding these different implementations along with estimates of how closely the MiniApps track the actual performance characteristics (in particular, the overall scalability) of the large-scale applications from which they are derived.

Computer Science↗

DOE OSTI2016

MiniApps derived from production HPC applications using multiple programing models

Here, we have developed a set of reduced, proxy applications (“MiniApps”) based on large-scale application codes supported at the Oak Ridge Leadership Computing Facility (OLCF). The MiniApps are designed to encapsulate the details of the most important (i.e. the most time-consuming and/or unique) facets of the applications that run in production mode on the OLCF. In each case, we have produced or plan to produce individual versions of the MiniApps using different specific programing models (e.g., OpenACC, CUDA, OpenMP). We describe some of our initial observations regarding these different implementations along with estimates of how closely the MiniApps track the actual performance characteristics (in particular, the overall scalability) of the large-scale applications from which they are derived.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2019

Regimes of premixed turbulent spontaneous ignition and deflagration under gas-turbine reheat combustion conditions

Here we address the problem of turbulent spontaneous ignition vs. deflagration propagating against a mean residence time gradient, particularly relevant to the stabilization of quasi-steady diesel flames and gas-turbine reheat combustion, by performing a large series of statistically one-dimensional premixed turbulent flame DNS. An autoignitve mixture of hydrogen-vitiated air representative of gas-turbine reheat combustion is considered. First, we demonstrate that turbulence can trigger the transition from spontaneous ignition to a deflagration. We then construct a spontaneous ignition vs. deflagration regime diagram based on inflow velocity, turbulent velocity fluctuations and integral length scale and identify the mechanism that governs the transition from one propagation mode to the other. Finally, we propose a theoretical model that captures accurately this transition and assess the validity of a proxy based on chemical explosive mode analysis to determine the local propagation mode in complex configurations.

42 ENGINEERING↗

DOE OSTI2022

Using Maximum Circular Velocity in Halo Occupation Distribution Models to Predict Galaxy Clustering

Abstract Standard halo occupation distribution (HOD) models predict how galaxies occupy halos based on a single property, the virial mass, M vir . To incorporate galaxy assembly bias, we consider alternative halo mass proxies to use in the HOD. A promising replacement is maximum circular velocity, V max , which measures the halo’s potential well, and successfully predicts galaxy clustering in subhalo abundance matching models. We fit galaxy clustering measurements from SDSS DR7 with two modified HODs besides the standard M vir -based model: one where V max is used as the halo property that determines galaxy occupation, and the other adopting an adjustable combination of M vir and V max . Except for the reduced volume M r < − 20 threshold sample fit with V max alone, neither change improves the model performance in predicting the projected two-point correlation function, w p . We conclude that switching the primary variable to V max does not significantly improve the HOD model’s ability to fit galaxy clustering.

Mezini, Lorena↗

DOE OSTI2025

Challenges in quantifying unparameterized spatial uncertainties in deep geologic repositories for nuclear waste

Spatially heterogeneous uncertainties are prevalent in geophysical modeling applications, such as probabilistic post-closure performance assessment (PA) of deep geologic repositories for nuclear waste. Such uncertainties are often highly influential to model outputs, so it is desirable to identify the most important mechanisms by which they influence model predictions. However, these uncertainties are often unparameterized in the sense that there is no set of parameters that can be specified to yield a particular realization of the uncertainty. Additionally, the uncertainty is not intrinsically endowed with a parameterization that captures a realization’s mechanistic influence on model outputs. Therefore, in this work we present a novel methodology to develop and assess a set of proxy variables that aim to represent this influence. We show how they can be computed, downselected, and incorporated into the construction of statistical surrogate models mapping model inputs to outputs. We present our methodology in the context of a motivating application problem in deep geologic repository PA and discuss the challenges in capturing the effects of these spatial heterogeneities in uncertainty analyses.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2022

Computational Tools and Workflows for Quantitative Risk Assessment and Decision Support for Geologic Carbon Storage Sites: Progress and Insights from the U.S. DOE’s National Risk Assessment Partnership

