The Regional Ocean Modeling System (ROMS) 4-dimensional variational data assimilation systems: Part II - Performance and application to the California Current System

The Regional Ocean Modeling System (ROMS) 4-dimensional variational (4D-Var) data assimilation systems have been systematically applied to the mesoscale circulation environment of the California Current to demonstrate the performance and practical utility of the various components of ROMS 4D-Var. In particular, we present a comparison of three approaches to 4D-Var, namely: the primal formulation of the incremental strong constraint approach; the dual formulation “physical-space statistical analysis system”; and the dual formulation indirect representer approach. In agreement with theoretical considerations all three approaches converge to the same ocean circulation estimate when using the same observations and prior information. However, the rate of convergence of the dual formulation was found to be inferior to that of the primal formulation. Other aspects of the 4D-Var performance that relate to the use of multiple outer-loops, preconditioning, and the weak constraint are also explored. A systematic evaluation of the impact of the various components of the 4D-Var control vector (i.e. the initial conditions, surface forcing and open boundary conditions) is also presented. It is shown that correcting for uncertainties in the model initial conditions exerts the largest influence on the ability of the model to fit the available observations. Various important diagnostics of 4D-Var are also examined, including estimates of the posterior error, the information content of the observation array, and innovation-based consistency checks on the prior error assumptions. Using these diagnostic tools, we find that more than 90% of the observations assimilated into the model provide redundant information. This is a symptom of the large percentage of satellite data that are used and to some extent the nature of the data processing employed. This is the second in a series of three papers describing the ROMS 4D-Var systems.     

Cycling the representer algorithm for variational data assimilation with a nonlinear reduced gravity ocean model

The representer method was used by [Ngodock, H.E., Jacobs, G.A., Chen, M., 2006. The representer method, the ensemble Kalman filter and the ensemble Kalman smoother: a comparison study using a nonlinear reduced gravity ocean model. Ocean Modelling 12, 378–400] in a comparison study with the ensemble Kalman filter and smoother involving a 1.5 nonlinear reduced gravity idealized ocean model simulating the Loop Current (LC) and the Loop Current eddies (LCE) in the Gulf of Mexico. It was reported that the representer method was more accurate than its ensemble counterparts, yet it had difficulties fitting the data in the last month of the 4-month assimilation window when the data density was significantly decreased. The authors attributed this failure to increased advective nonlinearities in the presence of an eddy shedding causing the tangent linear model (TLM) to become inaccurate. In a separate study [Ngodock, H.E., Smith, S.R., Jacobs, G.A., 2007. Cycling the representer algorithm for variational data assimilation with the Lorenz attractor. Monthly Weather Review 135 (2), 373–386] applied the cycling representer algorithm to the Lorenz attractor and demonstrated that the cycling solution was able to accurately fit the data within each cycle and beyond the range of accuracy of the TLM, once adjustments were made in the early cycles, thus overcoming the difficulties of the non-cycling solution. The cycling algorithm is used here in assimilation experiments with the nonlinear reduced gravity model. It is shown that the cycling solution overcomes the difficulties encountered by the non-cycling solution due to a limited time range of accuracy of the TLM. Thus, for variational assimilation applications where the TLM accuracy is limited in time, the cycling representer becomes a very powerful and attractive alternative, given that its computational cost is significantly lower than that of the non-cycling algorithm.     

The Regional Ocean Modeling System (ROMS) 4-dimensional variational data assimilation systems: Part I - System overview and formulation

