An Ensemble-Based Three-Dimensional Variational Assimilation Method for Land Data Assimilation

Land surface models are often highly nonlinear with model physics that contain parameterized discontinuities. These model attributes severely limit the application of advanced variational data assimilation methods into land data assimilation. The ensemble Kalman filter （EnKF） has been widely employed for land data assimilation because of its simple conceptual formulation and relative ease of implementation. An updated ensemble-based three-dimensional variational assimilation （En3-DVar） method is proposed for land data assimilation This new method incorporates Monte Carlo sampling strategies into the 3-D variational data assimilation framework. The proper orthogonal decomposition （POD） technique is used to efficiently approximate a forecast ensemble produced by the Monte Carlo method in a 3-D space that uses a set of base vectors that span the ensemble. The data assimilation process is thus significantly simplified. Our assimilation experiments indicate that this new En3-DVar method considerably outperforms the EnKF method by increasing assimilation precision. Furthermore, computational costs for the new En3-DVar method are much lower than for the EnKF method.     

一种控制变量循环扰动和多参数化方案的混合同化方法

敏感性试验表明集合变换卡尔曼滤波(Ensemble Transform Kalman Filter,ETKF)方法在混合(Hybrid)同化过程中易受观测资料数量变化的影响而产生较大程度的协方差震荡,从而可能导致系统不稳定。为设计一种简便、稳定的Hybrid同化系统,构建了一种基于物理控制变量扰动及多物理参数化方案的Hybrid同化及预报系统。本系统随着循环的进行,不断对Hybrid同化分析场进行控制变量扰动得到集合成员初始场,并且对各集合成员采用不同物理参数化方案以更合理地表征背景场的误差特征。连续10 d的循环同化及预报试验表明,本文同化方案效果明显优于三维变分方案,动力场的整体同化和预报效果与ETKF方案基本相当。本方案相比于ETKF方法不受观测波动影响,在没有经任何参数调试情况下,取得了良好同化和预报效果,为Hybrid同化的便捷运行提供了一种稳定可靠的手段。     

EnKF中误差协方差优化方法及在资料同化中应用

集合卡尔曼滤波 (the Ensemble Kalman Filter,简称EnKF) 中将预报集合的统计协方差作为预报误差协方差,但该估计可能严重偏离真实的预报误差协方差,影响同化精度。基于极大似然估计理论,发展了一种优化预报误差协方差矩阵的实时膨胀方法,即MLE (the Maximum Likelihood Estimation) 方法。利用蒙古国基准站Delgertsgot (简称DGS站) 观测资料,基于EnKF方法和MLE方法,在通用陆面模式 (the Common Land Model,简称CoLM) 中同化了地表温度和10 cm土壤温度观测资料,建立了土壤温度同化系统。结果表明:MLE方法对地表温度和各层土壤温度 (尤其深层土壤温度) 的估计比EnKF方法准确。考虑到浅层和深层土壤温度的差别,在实施MLE方法时对浅层和深层土壤温度采用了不同的膨胀因子。对比膨胀因子为单一标量时的结果,多因子膨胀能缓解深层土壤温度的不合理膨胀,改善同化效果。     

微物理方案及其参数对EnSRF资料同化的影响研究

利用自主构建的基于风暴尺度的WRF-En SRF系统同化模拟多普勒雷达资料,讨论了微物理方案及其参数的不确定性对同化效果的影响。试验采用组合微物理方案以及扰动微物理方案中的参数的方法,结果表明,模式误差非常小甚至可以忽略时,使用单个微物理方案并扰动参数能够使真实风暴的主要特征在分析场中较未扰动参数得到更好地反映;存在模式误差时,使用单个微物理方案并扰动参数后,分析场中的各要素的分布较未扰动参数更加接近真实风暴,同化效果得到改进,且改进效果比模式误差非常小时更为明显;存在模式误差时,组合微物理方案并扰动参数后,分析场中对流云团的形态较未组合方案或未扰动参数更接近真实风暴,主要要素场的配置最能反映真实风暴的特征,同化效果最为理想。结果也表明,扰动参数时、参数扰动范围较小时,同化效果较优。     

Study on ETKF-Based Initial Perturbation Scheme for GRAPES Global Ensemble Prediction

