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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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All sourcesNASA NTRSDOE OSTI
DOE OSTI2024

Opportunities for Earth Observation to Inform Risk Management for Ocean Tipping Points

Abstract As climate change continues, the likelihood of passing critical thresholds or tipping points increases. Hence, there is a need to advance the science for detecting such thresholds. In this paper, we assess the needs and opportunities for Earth Observation (EO, here understood to refer to satellite observations) to inform society in responding to the risks associated with ten potential large-scale ocean tipping elements: Atlantic Meridional Overturning Circulation; Atlantic Subpolar Gyre; Beaufort Gyre; Arctic halocline; Kuroshio Large Meander; deoxygenation; phytoplankton; zooplankton; higher level ecosystems (including fisheries); and marine biodiversity. We review current scientific understanding and identify specific EO and related modelling needs for each of these tipping elements. We draw out some generic points that apply across several of the elements. These common points include the importance of maintaining long-term, consistent time series; the need to combine EO data consistently with in situ data types (including subsurface), for example through data assimilation; and the need to reduce or work with current mismatches in resolution (in both directions) between climate models and EO datasets. Our analysis shows that developing EO, modelling and prediction systems together, with understanding of the strengths and limitations of each, provides many promising paths towards monitoring and early warning systems for tipping, and towards the development of the next generation of climate models.

Wood, Richard A. (ORCID:0000000239609513)↗
DOE OSTI2026

Water Observations of Flow/No-Flow for the East-Taylor Watershed, Colorado (June-July 2025 and 2026)

This dataset provides multi-year, ground-truth visual observations of surface water flow/no-flow conditions within the East-Taylor Watershed, Colorado, collected during June and July of 2025 and 2026. In June and July 2025, on-the-ground visual observations of flow/no-flow were collected as part of the Watershed Function Scientific Focus Area (SFA) and Rocky Mountain Biological Laboratory (RMBL) Colorado Headwaters Ecological Spectroscopy Study (CHESS) campaign (further details are provided within the CHESS Project Description). We obtained 377 water observations of flow/no-flow within the East-Taylor Watershed, Colorado. These ground-truth observations were collected to validate classification maps from remote sensing data and model results within the East-Taylor Watershed. In 2025, flow/no-flow measurements were collected using a field-based app for the CHESS Campaign (Zerion iForm). Within the field app, a water observation form was created to collect coordinates and metadata about the observation. Information collected for the water observation points included information about visually-assessed streamflow presence/absence (standard question obtained from Colorado State University’s StreamTracker project), flow estimate, stream or ponded area width, canopy cover, manganese films, iron seeps, and beaver activity. For 2025 water observations, this dataset contains: (1) a data file with the water observations and coordinates (2025_Water_Observations.csv); (2) a Keyhole Markup Language Zipped (KMZ) with the water observation locations and metadata (2025_Water_Observations_Locations.kmz); (3) photos (.jpg and .jpeg) of the water observation points, organized by location, contained within 2025_Water_Observations_FieldPhotographs.zip file; and (4) water observation protocols and figures (2025_Water_Observation_Protocols.pdf). In June and July 2026, on-the-ground visual observations of flow/no-flow were collected as part of the Watershed Function SFA project. We obtained 365 water observations of flow/no-flow within the East-Taylor Watershed, Colorado. The 2026 observations focused on collecting repeat measurements at the 2025 flow/no-flow observation locations conducted as part of the CHESS campaign. These ground-truth observations were collected to understand differences in flow/no-flow in 2026, given the unprecedented 2026 drought in Colorado. In 2026, flow/no-flow measurements were collected using ArcGIS (Geographic Information System) Survey123. Within the field app, a water observation form was created to collect coordinates and metadata about the observation. Information collected for the water observation points included repeat information from the 2025 water observation effort, including visually-assessed streamflow presence/absence (standard question obtained from Colorado State University’s StreamTracker project), flow estimate, stream or ponded area width, canopy cover, manganese films, iron seeps, beaver activity, and a new metadata component of estimated stream depth (for select locations). For 2026 water observations, this dataset contains: (1) a data file with the water observations and coordinates (2026_Water_Observations.csv); (2) a Keyhole Markup Language Zipped (KMZ) with the water observation locations and metadata (2026_Water_Observations_Locations.kmz); (3) photos (.jpg) of the water observation points, organized by location, contained within 2026_Water_Observations_FieldPhotographs.zip file; and (4) water observation protocols and figures (2026_Water_Observation_Protocols.pdf). For 2025 and 2026 water observations, this dataset contains: (1) a location metadata file (locations.csv); (6) a file-level metadata (flmd.csv) file that lists each file contained in the dataset with associated metadata; and (7) a data dictionary (dd.csv) file that contains column/row headers used throughout the files along with a definition, units, and data type. CHESS Project Description: The Colorado Headwaters Ecological Spectroscopy Study (CHESS) comprised a multi-week airborne remote sensing and field observation campaign in the Upper Gunnison Basin, Colorado, conducted in June and July of 2025. Airborne remote sensing was conducted by the National Ecological Observatory Network Airborne Observation Platform (NEON AOP), concurrent with a field campaign run by the Rocky Mountain Biological Laboratory (RMBL), the Lawrence Berkeley National Laboratory (LBNL) and SLAC National Accelerator Laboratory Watershed Function Science Focus Area (SFA), and NASA-JPL (Jet Propulsion Laboratory) Earth Surface Mineral Dust Source Investigation (EMIT) program. Between June 10 and July 18, 2025, the NEON AOP flight team collected high-resolution aerial imaging spectroscopy and Light Detection and Ranging (LiDAR) data over three domains: the Upper East River (CRBU), Almont Triangle (ALMO), and the Upper Taylor Basin (UPTA). In coordination with the flights, a field campaign acquired ground-truth observations, including observations of vegetation composition, foliar traits, forest demography, and subsurface properties in 18 core sampling areas within the domains. Additional surface water observations were taken at over 380 point locations. All CHESS campaign datasets can be found within the CHESS ESS-DIVE data portal: https://data.ess-dive.lbl.gov/portals/chess. This work was supported by the Watershed Function Science Focus Area at Lawrence Berkeley National Laboratory funded by the US Department of Energy, Office of Science, Biological and Environmental Research under Contract No. DE-AC02-05CH11231. 2026-09-02: This dataset was updated to include 2026 water observation measurements. The 2025 observation files were also updated to ensure a consistent file naming convention across water observation years.