The Regional Ocean Modeling System (ROMS) is one of the few community ocean general circulation models for which a 4-dimensional variational data assimilation (4D-Var) capability has been developed. The ROMS 4D-Var capability is unique in that three variants of 4D-Var are supported: a primal formulation of incremental strong constraint 4D-Var (I4D-Var), a dual formulation based on a physical-space statistical analysis system (4D-PSAS), and a dual formulation representer-based variant of 4D-Var (R4D-Var). In each case, ROMS is used in conjunction with available observations to identify a best estimate of the ocean circulation based on a set of a priori hypotheses about errors in the initial conditions, boundary conditions, surface forcing, and errors in the model in the case of 4D-PSAS and R4D-Var. In the primal formulation of I4D-Var the search for the best circulation estimate is performed in the full space of the model control vector, while for the dual formulations of 4D-PSAS and R4D-Var only the sub-space of linear functions of the model state vector spanned by the observations (i.e. the dual space) is searched. In oceanographic applications, the number of observations is typically much less than the dimension of the model control vector, so there are clear advantages to limiting the search to the space spanned by the observations. In the case of 4D-PSAS and R4D-Var, the strong constraint assumption (i.e. that the model is error free) can be relaxed leading to the so-called weak constraint formulation. This paper describes the three aforementioned variants of 4D-Var as they are implemented in ROMS. Critical components that are common to each approach are conjugate gradient descent, preconditioning, and error covariance models, which are also described. Finally, several powerful 4D-Var diagnostic tools are discussed, namely computation of posterior errors, eigenvector analysis of the posterior error covariance, observation impact, and observation sensitivity.     

The representer method, the ensemble Kalman filter and the ensemble Kalman smoother: A comparison study using a nonlinear reduced gravity ocean model

This paper compares contending advanced data assimilation algorithms using the same dynamical model and measurements. Assimilation experiments use the ensemble Kalman filter (EnKF), the ensemble Kalman smoother (EnKS) and the representer method involving a nonlinear model and synthetic measurements of a mesoscale eddy. Twin model experiments provide the “truth” and assimilated state. The difference between truth and assimilation state is a mispositioning of an eddy in the initial state affected by a temporal shift. The systems are constructed to represent the dynamics, error covariances and data density as similarly as possible, though because of the differing assumptions in the system derivations subtle differences do occur. The results reflect some of these differences in the tangent linear assumption made in the representer adjoint and the temporal covariance of the EnKF, which does not correct initial condition errors. These differences are assessed through the accuracy of each method as a function of measurement density. Results indicate that these methods are comparably accurate for sufficiently dense measurement networks; and each is able to correct the position of a purposefully misplaced mesoscale eddy. As measurement density is decreased, the EnKS and the representer method retain accuracy longer than the EnKF. While the representer method is more accurate than the sequential methods within the time period covered by the observations (particularly during the first part of the assimilation time), the representer method is less accurate during later times and during the forecast time period for sparse networks as the tangent linear assumption becomes less accurate. Furthermore, the representer method proves to be significantly more costly (2–4 times) than the EnKS and EnKF even with only a few outer iterations of the iterated indirect representer method.     

4DVAR Data Assimilation with the Regional Ocean Modeling System (ROMS): Impact on the Water Mass Distributions in the Yellow Sea

In this study, we evaluate the performance of the recently developed incremental strong constraint 4-dimensional variational (4DVAR) data assimilation applied to the Yellow Sea (YS) using the Regional Ocean Modeling System (ROMS). Two assimilation experiments are compared: assimilating remote-sensed sea surface temperature (SST) and both the SST and in-situ profiles measured by shipboard CTD casts into a regional ocean modeling from January to December of 2011. By comparing the two assimilation experiments against a free-run without data assimilation, we investigate how the assimilation affects the hydrographic structures in the YS. Results indicate that the SST assimilation notably improves the model behavior at the surface when compared to the non-assimilative free-run. The SST assimilation also has an impact on the subsurface water structure in the eastern YS; however, the improvement is seasonally dependent, that is, the correction becomes more effective in winter than in summer. This is due to a strong stratification in summer that prevents the assimilation of SST from affecting the subsurface temperature. A significant improvement to the subsurface temperature is made when the in-situ profiles of temperature and salinity are assimilated, forming a tongue-shaped YS bottom cold water from the YS toward the southwestern seas of Jeju Island.     