Initial perturbation scheme is one of the important problems for ensemble prediction. In this paper, ensemble initial perturbation scheme for Global/Regional Assimilation and PrEdiction System (GRAPES) global ensemble prediction is developed in terms of the ensemble transform Kalman filter (ETKF) method.A new GRAPES global ensemble prediction system (GEPS) is also constructed. The spherical simplex 14-member ensemble prediction experiments, using the simulated observation network and error characteristics of simulated observations and innovation-based in ation, are carried out for about two months. The structure characters and perturbation amplitudes of the ETKF initial perturbations and the perturbation growth characters are analyzed, and their qualities and abilities for the ensemble initial perturbations are given. The preliminary experimental results indicate that the ETKF-based GRAPES ensemble initial perturbations could identify main normal structures of analysis error variance and reflect the perturbation amplitudes.The initial perturbations and the spread are reasonable. The initial perturbation variance, which is approximately equal to the forecast error variance, is found to respond to changes in the observational spatial variations with simulated observational network density. The perturbations generated through the simplex method are also shown to exhibit a very high degree of consistency between initial analysis and short-range forecast perturbations. The appropriate growth and spread of ensemble perturbations can be maintained up to 96-h lead time. The statistical results for 52-day ensemble forecasts show that the forecast scores ofensemble average for the Northern Hemisphere are higher than that of the control forecast. Provided that using more ensemble members, a real-time observational network and a more appropriate inflation factor,better effects of the ETKF-based initial scheme should be shown.     

区域四维变分资料同化的数值试验

针对中尺度数值预报模式预报误差的主要来源,尝试利用四维变分资料同化的方法来改善预报效果。在已建立的中尺度模式（ＭＭ４）四维变分资料同化系统基础上,进行了若干数值试验,通过比较同化前后的预报来检验同化的效果。这些试验中初始场、模式误差和侧边界条件被分别或同时作为控制变量来进行调整,主要探讨了模式误差和侧边界条件对同化及预报的影响,以及同时结合两者或三者的途径和方法。对两组个例分别进行的试验结果表明,区域中尺度模式预报误差除了来源于初始误差外,模式误差、侧边界条件也有不可忽视的作用。同化时应同时考虑初始场、模式误差和侧边界条件这三方面的共同作用,仅修正其中某一个或某两个会把由于其它方面造成的预报误差转嫁到它们之上,从而出现尽管目标函数下降很快而预报结果并没有相应改善的现象。     

集合预报误差在GRAPES全球四维变分同化中的应用研究Ⅱ：参数选取与数值试验

研究的第一部分讨论了如何有效应用集合预报误差的科学方案,确定了集合预报误差在GRAPES（Global Regional Assimilation and PrEdiction System）全球4DVar（four dimensional variational data assimilation）中应用的分析框架。在此基础上研究了针对集合预报误差实际应用于GRAPES全球4DVar,解决接近或超过100个集合样本数时高效生成的计算效率问题,以及与GRAPES全球4DVar匹配的同化关键参数确定问题。选择基于4DVar的集合资料同化方法生成集合样本,通过将第1个样本极小化迭代过程中产生的预调节信息用于其他样本极小化做预调节,将计算效率提高了2倍。通过时间错位扰动方法增加集合样本数,实现集合样本增加到3倍。对集合方差进行膨胀,并选择水平局地化相关尺度为流函数背景误差水平相关的1.4倍。通过批量数值试验方法确定背景误差与集合预报误差的权重系数,对60个集合样本当集合预报误差权重为0.7时预报效果最好。对北半球夏、冬两季各52 d的批量试验表明,对于南、北半球En4DVar （ensemble 4DVar）较4DVar的改进在冬季主要集中在700—30 hPa,而在夏季主要集中在400—150 hPa。赤道地区受季节影响较小,En4DVar对位势高度、风场与温度的改进都较为明显,且经向风场的改进最为显著。文中研发的集合预报误差在GRAPES全球4DVar中应用的方法合理可行。      

Using analysis state to construct a forecast error covariance matrix in ensemble Kalman filter assimilation

Correctly estimating the forecast error covariance matrix is a key step in any data assimilation scheme. If it is not correctly estimated, the assimilated states could be far from the true states. A popular method to address this problem is error covariance matrix inflation. That is, to multiply the forecast error covariance matrix by an appropriate factor. In this paper, analysis states are used to construct the forecast error covariance matrix and an adaptive estimation procedure associated with the error covariance matrix inflation technique is developed. The proposed assimilation scheme was tested on the Lorenz-96 model and 2D Shallow Water Equation model, both of which are associated with spatially correlated observational systems. The experiments showed that by introducing the proposed structure of the forecast error covariance matrix and applying its adaptive estimation procedure, the assimilation results were further improved.     

