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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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At least 397 records · Page 22
All sourcesNASA NTRSDOE OSTI
DOE OSTI2023

Voltage‐Modulated Untwist Deformations and Multispectral Optical Effects from Ion Intercalation into Chiral Ceramic Nanoparticles

Abstract Reconfiguration of chiral ceramic nanostructures after ion intercalation should favor specific nanoscale twists leading to strong chiroptical effects. In this work, V 2 O 3 nanoparticles are shown to have “built‐in” chiral distortions caused by binding of tartaric acid enantiomers to the nanoparticle surface. As evidenced by spectroscopy/microscopy techniques and calculations of nanoscale chirality measures, the intercalation of Zn 2+ ions into the V 2 O 3 lattice results in particle expansion, untwist deformations, and chirality reduction. Coherent deformations in the particle ensemble manifest as changes in sign and positions of circular polarization bands at ultraviolet, visible, mid‐infrared (IR), near‐IR (NIR), and IR wavelengths. The g‐ factors observed for IR and NIR spectral diapasons are ≈100–400 times higher than those for previously reported dielectric, semiconductor, and plasmonic nanoparticles. Nanocomposite films layer‐by‐layer assembled (LBL) from V 2 O 3 nanoparticles reveal cyclic‐voltage‐driven modulation of optical activity. Device prototypes for IR and NIR range problematic for liquid crystals and other organic materials are demonstrated. High optical activity, synthetic simplicity, sustainable processability, and environmental robustness of the chiral LBL nanocomposites provide a versatile platform for photonic devices. Similar reconfigurations of particle shapes are expected for multiple chiral ceramic nanostructures, leading to unique optical, electrical, and magnetic properties.

36 MATERIALS SCIENCE↗
DOE OSTI2021

Real-Time Alignment and Reorientation of Polymer Chains in Liquid Crystal Elastomers

Liquid crystal elastomers (LCEs) exhibit soft elasticity due to the alignment and reorientation of mesogens upon mechanical loading, which provides additional mechanisms to absorb and dissipate energy. This enhanced response makes LCEs potentially transformative materials for biomedical devices, tissue replacements, and protective equipment. However, there is a critical knowledge gap in understanding the highly rate-dependent dissipative behaviors of LCEs due to the lack of real-time characterization techniques that probe the microscale network structure and link it to the mechanical deformation of LCEs. In this work, we employ in situ optical measurements to evaluate the alignment and reorientation degree of mesogens in LCEs. The data are correlated to the quantitative physical analysis using polarized Fourier-transform infrared spectroscopy. The time scale of mesogen alignment is determined at different strain levels and loading rates. The mesogen reorientation kinetics is characterized to establish its relationship with the macroscale tensile strain, and compared to theoretical predictions. Overall, this work provides the first detailed study on the time-dependent evolution of mesogen alignment and reorientation in deformed LCEs. It also provides an effective and more accessible approach for other researchers to investigate the structural-property relationships of different types of polymers.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2025

Dark Energy Survey Year 6 results: cell-based coadds and METADETECTION weak lensing shape catalogue

We present the metadetection weak lensing galaxy shape catalogue from the 6-yr Dark Energy Survey (DES Y6) imaging data. This data set is the final release from DES, spanning 4422 deg 2 of the southern sky. We describe how the catalogue was constructed, including the two new major processing steps, cell-based image coaddition, and shear measurements with metadetection. The DES Y6 M etadetection weak lensing shape catalogue consists of 151 922 791 galaxies detected over riz bands, with an effective number density of n eff = 8.22 galaxies per arcmin 2 and shape noise of σ e = 0.29. We carry out a suite of validation tests on the catalogue, including testing for point spread function (PSF) leakage, testing for the impact of PSF modelling errors, and testing the correlation of the shear measurements with galaxy, PSF, and survey properties. In addition to demonstrating that our catalogue is robust for weak lensing science, we use the DES Y6 image simulation suite to estimate the overall multiplicative shear bias of our shear measurement pipeline. We find no detectable multiplicative bias at the roughly half-per cent level, with m = (3.4 ± 6.1) x 10 –3 , at 3σ uncertainty. This is the first time both cell-based coaddition and Metadetection algorithms are applied to observational data, paving the way to the Stage-IV weak lensing surveys.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2023

Applying NIR and MIR spectroscopy for C and soil property prediction in northern cold-region ecosystems. Which approach works better?