Towards a true 4‐dimensional data assimilation algorithm: application of a cycling representer algorithm to a simple transport problem

3‐dimensional variational algorithms are widely used for atmospheric data assimilation at the present time, particularly on the synoptic and global scales. However, mesoscale and convective scale phenomena are considerably more chaotic and intermittent and it is clear that true 4‐dimensional data assimilation algorithms will be required to properly analyze these phenomena. In its most general form, the data assimilation problem can be posed as the minimization of a 4‐dimensional cost function with the forecast model as a weak constraint. This is a much more difficult problem than the widely discussed 4DVAR algorithm where the model is a strong constraint. Bennett and collaborators have considered a method of solution to the weak constraint problem, based on representer theory. However, their method is not suitable for the numerical weather prediction problem, because it does not cycle in time. In this paper, the representer method is modified to permit cycling in time, in a manner which is entirely internally consistent. The method was applied to a simple 1‐dimensional constituent transport problem where the signal was sampled (perfectly and imperfectly) with various sparse observation network configurations. The cycling representer algorithm discussed here successfully extracted the signal from the noisy, sparse observations     

Time‐space weak‐constraint data assimilation for nonlinear models

A general perturbation–linearization scheme is proposed for the problem of data assimilation with an imperfect and nonlinear model, allowing for the application of the weak constraint representer method. The scheme is shown in discrete formalism for a generic model. An application example is given with computer‐generated data in the case of the Burgers equation. Discussion in reference to the assimilation example concerns: the rôle of the model error, seen as a forcing term in the dynamics; the rôle of representers as a posteriori error covariances; a comparison among different choices for a priori dynamic error variance and strong constraint assimilation. Weak and strong constraint methods are also compared in a forecasting experiment.     

Euler–Lagrange equations for the spectral element shallow water system

We present the derivation of the discrete Euler–Lagrange equations for an inverse spectral element ocean model based on the shallow water equations. We show that the discrete Euler–Lagrange equations can be obtained from the continuous Euler–Lagrange equations by using a correct combination of the weak and the strong forms of derivatives in the Galerkin integrals, and by changing the order with which elemental assembly and mass averaging are applied in the forward and in the adjoint systems. Our derivation can be extended to obtain an adjoint for any Galerkin finite element and spectral element system.We begin the derivations using a linear wave equation in one dimension. We then apply our technique to a two-dimensional shallow water ocean model and test it on a classic double-gyre problem. The spectral element forward and adjoint ocean models can be used in a variety of inverse applications, ranging from traditional data assimilation and parameter estimation, to the less traditional model sensitivity and stability analyses, and ensemble prediction. Here the Euler–Lagrange equations are solved by an indirect representer algorithm.     

Data assimilation with a barotropically unstable shallow water system using representer algorithms

The cycling representer algorithm of Xu and Daley (2000) is a weak constraint four-dimensional variational data assimilation algorithm. It was successfully applied to a one-dimensional transport problem and was able to successfully extract the signal from noisy and sparse observations. The algorithm, however, has not previously been applied to a multivariate, multidimensional system with dynamic instability. The algorithm is also very computationally demanding and awaits considerable enhancement in computer power before being practical for operational forecast models. We have two objectives in this paper. The first is to apply the cycling representer algorithm to a two-dimensional, multivariate barotropically unstable linear shallow water system. The second objective is to formulate and test an accelerated representer algorithm that is much more computationally tractable than the cycling representer algorithm itself. A linear shallow water system with a barotropically unstable basic state was used as a test bed to conduct data assimilation experiments. The evolution of a 'neutral' eastward-propagating singular vector was selected as the 'truth', against which all data assimilation experiments were to be evaluated. The results indicated that the cycling representer algorithm was capable of providing satisfying state estimates for a multivariate, multidimensional system. The results from the accelerated representer algorithm were very encouraging because it is sufficiently computationally tractable to be used on present day multi-processor machines for operational applications.     

南海及周边海域风浪流耦合同化精细化数值预报与信息服务系统简介

面向社会需求,建立覆盖南海及周边海域的高分辨率风-浪-流耦合同化数值预报与信息服务系统。系统包含耦合同化数值预报模式、海洋动力环境数据库与可视化平台两部分。其中,耦合同化数值预报模式由中尺度大气数值预报模式、海浪数值预报模式和区域海洋环流数值模式,在C-Coupler耦合器中进行耦合,引入集合调整Kalman滤波同化模块,在耦合预报前进行大气、海浪和海流的同化后报模拟,为耦合预报模式提供更为精确的初始场。预报结果经海洋动力环境数据库和可视化平台处理后,通过二维和三维可视化展示,向用户提供直观的南海及周边海域海洋环境预报产品。     