Improvement in Background Error Covariances Using Ensemble Forecasts for Assimilation of High-Resolution Satellite Data

Satellite data obtained over synoptic data-sparse regions such as an ocean contribute toward improving the quality of the initial state of limited-area models. Background error covariances are crucial to the proper distribution of satellite-observed information in variational data assimilation. In the NMC (National Meteorological Center) method, background error covariances are underestimated over data-sparse regions such as an ocean because of small differences between different forecast times. Thus, it is necessary to reconstruct and tune the background error covariances so as to maximize the usefulness of the satellite data for the initial state of limited-area models, especially over an ocean where there is a lack of conventional data. In this study, we attempted to estimate background error covariances so as to provide adequate error statistics for data-sparse regions by using ensemble forecasts of optimal perturbations using bred vectors. The background error covariances estimated by the ensemble method reduced the overestimation of error amplitude obtained by the NMC method. By employing an appropriate horizontal length scale to exclude spurious correlations, the ensemble method produced better results than the NMC method in the assimilation of retrieved satellite data. Because the ensemble method distributes observed information over a limited local area, it would be more useful in the analysis of high-resolution satellite data. Accordingly, the performance of forecast models can be improved over the area where the satellite data are assimilated.     

臭氧卫星观测资料同化系统构建及其试验研究

为检验臭氧卫星资料同化对臭氧分析场和预报场的影响,基于集合平方根滤波(ENSRF)理论,结合通用地球系统模式(CESM),构建了CESM-ENSRF同化预报系统。系统构建过程考虑了卡尔曼滤波同化中的关键问题:利用全场随机扰动对初始场加扰,结合一般协方差膨胀和松弛协方差膨胀方法实现协方差膨胀,使用五阶距离相关函数进行协方差局地化。将构建的系统用于微波临边探测器(MLS)臭氧廓线数据的同化,分析臭氧卫星资料同化对模式预报的影响。结果表明:构建的CESM-ENSRF同化系统有效实现了臭氧资料同化,臭氧卫星资料同化对臭氧分析场和预报场精度有较大改进。     

What Kind of Initial Errors Cause the Severest Prediction Uncertainty of El Nino in Zebiak-Cane Model

With the Zebiak-Cane （ZC） model, the initial error that has the largest effect on ENSO prediction is explored by conditional nonlinear optimal perturbation （CNOP）. The results demonstrate that CNOP-type errors cause the largest prediction error of ENSO in the ZC model. By analyzing the behavior of CNOPtype errors, we find that for the normal states and the relatively weak E1 Nifio events in the ZC model, the predictions tend to yield false alarms due to the uncertainties caused by CNOP. For the relatively strong E1 Nino events, the ZC model largely underestimates their intensities. Also, our results suggest that the error growth of E1 Nifio in the ZC model depends on the phases of both the annual cycle and ENSO. The condition during northern spring and summer is most favorable for the error growth. The ENSO prediction bestriding these two seasons may be the most difficult. A linear singular vector （LSV） approach is also used to estimate the error growth of ENSO, but it underestimates the prediction uncertainties of ENSO in the ZC model. This result indicates that the different initial errors cause different amplitudes of prediction errors though they have same magnitudes. CNOP yields the severest prediction uncertainty. That is to say, the prediction skill of ENSO is closely related to the types of initial error. This finding illustrates a theoretical basis of data assimilation. It is expected that a data assimilation method can filter the initial errors related to CNOP and improve the ENSO forecast skill.     