Here, developing reliable predictions of soil attributes is necessary to understand northern cold-region climate-soil feedback. Calibration models using near-infrared (NIR) and mid-infrared (MIR) spectroscopy were developed to predict eight commonly measured soil properties for 119 soil samples representing a range of vegetation types, parent materials, and soil types spanning >23° of latitude from southeast Alaska to the Canadian high Arctic. In order to obtain a more accurate prediction, this study compared the performance of linear and non-linear calibration techniques, including lasso regression (Lasso), support vector machine (SVM), random forest (RF) and classic partial least squares (PLS) to predict different soil properties of these soils. Comparing the four models, we noticed that their performance was quite similar for MIR overall, while NIR achieved better results with a PLS model for our dataset. PLS coupled with MIR showed a better performance for soil parameters, such as total organic carbon (TOC), total nitrogen (TN), cation exchange capacity (CEC) and clay (R-squared of 0.9, 0.81, 0.80, and 0.84) when compared with NIR (R-squared of 0.85, 0.72, 0.81 and 0.68). However, using either MIR or NIR spectroscopy, PLS predictions for bulk density (BD) and sand content were not accurate. The variable importance analysis based on the PLS model successfully estimated the relative contribution of wavelengths influencing soil property predictions most. Overall, TOC, TN, CEC and clay mineral predictions are closely related to the occurrence of specific spectral bands in the MIR region. For example, wavelengths at 2978 and 1761 cm -1 for TOC and TN, as well as at 3064 cm -1 for CEC, were selected as the most influential predictor variables. We demonstrated that MIR spectroscopy is a powerful tool for more extensive monitoring in soils of the northern cold climate region; however, NIR could be utilized for rapid estimates when the highest accuracy is not essential.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2026

Hierarchical Epoxy Structures via Tunable Polymerization-Induced Phase Separation Combined with Additive Manufacturing

Polymerization-induced phase separation (PIPS) allows for the control of thermoset morphologies and properties, enabling the tuning of domain sizes and thermomechanical response. However, its use in generating substructural features in additively manufactured materials has been limited. In this work, we combine epoxy PIPS with UV curable acrylate and rheological modifiers to print nano- to macro-phase separating materials via a two-step, dual-cure approach. This method enables direct ink write printing of hierarchical structures with both controlled morphologies through phase separation and macroscale architecture through print design. We find that formulations for phase-separating materials require judicious incorporation of additives to enable printability and to provide sufficient green strength. Atomic force microscopy-nano infrared mapping reveals tunable, reticulated nano- to micron-scale domains of the resultant multiphase materials and their morphology changes due to additives, resulting in alterations to thermomechanical and tensile properties. Shape memory behavior is also demonstrated through multimaterial additive manufacturing of epoxies with functionally graded internal morphology using active mixing techniques, highlighting this method’s ability to fabricate complex architectures with controlled morphologies and thermomechanical response.

Van Meter, Kylie E [Organic Materials Science, San↗
DOE OSTI2024

JWST lensed quasar dark matter survey – I. Description and first results

ABSTRACT The flux ratios of gravitationally lensed quasars provide a powerful probe of the nature of dark matter. Importantly, these ratios are sensitive to small-scale structure, irrespective of the presence of baryons. This sensitivity may allow us to study the halo mass function even below the scales where galaxies form observable stars. For accurate measurements, it is essential that the quasar’s light is emitted from a physical region of the quasar with an angular scale of milliarcseconds or larger; this minimizes microlensing effects by stars within the deflector. The warm dust region of quasars fits this criterion, as it has parsec-size physical scales and dominates the spectral energy distribution of quasars at wavelengths greater than 10 μm. The JWST Mid-Infrared Instrument is adept at detecting redshifted light in this wavelength range, offering both the spatial resolution and sensitivity required for accurate gravitational lensing flux ratio measurements. Here, we introduce our survey designed to measure the warm dust flux ratios of 31 lensed quasars. We discuss the flux-ratio measurement technique and present results for the first target, DES J0405-3308. We find that we can measure the quasar warm dust flux ratios with 3 per cent precision. Our simulations suggest that this precision makes it feasible to detect the presence of 107 M⊙ dark matter haloes at cosmological distances. Such haloes are expected to be completely dark in cold dark matter models.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2023