Cycling the representer algorithm for variational data assimilation with a nonlinear reduced gravity ocean model

The representer method was used by [Ngodock, H.E., Jacobs, G.A., Chen, M., 2006. The representer method, the ensemble Kalman filter and the ensemble Kalman smoother: a comparison study using a nonlinear reduced gravity ocean model. Ocean Modelling 12, 378–400] in a comparison study with the ensemble Kalman filter and smoother involving a 1.5 nonlinear reduced gravity idealized ocean model simulating the Loop Current (LC) and the Loop Current eddies (LCE) in the Gulf of Mexico. It was reported that the representer method was more accurate than its ensemble counterparts, yet it had difficulties fitting the data in the last month of the 4-month assimilation window when the data density was significantly decreased. The authors attributed this failure to increased advective nonlinearities in the presence of an eddy shedding causing the tangent linear model (TLM) to become inaccurate. In a separate study [Ngodock, H.E., Smith, S.R., Jacobs, G.A., 2007. Cycling the representer algorithm for variational data assimilation with the Lorenz attractor. Monthly Weather Review 135 (2), 373–386] applied the cycling representer algorithm to the Lorenz attractor and demonstrated that the cycling solution was able to accurately fit the data within each cycle and beyond the range of accuracy of the TLM, once adjustments were made in the early cycles, thus overcoming the difficulties of the non-cycling solution. The cycling algorithm is used here in assimilation experiments with the nonlinear reduced gravity model. It is shown that the cycling solution overcomes the difficulties encountered by the non-cycling solution due to a limited time range of accuracy of the TLM. Thus, for variational assimilation applications where the TLM accuracy is limited in time, the cycling representer becomes a very powerful and attractive alternative, given that its computational cost is significantly lower than that of the non-cycling algorithm.     

4DVAR data assimilation in the Intra-Americas Sea with the Regional Ocean Modeling System (ROMS)

We present the background, development, and preparation of a state-of-the-art 4D variational (4DVAR) data assimilation system in the Regional Ocean Modeling System (ROMS) with an application in the Intra-Americas Sea (IAS). This initial application with a coarse model shows the efficacy of the 4DVAR methodology for use within complex ocean environments, and serves as preparation for deploying an operational, real-time assimilation system onboard the Royal Caribbean Cruise Lines ship Explorer of the Seas. Assimilating satellite sea surface height and temperature observations with in situ data from the ship in 14 day cycles over 2 years from January 2005 through March 2007, reduces the observation-model misfit by over 75%. Using measures of the Loop Current dynamics, we show that the assimilated solution is consistent with observed statistics.     

4DVAR data assimilation in the Intra-Americas Sea with the Regional Ocean Modeling System (ROMS)

We present the background, development, and preparation of a state-of-the-art 4D variational (4DVAR) data assimilation system in the Regional Ocean Modeling System (ROMS) with an application in the Intra-Americas Sea (IAS). This initial application with a coarse model shows the efficacy of the 4DVAR methodology for use within complex ocean environments, and serves as preparation for deploying an operational, real-time assimilation system onboard the Royal Caribbean Cruise Lines ship Explorer of the Seas. Assimilating satellite sea surface height and temperature observations with in situ data from the ship in 14 day cycles over 2 years from January 2005 through March 2007, reduces the observation-model misfit by over 75%. Using measures of the Loop Current dynamics, we show that the assimilated solution is consistent with observed statistics.     

基于ROMS和4DVAR的沿轨与网格化SSH数据同化效果评价

Remote sensing products are significant in the data assimilation of an ocean model. Considering the resolution and space coverage of different remote sensing data, two types of sea surface height(SSH) product are employed in the assimilation, including the gridded products from AVISO and the original along-track observations used in the generation. To explore their impact on the assimilation results, an experiment focus on the South China Sea(SCS) is conducted based on the Regional Ocean Modeling System(ROMS) and the four-dimensional variational data assimilation(4 DVAR) technology. The comparison with EN4 data set and Argo profile indicates that, the along-track SSH assimilation result presents to be more accurate than the gridded SSH assimilation, because some noises may have been introduced in the merging process. Moreover, the mesoscale eddy detection capability of the assimilation results is analyzed by a vector geometry–based algorithm. It is verified that, the assimilation of the gridded SSH shows superiority in describing the eddy's characteristics, since the complete structure of the ocean surface has been reconstructed by the original data merging.     