The 2005 Intergovernmental Panel on Climate Change (IPCC) Special Report on CCS raised the profile of CO2 capture and storage (CCS) as an important technology for reducing greenhouse gas (GHG) emissions. CCS is now recognized as a key component of most climate change mitigation scenarios. Since publication of that report the international research, development, and deployment (RD&D) community has advanced key technical aspects, clarified regulatory requirements, explored value chain and infrastructure solutions, and developed incentive paradigms to enable and promote large-scale deployment of CCS. These efforts have included research to better characterize geologic storage resources, to improve injection performance and storage efficiency, to assess and manage subsurface environmental risks, and to advance monitoring technologies to assure system conformance. These efforts have helped to build confidence in the viability of geologic carbon storage (GCS), but stakeholder concerns about long-term risks and liability associated with GCS remain a hurdle to broad acceptance and large-scale deployment of CCS. Since 2010, the U.S. DOE’s National Risk Assessment Partnership (NRAP) – a research collaboration between five contributing national laboratories – has worked to establish and demonstrate methods and tools to quantify and manage the subsurface environmental risks associated with GCS, amidst uncertainty. This work supports the Office of Fossil Energy and Carbon Management Carbon Transport and Storage Program’s goal of advancing safe and secure commercial-scale GCS deployment. To address the technical challenge of simulating the physical response of the GCS site to large-scale CO2 injection, NRAP has adopted an approach that relies on coupling computationally efficient reduced-order and/or data-driven proxy models of important system components (i.e., storage reservoir, sealing caprock, leakage pathways, intermediate formations, overlying groundwater aquifers, and the atmosphere) in integrated assessment framework. That integrated model of the physical system is complemented with fit-for purpose functionality to support site characterization and risk-related decisions. The recently released NRAP Phase II toolset includes the Open-Source Integrated Assessment Model (NRAP-Open-IAM) for evaluation of trends in leakage risk and potential impact, tools to support monitoring design optimization (Designs for Risk Evaluation and Management – DREAM v3.0 and Passive Seismic Monitoring Tool - PSMT), and tools for state of stress evaluation (State-of-Stress Analysis Tool - SOSAT) and forecasting induced seismicity risk. The NRAP team has also released a pair of reports describing conceptual workflows to incorporate physics-based, quantitative risk assessment into many of the design, planning, operation, and closure decisions for GCS projects. An online catalogue highlights published studies where these tools and methods are demonstrated. In this presentation, the utility of these products to assess risks and address key stakeholder questions will be highlighted through examples, and related insights about the safety and security of geologic carbon storage in qualified storage sites will be discussed. The prospect of rapid, large-scale deployment of GCS technology to aggressively reduce anthropogenic CO2 emissions requires careful consideration of interference between multiple commercial-scale storage projects within a basin. Going forward, NRAP is expanding and adapting site-scale risk quantification tools and methods to enable assessment of risks and inform management decisions for basin-scale deployment. Increasingly, this work will leverage next-generation approaches for surrogate modelling, fast prediction, and advanced visualization enabled by machine learning and artificial intelligence to promote virtual learning, scenario evaluation, and augment risk-based decision making.

quantitative risk assessment, geologic carbon stor↗

NASA NTRS2012

Retrieving Atmospheric Temperature and Moisture Profiles from NPP CRIS/ATMS Sensors Using Crimss EDR Algorithm