Integrating LEO and GEO Observations: Toward Optimal Summertime Satellite Precipitation Retrieval

Abstract Reliable quantitative precipitation estimation with a rich spatiotemporal resolution is vital for understanding the Earth’s hydrological cycle. Precipitation estimation over land and coastal regions is necessary for addressing the high degree of spatial heterogeneity of water availability and demand, and for resolving the extremes that modulate and amplify hazards such as flooding and landslides. Advancements in computation power along with unique high spatiotemporal and spectral resolution data streams from passive meteorological sensors aboard geosynchronous Earth-orbiting (GEO) and low Earth-orbiting (LEO) satellites offer exciting opportunities to retrieve information about surface precipitation phenomena using data-driven machine learning techniques. In this study, the capabilities of U-Net–like architecture are investigated to map instantaneous, summertime surface precipitation intensity at the spatial resolution of 2 km. The calibrated brightness temperature products from the Global Precipitation Measurement (GPM) Microwave Imager (GMI) radiometer are combined with multispectral images (visible, near-infrared, and infrared bands) from the Advanced Baseline Imager (ABI) aboard the GOES-R satellites as main inputs to the U-Net–like precipitation algorithm. Total precipitable water and 2-m temperature from the Global Forecast System (GFS) model are also used as auxiliary inputs to the model. The results show that the U-Net–like algorithm can capture fine-scale patterns and intensity of surface precipitation at high spatial resolution over stratiform and convective precipitation regimes. The evaluations reveal the potential of extracting relevant, high spatial features over complex surface types such as mountainous regions and coastlines. The algorithm allows users to interpret the inputs’ importance and can serve as a starting point for further exploration of precipitation systems within the field of hydrometeorology.

Meteorology & Atmospheric Sciences↗
DOE OSTI2025

Editorial: Applications of spectroscopy and chemometrics in nuclear materials analysis

Optical analysis techniques, including spectroscopy and image analysis, have many advantages when applied to the study of nuclear materials. They require small sample sizes, can be performed remotely, and can be proceduralized through consistent practice. Most importantly, they provide a wealth of information by generating multivariate data. For example, ultraviolet–visible–near-infrared absorbance spectroscopy of actinides in aqueous and organic solutions is dependent on the oxidation state, anionic complexation, and temperature. These variables are important for solution-based separation processes, and sensitivity to these factors, combined with online monitoring, can drive the efficiency and control of these processes. The morphology and chemical composition of actinide particles can also provide a vital clue to the mechanisms by which the particles were formed, providing forensic information on the origins of the particles.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
DOE OSTI2025

One-shot gas detection with transformer paired neural networks in Mako collected longwave infrared hyperspectral imagery

To date, careful data treatment workflows and statistical detectors are used to perform hyperspectral image (HSI) detection of any gas contained in a spectral library, which is often expanded with physics models to incorporate different spectral characteristics. In general, surrounding evidence or known gas-release parameters are used to provide confidence in or confirm detection capability, respectively. This makes quantifying detection performance difficult as it is nearly impossible to develop an absolute ground truth for gas target pixel presence in collected HSI. Consequently, developing and comparing new detection methods, especially machine learning (ML)-based methods, is susceptible to subjectivity in derived detection map quality. Here, in this work, we demonstrate the first use of transformer-based paired neural networks (PNNs) for one-shot gas target detection for multiple gases while providing quantitative classification and detection metrics for their use on labeled data. Terabytes of training data are generated from a database of long-wave infrared HSI obtained from historical Mako sensor campaigns over Los Angeles. By incorporating labels, singular signature representations, and a model development pipeline, we can tune and select PNNs to detect multiple gas targets that are not seen in training on a quantitative basis. We additionally assess our test set detections using interpretability techniques widely employed with ML-based predictors, but less common with detection methods relying on learned latent spaces.