What Kind of Initial Errors Cause the Severest Prediction Uncertainty of EI Nino in Zebiak-Cane Model

With the Zebiak-Cane (ZC) model, the initial error that has the largest effect on ENSO prediction is explored by conditional nonlinear optimal perturbation (CNOP). The results demonstrate that CNOP-type errors cause the largest prediction error of ENSO in the ZC model. By analyzing the behavior of CNOP- type errors, we find that for the normal states and the relatively weak EI Nino events in the ZC model, the predictions tend to yield false alarms due to the uncertainties caused by CNOP. For the relatively strong EI Nino events, the ZC model largely underestimates their intensities. Also, our results suggest that the error growth of EI Nino in the ZC model depends on the phases of both the annual cycle and ENSO. The condition during northern spring and summer is most favorable for the error growth. The ENSO prediction bestriding these two seasons may be the most difficult. A linear singular vector (LSV) approach is also used to estimate the error growth of ENSO, but it underestimates the prediction uncertainties of ENSO in the ZC model. This result indicates that the different initial errors cause different amplitudes of prediction errors though they have same magnitudes. CNOP yields the severest prediction uncertainty. That is to say, the prediction skill of ENSO is closely related to the types of initial error. This finding illustrates a theoretical basis of data assimilation. It is expected that a data assimilation method can filter the initial errors related to CNOP and improve the ENSO forecast skill.     

贝叶斯膨胀算法对EnSRF雷达资料同化的影响研究

本文针对2009年6月5日发生在我国华东地区的一次中尺度对流过程（Mesoscale Convective System,简称MCS）,基于集合均方根滤波（Ensemble Square Root Filter,简称EnSRF）方法同化多部多普勒天气雷达资料,引入具有时空自适应理论优势的贝叶斯膨胀算法,通过与常数膨胀算法的对比,分析了两种膨胀算法对EnSRF同化效果的影响。结果表明:贝叶斯膨胀算法同化的雷达组合反射率因子在强对流中心处有所增强,改善了基于常数膨胀算法的EnSRF同化强对流系统偏弱的问题。相比常数膨胀算法,贝叶斯膨胀算法同化的冷池结构更合理,径向风和反射率因子的均方根误差均减少。进一步探讨贝叶斯膨胀算法对同化效果改善的原因,结果发现:贝叶斯膨胀参数的分布与反射率因子的均方根误差分布十分吻合,这表明贝叶斯膨胀算法可以在背景场均方根误差较大,即背景场与观测差距较大时,给出较大的膨胀参数,进而增加集合的背景场误差,使得观测权重增大,从而给出了较大的分析增量。对集合平均分析场进行了1小时的确定性预报发现,贝叶斯膨胀算法提高了预报模式对安徽与江苏交界处的强对流系统的模拟效果,回波强度更强,冷池强度和范围更大,且对于不同组合反射率因子的阀值,贝叶斯膨胀算法的评分（Equitable Threat Score,简称ETS）均高于常数膨胀算法。这表明贝叶斯膨胀算法有效地改进了基于常数膨胀算法的EnSRF同化雷达资料的效果。     

Handling error propagation in sequential data assimilation using an evolutionary strategy

An evolutionary strategy-based error parameterization method that searches for the most ideal error adjustment factors was developed to obtain better assimilation results. Numerical experiments were designed using some classical nonlinear models (i.e., the Lorenz-63 model and the Lorenz-96 model). Crossover and mutation error adjustment factors of evolutionary strategy were investigated in four aspects: the initial conditions of the Lorenz model, ensemble sizes, observation covariance, and the observation intervals. The search for error adjustment factors is usually performed using trial-and-error methods. To solve this difficult problem, a new data assimilation system coupled with genetic algorithms was developed. The method was tested in some simplified model frameworks, and the results are encouraging. The evolutionary strategy-based error handling methods performed robustly under both perfect and imperfect model scenarios in the Lorenz-96 model. However, the application of the methodology to more complex atmospheric or land surface models remains to be tested.     

集合变换卡尔曼滤波局地化对区域集合初始扰动的影响

集合变换卡尔曼滤波(ensemble transform Kalman filter, ETKF)是一种有效的集合预报初始扰动构造方案。但是,有限的集合样本、相同的集合成员设置以及预报模式误差等可能会使两个距离较远的状态变量产生虚假相关,从而影响ETKF集合扰动的质量。为了有效解决远距离虚假相关问题,将局地化思想引入ETKF方案。本文针对GRAPES区域集合预报系统(GRAPES REPS),对ETKF初值扰动局地化方案的效果进行了试验分析,为进一步改善和优化局地化方案(LETKF方案)提供依据。通过一周的连续试验,从暴雨个例、集合预报多种评分检验等方面分析了LETKF初始扰动方案所产生的集合预报质量。结果表明,区域集合预报中集合变换卡尔曼滤波初始扰动的局地化方案能够更加合理地捕捉到快速增长的分析误差的物理结构,更准确地再现数值模式预报误差的线性与非线性传播和演变特征。该局地化方案可以较好地改进预报质量,提高降水预报的准确率,尤其是针对小雨、中雨、暴雨量级的预报。相对于现有区域集合预报的业务系统GRAPES REPS,基于局地化ETKF初始扰动方案的区域集合预报具有较明显的优势。总体来看,LETKF初始扰动方案可更好地改善区域集合预报的质量。     