2018 NEON and 2025 CHESS Campaigns↗
DOE OSTI2024

Observational benchmarks inform representation of soil organic carbon dynamics in land surface models

Abstract. Representing soil organic carbon (SOC) dynamics in Earth system models (ESMs) is a key source of uncertainty in predicting carbon–climate feedbacks. Machine learning models can help identify dominant environmental controllers and establish their functional relationships with SOC stocks. The resulting knowledge can be integrated into ESMs to reduce uncertainty and improve predictions of SOC dynamics over space and time. In this study, we used a large number of SOC field observations (n=54 000), geospatial datasets of environmental factors (n=46), and two machine learning approaches (namely random forest, RF, and generalized additive modeling, GAM) to (1) identify dominant environmental controllers of global and biome-specific SOC stocks, (2) derive functional relationships between environmental controllers and SOC stocks, and (3) compare the identified environmental controllers and predictive relationships with those in models used in Phase 6 of the Coupled Model Intercomparison Project (CMIP6). Our results showed that the diurnal temperature, drought index, cation exchange capacity, and precipitation were important observed environmental predictors of global SOC stocks. While the RF model identified 14 environmental factors that describe climatic, vegetation, and edaphic conditions as important predictors of global SOC stocks (R2=0.61, RMSE = 0.46 kg m−2), current ESMs oversimplify the relationships between environmental factors and SOC, with precipitation, temperature, and net primary productivity explaining > 96 % of the variability in ESM-modeled SOC stocks. Further, our study revealed notable disparities among the functional relationships between environmental factors and SOC stocks simulated by ESMs compared with observed relationships. To improve SOC representations in ESMs, it is imperative to incorporate additional environmental controls, such as the cation exchange capacity, and refine the functional relationships to align more closely with observations.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2021

Scalable statistical inference of photometric redshift via data subsampling

Handling big data has largely been a major bottleneck in traditional statistical models. Consequently, when accurate point prediction is the primary target, machine learning models are often preferred over their statistical counterparts for bigger problems. But full probabilistic statistical models often outperform other models in quantifying uncertainties associated with model predictions. We develop a data-driven statistical modeling framework that combines the uncertainties from an ensemble of statistical models learned on smaller subsets of data carefully chosen to account for imbalances in the input space. We demonstrate this method on a photometric redshift estimation problem in cosmology, which seeks to infer a distribution of the redshift—the stretching effect in observing the light of far-away galaxies—given multivariate color information observed for an object in the sky. Our proposed method performs balanced partitioning, graph-based data subsampling across the partitions, and training of an ensemble of Gaussian process models.