Hyperspectral imaging↗
DOE OSTI2021

SiPM-matrix readout of two-phase argon detectors using electroluminescence in the visible and near infrared range

Proportional electroluminescence (EL) in noble gases is used in two-phase detectors for dark matter searches to record (in the gas phase) the ionization signal induced by particle scattering in the liquid phase. The “standard” EL mechanism is considered to be due to noble gas excimer emission in the vacuum ultraviolet (VUV). In addition, there are two alternative mechanisms, producing light in the visible and near infrared (NIR) ranges. The first is due to bremsstrahlung of electrons scattered on neutral atoms (“neutral bremsstrahlung”, NBrS). The second, responsible for electron avalanche scintillation in the NIR at higher electric fields, is due to transitions between excited atomic states. In this work, we have for the first time demonstrated two alternative techniques of the optical readout of two-phase argon detectors, in the visible and NIR range, using a silicon photomultiplier matrix and electroluminescence due to either neutral bremsstrahlung or avalanche scintillation. The amplitude yield and position resolution were measured for these readout techniques, which allowed to assess the detection threshold for electron and nuclear recoils in two-phase argon detectors for dark matter searches. To the best of our knowledge, this is the first practical application of the NBrS effect in detection science.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2022

What does it take to “see” air leakage through a building envelope?

Unwanted air leakage in buildings can cause health and comfort issues for the building occupants and contribute to rot and mold growth in building materials. Leakage also contributes to unnecessary energy consumption ~4 quads (1172 TWh) per year in the buildings sector in the United States. Finding and repairing leaks through the building envelope can improve the energy efficiency, comfort, air-quality, and moisture durability of the building stock. Typical methods of locating air leakage, such as infrared imaging or smoke tracing, rely on concurrent blower door operation which also measures the total leakage rate of the building. These methods can be disruptive to occupants and can’t measure the contribution of individual leaks to prioritize sealing efforts. ORNL is working on a refraction-based fluid flow imaging technique that can measure the leakage rate of individual leaks from the outside of the building. The working principle of this device is based on the refraction of light caused by the exfiltration because there is a small difference in density between the exfiltration and ambient air. We will discuss the operation of the air leak detector and key variables that affect its performance. We will also present preliminary results showing the visualization capability of this new air leak detector under different conditions. Experiments were completed with different claddings, air temperatures, and lighting conditions.

Boudreaux, Philip↗
DOE OSTI2022

Carrier recombination dynamics and temperature dependent optical properties of InAs–GaSb heterostructures

Heterostructures with two dissimilar materials could offer unprecedented properties if one can carefully synthesize these heterostructures with atomically smooth interfaces and reduced number of recombination centers. InAs/GaSb-based heterostructures have technological importance for long wavelength infrared photodetectors if one can synthesize these materials with high-optical quality and high-carrier lifetime. In this work, the InAs/GaSb heterostructures with a different number of heterointerfaces and growth conditions were grown by solid source molecular beam epitaxy using valved cracker sources for both arsenic and antimony. Precise control of growth parameters and shutter sequences enabled abrupt InAs/GaSb heterointerfaces, as supported by a high-resolution transmission electron microscopic study. The temperature and power-dependent optical properties by photoluminescence (PL) spectroscopic analysis of InAs/GaSb heterostructures with 4 and 28 heterointerfaces displayed donor to the acceptor and the exciton bound to complex defects (V Ga Ga Sb ) 0 . Since the optical transition in PL measurements serves to determine the quality of the material, and the observed excitonic transitions from these InAs/GaSb heterostructures is an indication of high-quality materials. The high-carrier lifetimes of 139 ns to 185 ns from InAs/GaSb heterostructures were measured using microwave photoconductivity decay (μ-PCD) technique at room temperature. The observed increase in carrier lifetime is due to the decreasing number of Ga-related carrier recombination centers or defect complexes. This is further supported by the PL spectroscopic study. In addition, the carrier lifetime with different injection levels is supported by Shockley–Read–Hall recombination. We report these InAs/GaSb heterostructures with high-optical quality and high-carrier lifetimes would offer a path for the development of high-performance infrared photodetectors.