The Joint Polar Satellite System (JPSS) is a U.S. National Oceanic and Atmospheric Administration (NOAA) mission in collaboration with the U.S. National Aeronautical Space Administration (NASA) and international partners. The NPP Cross-track Infrared Microwave Sounding Suite (CrIMSS) consists of the infrared (IR) Crosstrack Infrared Sounder (CrIS) and the microwave (MW) Advanced Technology Microwave Sounder (ATMS). The CrIS instrument is hyperspectral interferometer, which measures high spectral and spatial resolution upwelling infrared radiances. The ATMS is a 22-channel radiometer similar to Advanced Microwave Sounding Units (AMSU) A and B. It measures top of atmosphere MW upwelling radiation and provides capability of sounding below clouds. The CrIMSS Environmental Data Record (EDR) algorithm provides three EDRs, namely the atmospheric vertical temperature, moisture and pressure profiles (AVTP, AVMP and AVPP, respectively), with the lower tropospheric AVTP and the AVMP being JPSS Key Performance Parameters (KPPs). The operational CrIMSS EDR an algorithm was originally designed to run on large IBM computers with dedicated data management subsystem (DMS). We have ported the operational code to simple Linux systems by replacing DMS with appropriate interfaces. We also changed the interface of the operational code so that we can read data from both the CrIMSS science code and the operational code and be able to compare lookup tables, parameter files, and output results. The detail of the CrIMSS EDR algorithm is described in reference [1]. We will present results of testing the CrIMSS EDR operational algorithm using proxy data generated from the Infrared Atmospheric Sounding Interferometer (IASI) satellite data and from the NPP CrIS/ATMS data.

Liu, X.↗

DOE OSTI2016

Co-Optimization of CO 2 -EOR and Storage Processes in Mature Oil Reservoirs

This article presents an optimization methodology for CO 2 enhanced oil recovery in partially depleted reservoirs. A field-scale compositional reservoir flow model was developed for assessing the performance history of an active CO 2 flood and for optimizing both oil production and CO 2 storage in the Farnsworth Unit (FWU), Ochiltree County, Texas. A geological framework model constructed from geophysical, geological, and engineering data acquired from the FWU was the basis for all reservoir simulations and the optimization method. An equation of state was calibrated with laboratory fluid analyses and subsequently used to predict the thermodynamic minimum miscible pressure (MMP). Initial history calibrations of primary, secondary and tertiary recovery were conducted as the basis for the study. After a good match was achieved, an optimization approach consisting of a proxy or surrogate model was constructed with a polynomial response surface method (PRSM). The PRSM utilized an objective function that maximized both oil recovery and CO 2 storage. Experimental design was used to link uncertain parameters to the objective function. Control variables considered in this study included: water alternating gas cycle and ratio, production rates and bottom-hole pressure of injectors and producers. Other key parameters considered in the modeling process were CO 2 purchase, gas recycle and addition of infill wells and/or patterns. The PRSM proxy model was ‘trained’ or calibrated with a series of training simulations. This involved an iterative process until the surrogate model reached a specific validation criterion. A sensitivity analysis was first conducted to ascertain which of these control variables to retain in the surrogate model. A genetic algorithm with a mixed-integer capability optimization approach was employed to determine the optimum developmental strategy to maximize both oil recovery and CO 2 storage. The proxy model reduced the computational cost significantly. The validation criteria of the reduced order model ensured accuracy in the dynamic modeling results. The prediction outcome suggested robustness and reliability of the genetic algorithm for optimizing both oil recovery and CO 2 storage. The reservoir modeling approach used in this study illustrates an improved approach to optimizing oil production and CO 2 storage within partially depleted oil reservoirs such as FWU. Lastly, this study may serve as a benchmark for potential CO 2 –EOR projects in the Anadarko basin and/or geologically similar basins throughout the world.

02 PETROLEUM↗

DOE OSTI2024

Physics informed neural network can retrieve rate and state friction parameters from acoustic monitoring of laboratory stick-slip experiments

Various machine learning (ML) and deep learning (DL) techniques have been recently applied to the forecasting of laboratory earthquakes from friction experiments. The magnitude and timing of shear failures in stick-slip cycles are predicted using features extracted from the recorded ultrasonic or acoustic emission (AE) signals. In addition, the Rate and State Friction (RSF) constitutive laws are extensively used to model the frictional behavior of faults. In this work, we use data from shear experiments coupled with passive acoustic (variance, kurtosis, and AE rate) interleaved with active source ultrasonic monitoring (transmitted wave amplitude) to develop physics-informed neural network (PINN) models incorporating the RSF law and AE rate generation equation with wave amplitude serving as a proxy for friction state variable. This PINN framework allows learning RSF parameters from stick-slip experiments rather than measuring them through a series of velocity step experiments. We observe that when the stick-slip cycles are irregular, the PINN models outperform the data-driven DL models. Transfer learning (TL) PINN models are also developed by pre-training on data collected at one normal stress level followed by forecasting shear failures and retrieving RSF parameters at other stress levels (i.e., with different recurrence intervals) after retraining on a limited amount of new data. Our findings suggest that TL models perform better compared to standalone models. Both standalone and TL PINN-estimated RSF parameters and their ground truth values show excellent agreements thus demonstrating that RSF parameters can be retrieved from laboratory stick-slip experiments using the corresponding acoustic data and that the transmitted wave amplitude provides a good representation of the evolving frictional state during stick-slips.