data subsampling↗
DOE OSTI2020

A Bayesian Approach for Statistical–Physical Bulk Parameterization of Rain Microphysics. Part II: Idealized Markov Chain Monte Carlo Experiments

Observationally informed development of a new framework for bulk rain microphysics, the Bayesian Observationally Constrained Statistical–Physical Scheme (BOSS; described in Part I of this study), is demonstrated. This scheme’s development is motivated by large uncertainties in cloud and weather simulations associated with approximations and assumptions in existing microphysics schemes. Here, a proof-of-concept study is introduced using a Markov chain Monte Carlo sampling algorithm with BOSS to probabilistically estimate microphysical process rates and parameters directly from a set of synthetically generated rain observations. The framework utilized is an idealized steady-state one-dimensional column rainshaft model with specified column-top rain properties and a fixed thermodynamical profile. Different configurations of BOSS—flexibility being a key feature of this approach—are constrained via synthetic observations generated from a traditional three-moment bulk microphysics scheme. The ability to retrieve correct parameter values when the true parameter values are known is illustrated. For cases when there is no set of true parameter values, the accuracy of configurations of BOSS that have different levels of complexity is compared. It is found that addition of the sixth moment as a prognostic variable improves prediction of the third moment (proportional to bulk rain mass) and rain rate. In contrast, increasing process rate formulation complexity by adding more power terms has little benefit—a result that is explained using further-idealized experiments. BOSS rainshaft simulations are shown to well estimate the true process rates from constraint by bulk rain observations, with the further benefit of rigorously quantified uncertainty of these estimates.

58 GEOSCIENCES↗
DOE OSTI2023

Causal interaction in high frequency turbulence at the biosphere–atmosphere interface: Structure–function coupling

At the biosphere–atmosphere interface, nonlinear interdependencies among components of an ecohydrological complex system can be inferred using multivariate high frequency time series observations. Information flow among these interacting variables allows us to represent the causal dependencies in the form of a directed acyclic graph (DAG). Here, we use high frequency multivariate data at 10 Hz from an eddy covariance instrument located at 25 m above agricultural land in the Midwestern US to quantify the evolutionary dynamics of this complex system using a sequence of DAGs by examining the structural dependency of information flow and the associated functional response. We investigate whether functional differences correspond to structural differences or if there are no functional variations despite the structural differences. We base our analysis on the hypothesis that causal dependencies are instigated through information flow, and the resulting interactions sustain the dynamics and its functionality. To test our hypothesis, we build upon causal structure analysis in the companion paper to characterize the information flow in similarly clustered DAGs from 3-min non-overlapping contiguous windows in the observational data. We characterize functionality as the nature of interactions as discerned through redundant, unique, and synergistic components of information flow. Through this analysis, we find that in turbulence at the biosphere–atmosphere interface, the variables that control the dynamic character of the atmosphere as well as the thermodynamics are driven by non-local conditions, while the scalar transport associated with CO and H 2 O is mainly driven by short-term local conditions.

58 GEOSCIENCES↗
DOE OSTI2025

Characterizing the hadronization of parton showers using the HOMER method

We update the HOMER method, a technique to solve a restricted version of the inverse problem of hadronization – extracting the Lund string fragmentation function f(z) from data using only observable information. Here, we demonstrate its utility by extracting f(z) from synthetic Pythia simulations using high-level observables constructed on an event-by-event basis, such as multiplicities and shape variables. Four cases of increasing complexity are considered, corresponding to e + e − collisions at a center-of-mass energy of 90 ≥ v producing either a string stretched between a $q$ and $\bar{q}$ containing no gluons; the same string containing one gluon g with fixed kinematics; the same but the gluon has varying kinematics; and the most realistic case, strings with an unrestricted number of gluons that is the end-result of a parton shower. We demonstrate the extraction of f(z) in each case, with the result of only a relatively modest degradation in performance of the HOMER method with the increased complexity of the string system.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2026

Risk-Aware Measurement Synchronization and Recovery for DSSE With Heterogeneous Data Sources