36 MATERIALS SCIENCE↗
DOE OSTI2022

The information content of jet quenching and machine learning assisted observable design

Jets produced in high-energy heavy-ion collisions are modified compared to those in proton-proton collisions due to their interaction with the deconfined, strongly-coupled quark-gluon plasma (QGP). In this work, we employ machine learning techniques to identify important features that distinguish jets produced in heavy-ion collisions from jets produced in proton-proton collisions. We formulate the problem using binary classification and focus on leveraging machine learning in ways that inform theoretical calculations of jet modification: (i) we quantify the information content in terms of Infrared Collinear (IRC)-safety and in terms of hard vs. soft emissions, (ii) we identify optimally discriminating observables that are in principle calculable in perturbative QCD, and (iii) we assess the information loss due to the heavy-ion underlying event and background subtraction algorithms. We illustrate our methodology using Monte Carlo event generators, where we find that important information about jet quenching is contained not only in hard splittings but also in soft emissions and IRC-unsafe physics inside the jet. This information appears to be significantly reduced by the presence of the underlying event. We discuss the implications of this for the prospect of using jet quenching to extract properties of the QGP. Since the training labels are exactly known, this methodology can be used directly on experimental data without reliance on modeling. We outline a proposal for how such an experimental analysis can be carried out, and how it can guide future measurements.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2021

Ultrabroadband Nanocavity of Hyperbolic Phonon–Polaritons in 1D-Like α-MoO 3

The exploitation of phonon–polaritons in nanostructured materials offers a pathway to manipulate infrared (IR) light for nanophotonic applications. Notably, hyperbolic phonon–polaritons (HP 2 ) in polar bidimensional crystals have been used to demonstrate strong electromagnetic field confinement, ultraslow group velocities, and long lifetimes (up to ~12 ps). Here we present nanobelts of α-phase molybdenum trioxide (α-MoO 3 ) as a low-dimensional medium supporting HP 2 modes in the mid- and far-IR ranges. Through real-space nanoimaging techniques with synchrotron and tunable laser IR light, we observe HP 2 Fabry-Perot resonances that demonstrate distinct anisotropic propagation and frequency dependence. We remark an anisotropic propagation that critically depends on the frequency range. Our findings are supported by the convergence of experiment, theory, and numerical simulations. Our work shows that the low dimensionality of natural nanostructured crystals, like α-MoO 3 nanobelts, provides an attractive platform to study polaritonic light–matter interactions and offers appealing cavity properties that could be harnessed in future designs of compact nanophotonic devices.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2023

Probing Complex Chemical Processes at the Molecular Level with Vibrational Spectroscopy and X-ray Tools

Understanding the origins of structure and bonding at the molecular level in complex chemical systems spanning magnitudes in length and time is of paramount interest in physical chemistry. Here, we have coupled vibrational spectroscopy and X-ray based techniques with a series of microreactors and aerosol beams to tease out intricate and sometimes subtle interactions, such as hydrogen bonding, proton transfer, and noncovalent interactions. This allows for unraveling the self-assembly of arginine-oleic acid complexes in an aqueous solution and growth processes in a metal–organic framework. Terahertz and infrared spectroscopy provide an intimate view of the hydrogen-bond network and associated phase changes with temperature in neopentyl glycol. The hydrogen-bond network in aqueous glycerol aerosols and levels of protonation of nicotine in aqueous aerosols are visualized. Future directions in probing the hydrogen-bond networks in deep eutectic solvents and organic frameworks are described, and we suggest how X-ray scattering coupled to X-ray spectroscopy can offer insight into the reactivity of organic aerosols.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2022

3DBFSVBF (3D BatFinder Smart Video BioFilter and Multi-class BatFinder Smart Video BioFilter) [SWR-22-88]

Bats are notoriously difficult to study, therefore, identifying specific behavioral trends and the precise environmental conditions at the time of collision requires a monitoring solution that can reliably collect relevant data. To date, thermal infrared video surveillance has been extensively applied to study bats and has proven to be a powerful yet cumbersome tool. Current analytical approaches are time consuming because data processing data has not been fully automated. In the past, steps have been taken to record avian and bat activity in conjunction with complicated image processing techniques that separate species from other moving objects within the field of view (i.e. clouds and portions of the wind turbine). Once the videos are collected, the post-processing does not allow real time monitoring and identification, leading to a delay in both studying the behavior of these species and determining the effectiveness of any impact reduction strategy being studied. Moreover, object identification capability is lacking, thus limiting the usefulness of video data. To resolve these issues, we are using open source 3D computer vision and machine learning techniques allowing for automatic detection of objects in real-time with the ability to correlate these objects with environmental variables and recording the flight paths of each object. The machine learning has been trained on 3D data and allows for automated real-time data collection, identification and tracking, thereby eliminating the need for long and tedious post-analysis processing of the videos. This machine learning model is an added feature to the previous BatFinder Smart Video BioFilter and increases the accuracy of that systems classification by increasing the accuracy of identifying bats (90% accuracy) and insects (69% accuracy) to a 97% accuracy. There are two object classifier machine learning models, Binary and multi-classification. Binary object classifier labeled BatFinder_Smart_Video_BioFilter.h5 distinguishes between biological objects and non-biological objects. The main goal of this object classifier is to ignore the turbine blades while detecting biological object flying withing the rotor swept area of the turbine. Non-biological objects have a probability of 0 and biological objects have a probability of 1. Multi-classifier labeled Multiclass_BatFinder_Smart_Video_BioFilter.h5 distinguishes between bats, birds, insects and non-biological.

