一种新的基于模糊分析观测信息的局地化方法

地球表层系统是一个极其复杂的巨系统,为了更精确地表达地球表层系统各种过程的动态演进,解决数据同化系统观测误差的估计与处理已经成为地球科学领域备受关注的问题之一。在地球科学系统数值模拟中,一般采用集合数据同化来探讨地学变量预报时的各种误差。集合类卡尔曼滤波通常会由于集合数过小而带来欠采样、协方差低估、滤波发散和远距离虚假相关等问题。针对背景误差协方差被低估问题,局地分析方法（Local Analysis, LA）在一定程度上能起到抑制作用,但无法彻底解决背景误差协方差的虚假相关问题。因此,本文在集合卡尔曼滤波的算法框架下提出了一种与模糊逻辑控制算法相耦合的局地化分析方法（Fuzzy Analysis, FA）。在强非线性Lorenz-96模型中,对不同模型误差下的LA和FA方法进行了性能优劣方面的探讨,并比较分析了2种方法在集合数、观测数和观测位置、放大因子以及强迫参数变化时的同化性能。实验采用均方根误差作为算法评判依据,同时用功率谱密度（Power Spectral Density, PSD）更直接地对2种算法性能优劣作出了评价。结果表明：在完美模型下,FA相对于LA降低了17.5%的均方根误差（Root Mean Square Error, RMSE）;随着模型误差增大,RMSE减小的百分比和减小幅度都在降低;在严重模型误差下,FA降低了8.6%的RMSE。总体而言,新算法FA的有效性和鲁棒性都得到了验证,并且在EnKF同化基础下有效改进了传统的局地化分析方案,优化了观测误差处理,为今后的数据同化研究提供了一个较为全面的观测误差研究平台。     

A methodology for estimating Leaf Area Index by assimilating remote sensing data into crop model based on temporal and spatial knowledge

In this paper,a methodology for Leaf Area Index(LAI) estimating was proposed by assimilating remote sensed data into crop model based on temporal and spatial knowledge.Firstly,sensitive parameters of crop model were calibrated by Shuffled Complex Evolution method developed at the University of Arizona(SCE-UA) optimization method based on phenological information,which is called temporal knowledge.The calibrated crop model will be used as the forecast operator.Then,the Taylor′s mean value theorem was applied to extracting spatial information from the Moderate Resolution Imaging Spectroradiometer(MODIS) multi-scale data,which was used to calibrate the LAI inversion results by A two-layer Canopy Reflectance Model(ACRM) model.The calibrated LAI result was used as the observation operator.Finally,an Ensemble Kalman Filter(EnKF) was used to assimilate MODIS data into crop model.The results showed that the method could significantly improve the estimation accuracy of LAI and the simulated curves of LAI more conform to the crop growth situation closely comparing with MODIS LAI products.The root mean square error(RMSE) of LAI calculated by assimilation is 0.9185 which is reduced by 58.7% compared with that by simulation(0.3795),and before and after assimilation the mean error is reduced by 92.6% which is from 0.3563 to 0.0265.All these experiments indicated that the methodology proposed in this paper is reasonable and accurate for estimating crop LAI.     

Assimilating ASAR data for estimating soil moisture profile using an ensemble Kalman filter

Active microwave remote sensing data were used to calculate the near-surface soil moisture in the vegetated areas. In this study, Advanced Synthetic Aperture Radar （ASAR） observations of surface soil moisture content were used in a data assimilation framework to improve the estimation of the soil moisture profile at the middle reaches of the Heihe River Basin, Northwest China. A one-dimensional soil moisture assimilation system based on the ensemble Kalman filter （EnKF）, the forward radiative transfer model, crop model, and the Distributed Hydrology-Soil-Vegetation Model （DHSVM） was developed. The crop model, as a semi-empirical model, was used to estimate the surface backscattering of vegetated areas. The DHSVM is a distributed hydrology-vegetation model that explicitly represents the effects of topography and vegetation on water fluxes through the landscape. Numerical experiments were con- ducted to assimilate the ASAR data into the DHSVM and in situ soil moisture at the middle reaches of the Heihe River Basin from June 20 to July 15, 2008. The results indicated that EnKF is effective for assimilating ASAR observations into the hydrological model. Compared with the simulation and in situ observations, the assimilated results were significantly improved in the surface layer and root layer, and the soil moisture varied slightly in the deep layer. Additionally, EnKF is an efficient approach to handle the strongly nonlinear problem which is practical and effective for soil moisture estimation by assimilation of remote sensing data. Moreover, to improve the assimilation results, further studies on obtaining more reliable forcing data and model parameters and increasing the efficiency and accuracy of the remote sensing observations are needed, also improving estimation accuracy of model operator is important.     