Power distribution systems are increasingly integrating heterogeneous sensors with varying data reporting rates and types, which pose challenges to achieving observability at the desired temporal resolution of distribution system state estimation (DSSE). Multisensor failures caused by extreme events exacerbate these issues, introducing substantial uncertainties into DSSE. This article proposes a novel solution to these challenges by ensuring high-resolution system observability despite heterogeneous data sources and multisensor failures. First, a deep learning architecture combining long short-term memory (LSTM) and graph convolutional network (GCN) is employed to synchronize meters with different reporting rates, aiming to achieve system observability. A random-walk-model-based approach is introduced to generate pseudo-measurements while properly characterizing their uncertainties under multisensor failures. Finally, a disaster-risk-informed observability metric (RiOM) is defined to quantify the uncertainty associated with state estimation results. The proposed framework offers deeper insights into the system observability on the fly compared with conventional analysis. The effectiveness of the framework is demonstrated on an IEEE standard test case and a large-scale real-world distribution feeder in mid-Minnesota in the U.S.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2022

EarthShine: Observing our world as an exoplanet from the surface of the Moon

NASA’s return to the Moon coincides with explosive growth in exoplanet discovery. Missions are being formulated to search for habitable planets orbiting other stars, making this the ideal time to deploy an instrument suite to the lunar surface to help us recognize a habitable exoplanet when we see it. We present EarthShine, a technically mature, three-instrument suite to observe the whole Earth from the Moon as an exoplanet proxy. EarthShine data will validate and improve models critical for designing missions to image and characterize exoplanets, thus informing observing strategies for flagship missions to directly image exoplanets. EarthShine will answer interconnected questions in Earth and lunar science, exoplanets, and astrobiology, related to the credo “follow the water.” EarthShine can take advantage of current NASA programs to conduct science from the Moon with low-cost, mature space hardware to reduce risk and assure success. Like the 1968 Apollo Earthrise image of our home planet, lonely in the black sky, the appeal of EarthShine to a multidisciplinary array of researchers in Earth Science, Planetary Science, and astrophysics will maximize both its scientific impact and its impact on the general public.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2025

WFIP3

The Wind Forecasting Improvement Project 3 (WFIP-3) is the first offshore-based wind resource characterization project within the WFIP construct, funded by the U.S. Department of Energy. WFIP-3 will provide a unique field study that will deliver the comprehensive suite of data needed to inform a series of modeling efforts that will develop and evaluate parameterization schemes suited to offshore environments and improved industry-targeted applications. The field study has two goals: (1) detailed sampling of the vertical structure of the Marine Atmospheric Boundary Layer (MABL) at key observational areas, creating a rich dataset that will be used to refine and validate parameterization schemes, and (2) wide-area sampling of the MABL to create a multi-scale array of observations informing and guiding models of resource characterization. We will deploy a multi-platform array of measurements that span the MABL and create a multi-scale observational array stretching south from Marth’s Vineyard across the wind energy areas.

17 WIND ENERGY↗
DOE OSTI2021

Structurally flexible cloud microphysics, observationally constrained at all scales via ML-accelerated Bayesian inference

We discuss the challenge of developing observationally informed parameterizations of microphysics for use at a hierarchy of modeling scales. Our proposed approach is applicable to any domain that suffers from a two-fold parameterization problem, where physical processes are not resolved at the model scale (the first problem), and those processes are uncertain at any scale (the second problem). For such problems, a physical approach facilitates modeling across scales, as well as systematic observational inference accelerated by machine learning (ML) surrogate models, and quantification of physical uncertainties.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2026

A score-based diffusion model approach for adaptive learning of stochastic partial differential equation solutions

In this paper, we propose a novel framework for adaptively learning the time-evolving solutions of stochastic partial differential equations (SPDEs) using score-based diffusion models within a recursive Bayesian inference setting. SPDEs play a central role in modeling complex physical systems under uncertainty, but their numerical solutions often suffer from model errors and reduced accuracy due to incomplete physical knowledge and environmental variability. To address these challenges, we encode the governing physics into the score function of a diffusion model using simulation data and incorporate observational information via a likelihood-based correction in a reverse-time stochastic differential equation. This enables adaptive learning through iterative refinement of the solution as new data becomes available. To improve computational efficiency in high-dimensional settings, we introduce the ensemble score filter, a training-free approximation of the score function designed for real-time inference. Numerical experiments on benchmark SPDEs demonstrate the accuracy and robustness of the proposed method under sparse and noisy observations.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2023