基于四维变分同化方法的南海中尺度涡后报实验

海洋中尺度涡在本质上是属于满足准地转平衡的大尺度运动,因此理论上,其在短时间内的运动将主要受到准地转平衡关系的约束,而外部强迫场的影响在短期内不会明显改变其运动特征。基于上述思想,我们提出了一种基于四维变分同化初始场的中尺度涡旋预报方案。为了检验该方案的可行性,本文使用区域海洋模式(regional ocean modeling system, ROMS)和其内建的增量强约束四维变分同化(incremental strong constraint four dimensional variational, I4D-Var)模块,建立了一个南海海洋同化模拟系统。首先,通过I4D-Var方法将AVISO卫星高度计资料同化到海洋数值模拟中,获得了理想的中尺度涡同化模拟结果。同化、模式模拟和观测三者的中尺度涡统计结果表明,该同化系统模拟的南海中尺度涡的路径、半径、海表高度异常和振幅等特征信息与AVISO(Archiving ValidationandInterpolationofSatelliteOceanographicData)观测结果高度吻合,同时在深度上的分析表明,涡旋对应的温度、盐度和密度均得到有效的调整。然后,将该同化系统的模拟结果做为初始场,对某一特定时段的南海中尺度涡进行了后报模拟和结果的定量化分析。通过比较后报模拟与观测资料中对应涡旋的海表面高度异常(sea surface height anomalies, SSHA)相关系数、涡心差距和半径绝对误差,证明该方案的中尺度涡后报时效至少可达10 d以上。后报实验结果验证了该中尺度涡预报方案的可行性,从而为中尺度涡的预报提供一定的理论基础和可行性方案。     

基于ROMS模式利用集合最优插值同化沿轨海表面高度异常数据的研究

The ensemble optimal interpolation （EnOI） is applied to the regional ocean modeling system （ROMS） with the ability to assimilate the along-track sea level anomaly （TSLA）. This system is tested with an eddy-resolving system of the South China Sea （SCS）. Background errors are derived from a running seasonal ensemble to account for the seasonal variability within the SCS. A fifth-order localization function with a 250 km localization radius is chosen to reduce the negative effects of sampling errors. The data assimilation system is tested from January 2004 to December 2006. The results show that the root mean square deviation （RMSD） of the sea level anomaly decreased from 10.57 to 6.70 cm, which represents a 36.6% reduction of error. The data assimilation reduces error for temperature within the upper 800 m and for salinity within the upper 200 m, although error degrades slightly at deeper depths. Surface currents are in better agreement with trajectories of surface drifters after data assimilation. The variance of sea level improves significantly in terms of both the amplitude and position of the strong and weak variance regions after assimilating TSLA. Results with AGE error （AGE） perform better than no AGE error （NoAGE） when considering the improvements of the temperature and the salinity. Furthermore, reasons for the extremely strong variability in the northern SCS in high resolution models are investigated. The results demonstrate that the strong variability of sea level in the high resolution model is caused by an extremely strong Kuroshio intrusion. Therefore, it is demonstrated that it is necessary to assimilate the TSLA in order to better simulate the SCS with high resolution models.     

基于三层嵌套网格的珠江口冬季盐度层化的数值模拟

运用三层嵌套网格的ROMS模式较好地模拟了2009年冬季珠江口的主要水动力过程和盐度分布。结果表明,珠江口盐度层化具有明显的潮周期变化特征,涨潮时表底层盐度差较小,层化较弱;落潮时层化较强。利用势能异常变化平衡方程分析影响层化的贡献项,结果表明势能异常的平流项和应变项是影响珠江口势能异常变化的主要因素。     

The Regional Ocean Modeling System (ROMS) 4-dimensional variational data assimilation systems: Part III - Observation impact and observation sensitivity in the California Current System