Assimilation of ASAR data with a hydrologic and semi-empirical backscattering coupled model to estimate soil moisture

The most promising approach for studying soil moisture is the assimilation of observation data and computational modeling.However,there is much uncertainty in the assimilation process,which affects the assimilation results.This research developed a one-dimensional soil moisture assimilation scheme based on the Ensemble Kalman Filter(EnKF)and Genetic Algorithm(GA).A two-dimensional hydrologic model-Distributed Hydrology-Soil-Vegetation Model(DHSVM)was coupled with a semi-empirical backscattering model(Oh).The Advanced Synthetic Apertture Radar(ASAR)data were assimilated with this coupled model and the field observation data were used to validate this scheme in the soil moisture assimilation experiment.In order to improve the assimilation results,a cost function was set up based on the distance between the simulated backscattering coefficient from the coupled model and the observed backscattering coefficient from ASAR.The EnKF and GA were used to re-initialize and re-parameterize the simulation process,respectively.The assimilation results were compared with the free-run simulations from hydrologic model and the field observation data.The results obtained indicate that this assimilation scheme is practical and it can improve the accuracy of soil moisture estimation significantly.     

局地化方法在集合转换卡尔曼滤波同化的适用性研究

为了探索协方差局地化（Covariance Localization,CL）方法在集合转换卡尔曼滤波（Ensemble Transform Kalman Filter,     

A background error covariance model of significant wave height employing Monte Carlo simulation

The quality of background error statistics is one of the key components for successful assimilation of observations in a numerical model.The background error covariance(BEC) of ocean waves is generally estimated under an assumption that it is stationary over a period of time and uniform over a domain.However,error statistics are in fact functions of the physical processes governing the meteorological situation and vary with the wave condition.In this paper,we simulated the BEC of the significant wave height(SWH) employing Monte Carlo methods.An interesting result is that the BEC varies consistently with the mean wave direction(MWD).In the model domain,the BEC of the SWH decreases significantly when the MWD changes abruptly.A new BEC model of the SWH based on the correlation between the BEC and MWD was then developed.A case study of regional data assimilation was performed,where the SWH observations of buoy 22001 were used to assess the SWH hindcast.The results show that the new BEC model benefits wave prediction and allows reasonable approximations of anisotropy and inhomogeneous errors.     

同化叶面积指数和蒸散发双变量的冬小麦产量估测方法

同化遥感信息到作物生长过程模拟模型,是估测区域作物产量的重要方法之一。同化变量的选取对同化结果精度至关重要。本文在标定WOFOST作物模型参数的基础上,优化了WOFOST模型的默认灌溉参数。利用ET和LAI作为同化变量,分别构建了时间序列趋势信息的代价函数和四维变分代价函数;采用SCE-UA算法最小化代价函数, 重新初始化WOFOST模型初始参数——作物初始干物质重、作物35 ℃生命期和灌溉量。最后利用MODIS LAI产品（MCD15A3）、MODIS ET产品（MOD16A2）,同化到作物模型估测产量,并对比分析了水分胁迫模式下同化单变量（ET或LAI）和同化双变量（ET和LAI）的估产精度。结果表明：同化双变量ET和LAI的策略,优于同化单变量LAI或ET,双变量策略的冬小麦产量估测精度为R²=0.432,RMSE=721 kg/hm²;单独同化高精度LAI对提高估产精度具有重要作用,其冬小麦产量估测精度为R²=0.408,RMSE=925 kg/hm²;单独同化ET的趋势信息改善了WOFOST模型模拟水分平衡的参数,但是,产量估测精度（R²=0.013,RMSE=1134 kg/hm²）与模型模拟估测产量精度（R²=0.006,RMSE=1210 kg/hm²）相比改善效果有限。本研究为其他区域的遥感数据与作物模型的双变量数据同化的作物产量估测研究提供了参考价值。     

Assimilation of high frequency radar data into a shelf sea circulation model

High Frequency (HF) radar current data is assimilated into a shelf sea circulation model based on optimal interpolation (OI) method. The purpose of this work is to develop a real-time computationally highly efficient assimilation method to improve the forecast of shelf current. Since the true state of the ocean is not known, the specification of background error covariance is arduous. Usually, it is assumed or calculated from an ensemble of model states and is kept in constant. In our method, the spatial covariances of model forecast errors are derived from differences between the adjacent model forecast fields, which serve as the forecast tendencies. The assumption behind this is that forecast errors can resemble forecast tendencies, since variances are large when fields change quickly and small when fields change slowly. The implementation of HF radar data assimilation is found to yield good information for analyses. After assimilation, the root-mean-square error of model decreases significantly. Besides, three assimilation runs with variational observation density are implemented. The comparison of them indicates that the pattern described by observations is much more important than the amount of observations. It is more useful to expand the scope of observations than to increase the spatial interval. From our tests, the spatial interval of observation can be 5 times bigger than that of model grid.     