Retrieval of temperature and humidity profiles from ground-based high-resolution infrared observations using an adaptive fast iterative algorithm

Various retrieval algorithms have been developed for retrieving temperature and water vapor profiles from Atmospheric Emitted Radiance Interferometer (AERI) observations. The physical retrieval algorithm, named AERI Optimal Estimation (AERIoe), outperforms other retrieval algorithms in many aspects except the retrieval time, which is significantly increased due to the complex radiative transfer process. The calculation of the Jacobian matrix is the most computationally intensive step of the physical retrieval algorithm. Interestingly, an analysis of the change in AERI observations' information content with respect to Jacobians revealed that the AERIoe algorithm's performance presents negligible dependence on these metrics. Thus, the Jacobian matrix could remain unchanged when the variation in the atmospheric state is small in the retrieval process to reduce the most time-consuming computation. On the basis of the above findings, a fast physical–iterative retrieval algorithm was proposed by adaptively recalculating Jacobians in keeping with the changes in the atmospheric state. Experiments with synthetic observations demonstrate that the proposed method experiences an average reduction in retrieval time by an impressive 59 % compared to the original AERIoe algorithm while achieving maximum root-mean-square errors of less than 0.95 K and 0.22 log(ppmv) for heights below 3 km for the temperature and water vapor profile, respectively. Further analyses revealed that the fast-retrieval algorithm reached an acceptable convergence rate of 98.7 %, marginally lower than AERIoe's 99.9 % convergence rate for the 826 cases used in this study.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Influence of Antarctic and Greenland Continental Shelf Circulation on High‐Latitude Oceans in E3SM

The science objectives of this project are to simulate and understand the impacts of both deep-basin warm-water intrusions and land-ice melt on the continental shelf circulations and sea-ice distributions around the margins of Greenland and Antarctica. As well, the role of subsurface ocean heat from the Atlantic on declining sea-ice cover in the Arctic is explored. Mesoscale processes and fine bathymetry are implicated in cross-shelf property transports around both Greenland and Antarctica. Therefore, we configured and ran an atmospheric reanalysis-forced global ocean/sea-ice simulation on a grid that reduces from 8 km at the Equator to 2 km at the poles (UH8to2) with 60 vertical levels. It was produced using the Energy Exascale Earth System Model ‘‘HiLAT’’ code (E3SMv0-HiLAT) that uses the Parallel Ocean Program (POP) and CICE5 as its ocean and sea-ice components, respectively. Two main UH8to2 simulations were carried out: one for 1975-2009 and the other for July 2016-2020 after it was initialized from a 1/25° data-assimilative ocean/sea-ice prediction system ocean/sea-ice state. The UH8to2 is not coupled to an active land-ice model. Rather, land-ice melt is represented by observationally informed freshwater fluxes (FWFs). Short (multi-year) UH8to2 simulations were conducted to understand sensitivities when Greenland ice sheet (GrIS) melt is released only at the ocean surface or when it is distributed over the upper water column in accordance with fjord melt plume behavior; these cases were compared with a no GrIS melt case. West Greenland continental shelf currents were fastest in the vertical distribution case and an increase in baroclinic conversion at the shelf break associated with increased eddy kinetic energy was found relative to the surface release case. Further, salinity is lower and meltwater volume greater in the eastern Labrador Sea in the vertical distribution case. For the Arctic, the veracity of the UH8to2 was evaluated for 2017-2020 using available observations. Simulated seasonal sea-ice thickness and concentration are realistic, but the ice is unrealistically thin in the central and eastern Arctic in the fall. Comparisons of vertical sections of ocean temperature, salinity, and buoyancy collected from Ice-Tethered Profilers (ITPs) in the eastern Arctic in the fall and winter of 2019/2020 and co-located/concurrent UH8to2 fields show the stratification over the top 100 m of the water column is too low in the model, the simulated mixed layer too deep, and the simulated subsurface Atlantic Water (AW) too warm; these biases may contribute to the sea-ice biases. A model intercomparison study using the UH8to2 and a forced 1/25° regional Arctic ocean/sea-ice (uses the HYbrid Coordinate Ocean Model and CICE5) simulation further investigates the relationship between AW and sea-ice in the eastern Arctic. The models show a mesoscale-rich pulse of Atlantic Water extending into the eastern basin that reaches maximum intensity in late winter of 2018, after which it decreases in strength. Concurrent and co-located sea-ice melt or the inhibition of sea-ice growth is seen and is attributed to halocline mesoscale eddies doming into the mixed layer with convection bringing this heat into the vicinity of the sea-ice.