The critical role played by observations during ocean data assimilation was explored when the Regional Ocean Modeling System (ROMS) 4-dimensional variational (4D-Var) data assimilation system was applied sequentially to the California Current circulation. The adjoint of the 4D-Var gain matrix was used to quantify the impact of individual observations and observation platforms on different aspects of the 4D-Var circulation estimates during both analysis and subsequent forecast cycles. In this study we focus on the alongshore and cross-shore transport of the California Current System associated with wind-induced coastal upwelling along the central California coast. The majority of the observations available during any given analysis cycle are from satellite platforms in the form of SST and SSH, and on average these data exert the largest controlling influence on the analysis increments and forecast skill of coastal transport. However, subsurface in situ observations from Argo floats, CTDs, XBTs and tagged marine mammals often have a considerable impact on analyses and forecasts of coastal transport, even though these observations represent a relatively small fraction of the available data at any particular time.During 4D-Var the observations are used to correct for uncertainties in the model control variables, namely the initial conditions, surface forcing, and open boundary conditions. It is found that correcting for uncertainties in both the initial conditions and surface forcing has the largest impact on the analysis increments in alongshore transport, while the cross-shore transport is controlled mainly by the surface forcing. The memory of the circulation associated with the control variable increments was also explored in relation to 7 day forecasts of the coastal circulation. Despite the importance of correcting for surface forcing uncertainties during analysis cycles, the coastal transport during forecast cycles initialized from the analyses has less memory of the surface forcing corrections, and is controlled primarily by the analysis initial conditions.Using the adjoint of the entire 4D-Var system we have also explored the sensitivity of the coastal transport to changes in the observations and the observation array. A single integration of the adjoint of 4D-Var can be used to predict the change that occurs when observations from different platforms are omitted from the 4D-Var analysis. Thus observing system experiments can be performed for each data assimilation cycle at a fraction of the computational cost that would be required to repeat the 4D-Var analyses when observations are withheld. This is the third part of a three part series describing the ROMS 4D-Var systems.     

Corrections to ocean surface forcing in the California Current System using 4D variational data assimilation

The option for surface forcing correction, recently developed in the 4D-variational (4DVAR) data assimilation systems of the Regional Ocean Model System (ROMS), is presented. Assimilation of remotely-sensed (satellite sea surface height anomaly and sea surface temperature) and in situ (from mechanical and expendable bathythermographs, Argo floats and CTD profiles) oceanic observations has been applied in a realistic, high resolution configuration of the California Current System (CCS) to sequentially correct model initial conditions and surface forcing, using the Incremental Strong constraint version of ROMS-4DVAR (ROMS-IS4DVAR). Results from both twin and real data experiments are presented where it is demonstrated that ROMS-IS4DVAR always reduces the difference between the model and the observations that are assimilated. However, without corrections to the surface forcing, the assimilation of surface data can degrade the temperature structure at depth. When using surface forcing adjustment in ROMS-IS4DVAR the system does not degrade the temperature structure at depth, because differences between the model and surface observations can be reduced through corrections to surface forcing rather than to temperature at depth. However, corrections to surface forcing can generate abnormal spatial and temporal variability in the structure of the wind stress or surface heat flux fields if not properly constrained. This behavior can be partially controlled via the choice of decorrelation length scales that are assumed for the forcing errors. Abnormal forcing corrections may also arise due to the effects of model error which are not accounted for in IS4DVAR. In particular, data assimilation tends to weaken the alongshore wind stress in an attempt to reduce the rate of coastal upwelling, which seems to be too strong due to other sources of error. However, corrections to wind stress and surface heat flux improve systematically the ocean state analyses. Trends in the correction of surface heat fluxes indicate that, given the ocean model used and its potential limitations, the heat flux data from the Coupled Ocean–Atmosphere Mesoscale Prediction System (COAMPS) used to impose surface conditions in the model are generally too low except in spring-summer, in the upwelling region, where they are too high. Comparisons with independent data provide confidence in the resulting forecast ocean circulation on timescales ～14 days, with less than 1.5 °C, 0.3 psu, and 9 cm RMS error in temperature, salinity and sea surface height anomaly, respectively, compared to observations.