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基于MRPs无陀螺卫星姿态确定的抗差估计算法

针对精确航天器姿态问题,采用修正罗德里格参数(MRPs)表示姿态,用动力学方程进行角速率的传播,分别基于等价协方差和观测残差统计特性的协方差调整方法,实现UKF算法的抗差效果,并通过仿真验证该方法的有效性。仿真结果表明：在含有粗差的情况下,两种抗差UKF算法均能得到稳定的状态估计值,而第二种方法计算效率更高。     

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基于Cubist模型树的城市不透水面百分比遥感估算模型

不透水面是城市区域中一种典型的土地覆盖类型,是衡量城市环境质量和城市化水平的重要标志之一。与传统基于像元级的遥感研究方法相比,不透水面百分比（Impervious Surface Percent,ISP）的估算可以进入像元内部,获得更准确的城市信息。本文应用Cubist模型树,对Landsat TM的原始波段变量（除热红外波段）,建立ISP估算的基础模型（Base Cubist-ISP）。通过基于模型树的集成学习优化算法和加入相邻时相影像的波段变量中值,以削弱噪声的影响。然后,优选热红外波段和各种衍生变量,并进行属性精简,继而应用集成学习算法得到的参数和精简后的变量建立ISP估算的优化模型（Optimal Cubist-ISP）。对广东省广州市海珠区的实验结果表明,Optimal Cubist-ISP模型估算不透水面的整体均方根误差（RMSE）为12.98%,决定系数（R²）为0.90,精度明显优于Base Cubist-ISP模型,RMSE降低约5.03%,ISP在透水面区域被高估和高密度不透水面区域被低估的现象得到改善。本文提出的基于Cubist模型树建立ISP遥感估算的模型及优化方法可以适用于城市区ISP的提取。     

基于多视线向D-InSAR技术的三维地表形变抗差解算方法

针对粗差对多源InSAR数据三维地表形变解算的影响,提出一种基于多视线向D-InSAR技术的三维地表形变抗差解算方法。该方法利用多视线向D-InSAR地表形变监测数据,在最小二乘原则的基础上实现InSAR三维地表形变解算,获取平差观测量的残差,建立最小二乘残差与观测量单位权方差的函数关系,并通过计算出的单位权方差对InSAR地表形变观测量进行定权;基于等价权原理,选用IGGⅢ权函数实现三维地表形变的抗差解算。最后,以2009年意大利拉奎拉地区地震为例,对该解算方法的可行性和精度进行验证。结果表明,该方法可以获取可靠的解算结果。     

基于奇异谱分析的GNSS坐标时间序列粗差探测与噪声估计

考虑到传统谐波模型难以精确描述GNSS坐标时间序列的非线性变化,导致信号和噪声不能很好地分离,进一步影响粗差探测和噪声估计,本文提出一种基于奇异谱分析的粗差探测与噪声估计算法。首先采用奇异谱分析方法分离出GNSS坐标时间序列中的信号与噪声,然后基于IQR准则探测噪声中的粗差,最后采用最小二乘方差分量估计（LS_VCE）方法定量估计各噪声分量。算例表明,相比于传统基于谐波模型的算法,该算法的粗差探测准确率更高,且估计的噪声分量与真值更接近。     

GPS高程异常拟合的稳健总体最小二乘算法

为解决控制点平面坐标与高程异常值中均含有误差的情况下求解模型参数的问题,对应用总体最小二乘算法(TLS)建立G-M模型求解拟合模型参数的方法进行讨论,重点对应用稳健总体最小二乘算法解决控制点之间观测值精度不等对参数求解有影响的问题进行探讨。对基于稳健估计思想的TLS迭代定权算法进行讨论,并通过算例与其他两种算法进行比较。结果表明,基于稳健估计的TLS算法能更好地解决含有误差的控制点已知坐标对GPS高程拟合模型参数求解有影响的问题。     

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基于协方差函数的点坐标拟合推估算法

应用空间转换模型实现坐标系统的转换。根据转换区域内已知公共点在转换后的残差,用Reilly函数建立协方差函数。在协方差函数的基础上,拟合点坐标随机性部分的残差值。算例表明,应用协方差函数对点坐标进行拟合推估,点坐标值更趋近真值。     

正则化方法的统一

对最小二乘估计作线性变换,使得新估计是真值的最优拟合,并且包含模型参数的先验误差协方差阵。从滤波因子的角度对正则化方法进行统一,提供了常见的Tikhonov正则化方法、截断奇异值法、广义岭回归方法等的滤波因子与对应的误差协方差阵的特征值。