变分四维同化方法若干问题的数值试验

资料误差和模式误差都可能影响变分四维同化的结果,针对这一问题利用浅水方程模式进行了变分四维同化的数值模拟试验。试验分三种情况进行：（１）仅修正初始场,（２）仅修正模式;（３）二者同时修正。试验结果表明,当模式有误差时,传统的变分四维同化方法（仅修正初始场）可能将模式的误差混淆到初始场中去,尽管在同化期间可得到较好的拟合,但却不一定能保证同化后有好的预报。如果不修正初始场而修正模式,当模式误差不大时     

预分析初始扰动样本对降维投影四维变分同化性能的影响

降维投影四维变分同化(DRP-4DVar)方法的背景误差协方差是由基于历史预报的扰动样本统计得到的,为了改进降维投影四维变分同化系统中背景误差协方差的流依赖特性,提出了对初始扰动样本进行预分析的新思路,即在对背景场分析之前,利用降维投影四维变分同化系统本身对每个样本进行预先分析,使得统计出的背景误差协方差随实际的天气形势而变化,从而实现其在真正意义上的流依赖,且在循环同化时能够避免滤波发散现象的出现。试验结果表明,对样本进行预先分析能够通过改善同化系统中背景误差协方差的空间结构和流依赖特性,来进一步改进降维投影四维变分同化方法的性能,为数值模式提供更精确的初始场,从而提高了基本模式变量的预报精度,并改善了对强降水的模拟能力。相比较而言,对所有初始扰动样本都进行了预分析的同化试验能够得到最优的分析和预报。     

The impact of inhomogenous background errors on a global wave data assimilation system

One of the main limitations in current wave data assimilation systems is the lack of an accurate representation of the structure of the background errors. In this work, models for the observational error variance, background error variance and background error correlations are developed based on the results of previous studies. These are tested in a global wave data assimilation system and the resulting wave forecasts are verified against independent observations from buoys. Forecasts of significant wave height show substantial improvement over the Australian Bureau of Meteorology's current operational wave forecasting system. However, forecasts of peak period are not similarly improved. The regional impacts of the new assimilation scheme are found to vary on a seasonal basis. Overall, it is shown that the inclusion of a latitudinally dependent background error, and improved specification of the background and observational error variances can reduce the root-mean-square error of 24-hour forecast Significant Wave Height by almost 10%.     

EnKF协方差膨胀算法对雷达资料同化的影响研究

基于集合卡尔曼滤波(EnKF)方法同化模拟雷达径向风和回波,引入具有时空自适应理论优势的贝叶斯膨胀算法,通过与常数膨胀算法的对比,分析了两种协方差膨胀算法对EnKF同化效果的影响。结果表明:在对流区域的北侧,由贝叶斯膨胀算法分析得到的回波在水平和垂直结构上均增强;在对流区域,由贝叶斯膨胀算法分析得到的各变量的集合离散度增大,均方根误差减小,水平和垂直速度增大,冷池强度减弱;模拟还发现贝叶斯膨胀算法提高了强对流系统的模拟效果,回波强度增强,阵风锋区内水平和垂直风速增大。这表明贝叶斯膨胀算法有效地改进了基于常数膨胀算法的EnKF同化雷达资料的效果。     

资料同化中背景场位势高度误差统计分析的研究

在客观分析中,背景误差协方差对观测信息的传播和平滑、反映不同变量之间的关系有着非常重要的作用.构造合理的背景误差协方差矩阵对于同化系统至关重要,甚至会决定同化分析的好坏.作者主要利用观测余差方法,用T213预报资料和无线电探空观测资料统计我国区域的背景位势高度误差协方差样本,分析背景误差协方差场的结构特征和拟合误差场的空间分布.