58 GEOSCIENCES↗

DOE OSTI2025

Reexamining circular dichroism in photoemission from a topological insulator

The orbital angular momentum (OAM) of electron states is an essential ingredient for topological and quantum geometric quantities in solids. For example, Dirac surface states with helical spin- and orbital-angular momenta are a hallmark of a 3D topological insulator. Angle-resolved photoemission spectroscopy (ARPES) with variable circular light polarization, known as circular dichroism (CD), has been assumed to be a direct probe of OAM and, by proxy, of the Berry curvature of electronic bands in energy- and momentum-space. Indeed, topological surface states have been shown to exhibit angle-dependent CD (CDAD), and more broadly, CD is often interpreted as evidence of spin-orbit coupling. Meanwhile, it is well-established that CD originates from the photoemission matrix elements, which can have extrinsic contributions related to the experimental geometry and the inherently broken inversion symmetry at the sample surface. Therefore, it is important to broadly examine CD-ARPES to determine the scenarios in which it provides a robust probe of intrinsic material physics. We performed CD-ARPES on the canonical topological insulator Bi 2 ⁢Se 3 over a wide range of incident photon energies. Not only do we observe angle-dependent CD in the surface states, as expected, but we also find CD of a similar magnitude in virtually all bulk bands. Since OAM is forbidden by inversion symmetry in the bulk, we conclude this originates from symmetry-breaking in the photoemission process. Comparison with theoretical calculations supports this view and suggests that “hidden” OAM—localized to atomic sites within each unit cell—contributes significantly. Additional effects, including inter-atomic interference and final-state resonances, are responsible for the rapid variation of the CDAD signal with photon energy.

Sidilkover, Ittai [Tel Aviv University, Tel Aviv (↗

DOE OSTI2025

Reexamining Circular Dichroism in Photoemission From a Topological Insulator

The orbital angular momentum (OAM) of electron states is an essential ingredient for topological and quantum geometric quantities in solids. For example, Dirac surface states with helical spin- and orbital-angular momenta are a hallmark of a 3D topological insulator. Angle-resolved photoemission spectroscopy (ARPES) with variable circular light polarization, known as circular dichroism (CD), has been assumed to be a direct probe of OAM and, by proxy, of the Berry curvature of electronic bands in energy- and momentum-space. Indeed, topological surface states have been shown to exhibit angle-dependent CD (CDAD), and more broadly, CD is often interpreted as evidence of spin-orbit coupling. Meanwhile, it is well-established that CD originates from the photoemission matrix elements, which can have extrinsic contributions related to the experimental geometry and the inherently broken inversion symmetry at the sample surface. Therefore, it is important to broadly examine CD-ARPES to determine the scenarios in which it provides a robust probe of intrinsic material physics. We performed CD-ARPES on the canonical topological insulator $\mathrm{Bi}_2\mathrm{Se}_3$ over a wide range of incident photon energies. Not only do we observe angle-dependent CD in the surface states, as expected, but we also find CD of a similar magnitude in virtually all bulk bands. Since OAM is forbidden by inversion symmetry in the bulk, we conclude this originates from symmetry-breaking in the photoemission process. Comparison with theoretical calculations supports this view and suggests that $\textit{hidden}$ OAM - localized to atomic sites within each unit cell - contributes significantly. Additional effects, including inter-atomic interference and final-state resonances, are responsible for the rapid variation of the CDAD signal with photon energy.

FOS: Physical sciences↗