58 GEOSCIENCES↗
DOE OSTI2025

Structure-Based Analysis of Semisynthetic Anti-TB Rufomycin Analogues

This study employed structural information from cocrystals of rufomycin 4 (1a) and caseinolytic protein C1 (ClpC1)-NTD-wt to guide design and semisynthesis of rufomycin analogues, evaluate their antituberculosis (TB) biological profiles, and establish structure–activity relationships (SAR). Covering three regions of interest (ROIs, A–C) as modification sites, 14 of the 30 semisynthetic analogues (2–31) showed similar or improved MICs relative to the main natural precursors, rufomycins 4/6 (1a/b). Compounds 5 and 27 exhibited up to 10-fold enhanced potency against Mycobacterium tuberculosis (Mtb) in vitro, with MIC values of 1.9 and 1.4 nM, respectively. Evaluation of ClpC1-binding properties used existing ClpC1-NTD complexes with rufomycin 4 (PDB: 6cn8) and ecumicin (PDB: 6pbs) as references. The newly reported X-ray ClpC1-NTD cocrystal structure of 11 (syn. But4-Cl) revealed significant conformational effects involving the side chains of certain amino acids of the heptapeptide and confirmed the importance of ROIs A–C for medicinal chemistry efforts. Observed interactions of the N-terminal tail of ClpC1 with the rufomycin analogues vs ecumicin explains their different modes of inactivating the ClpC1/P1/P2 homeostatic machinery. Collectively, the observations inform further SAR optimization strategies for the rufomycin class of antibiotics and complement our understanding of their mode of action.

60 APPLIED LIFE SCIENCES↗
DOE OSTI2020

Is GW170817 a Multimessenger Neutron Star-Primordial Black Hole Merger?

We investigate the possibility of the gravitational-wave event GW170817 being a light, solar-mass black hole (BH) - neutron star (NS) merger. We explore two exotic scenarios involving primordial black holes (PBH) that could produce such an event, taking into account available observational information on NGC 4993. First, we entertain the possibility of dynamical NS-PBH binary formation where a solar-mass PBH and a NS form a binary through gravitational interaction. We find that while dynamical NS-PBH formation could account for the GW170817 event, the rate is highly dependent on unknown density contrast factors and could potentially be affected by galaxy mergers. We also find that PBH-PBH binaries would likely have a larger merger rate, assuming the density contrast boost factor of an order similar to the NS-PBH case. These exotic merger formations could provide new channels to account for the volumetric rate of compact-object mergers reported by LIGO/Virgo. Secondly, we consider the case where one of the NS's in a binary NS system is imploded by a microscopic PBH. We find that the predicted rate for NS implosion into a BH is very small, at least for the specific environment of NGC 4993. We point out that similar existing (e.g. GW190425 and GW190814) and future observations will shed additional light on these scenarios.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2025

Preserving nonlinear constraints in variational flow filtering data assimilation

Data assimilation aims to estimate the states of a dynamical system by optimally combining sparse and noisy observations of the physical system with uncertain forecasts produced by a computational model. The states of many dynamical systems of interest obey nonlinear physical constraints, and the corresponding dynamics is confined to a certain sub-manifold of the state space. Standard data assimilation techniques applied to such systems yield posterior states lying outside the manifold, violating the physical constraints. This work focuses on particle flow filters which use stochastic differential equations to evolve state samples from a prior distribution to samples from an observation-informed posterior distribution. The variational Fokker-Planck (VFP)—a generic particle flow filtering framework—is extended to incorporate non-linear, equality state constraints in the analysis. To this end, two algorithmic approaches that modify the VFP stochastic differential equation are discussed: (i) VFPSTAB, to inexactly preserve constraints with the addition of a stabilizing drift term, and (ii) VFPDAE, to exactly preserve constraints by treating the VFP dynamics as a stochastic differential-algebraic equation (SDAE). Additionally, an implicit-explicit time integrator is developed to evolve the VFPDAE dynamics. The strength of the proposed approach for constraint preservation in data assimilation is demonstrated on three test problems: the double pendulum, Korteweg-de-Vries, and the incompressible Navier-Stokes equations.

97 MATHEMATICS AND COMPUTING↗