Yarbrough, John↗
DOE OSTI2024

Utilization of microalgae for agricultural runoff remediation and sustainable biofuel production through an integrated biorefinery approach

Generally wastewater such agricultural runoff is considered a nuisance; however, it could be harnessed as a potential source of nutrients like nitrates and phosphates in integrated biorefinery context. In the current study, microalgae Chlorella sp. S5 was used for bioremediation of agricultural runoff and the leftover algal biomass was used as a potential source for production of biofuels in an integrated biorefinery context. The microalgae Chlorella sp. S5 was cultivated on Blue Green (BG 11) medium and a comprehensive optimization of different parameters including phosphates, nitrates, and pH was carried out to acquire maximum algal biomass enriched with high lipids content. Dry biomass was quantified using the solvent extraction technique, while the identification of nitrates and phosphates in agricultural runoff was carried out using commercial kits. The algal extracted lipids (oils) were employed in enzymatic trans-esterification for biodiesel production using whole-cell biomass of Bacillus subtilis Q4 MZ841642. The resultant fatty acid methyl esters (FAMEs) were analyzed using Fourier transform infrared (FTIR) spectroscopy and gas chromatography coupled with mass spectrometry (GC–MS). Subsequently, both the intact algal biomass and its lipid-depleted algal biomass were used for biogas production within a batch anaerobic digestion setup. Interestingly, Chlorella sp. S5 demonstrated a substantial reduction of 95% in nitrate and 91% in phosphate from agricultural runoff. The biodiesel derived from algal biomass exhibited a noteworthy total FAME content of 98.2%, meeting the quality standards set by American Society for Testing and Materials (ASTM) and European union (EU) standards. Furthermore, the biomethane yields obtained from whole biomass and lipid-depleted biomass were 330.34 NmL/g VS added and 364.34 NmL/g VS added , respectively. In conclusion, the findings underscore the potent utility of Chlorella sp. S5 as a multi-faceted resource, proficiently employed in a sequential cascade for treating agricultural runoff, producing biodiesel, and generating biogas within the integrated biorefinery concept.

09 BIOMASS FUELS↗
DOE OSTI2021

Version 4 CALIPSO Imaging Infrared Radiometer ice and liquid water cloud microphysical properties – Part I: The retrieval algorithms

Following the release of the version 4 Cloud-Aerosol Lidar with Orthogonal Polarization (CALIOP) data products from the Cloud-Aerosol Lidar and Infrared Pathfinder Satellite Observations (CALIPSO) mission, a new version (version 4; V4) of the CALIPSO Imaging Infrared Radiometer (IIR) Level 2 data products has been developed. The IIR Level 2 data products include cloud effective emissivities and cloud microphysical properties such as effective diameter and ice or liquid water path estimates. Dedicated retrievals for water clouds were added in V4, taking advantage of the high sensitivity of the IIR retrieval technique to small particle sizes. This paper (Part I) describes the improvements in the V4 algorithms compared to those used in the version 3 (V3) release, while results will be presented in a companion (Part II) paper. The IIR Level 2 algorithm has been modified in the V4 data release to improve the accuracy of the retrievals in clouds of very small (close to 0) and very large (close to 1) effective emissivities. To reduce biases at very small emissivities that were made evident in V3, the radiative transfer model used to compute clear-sky brightness temperatures over oceans has been updated and tuned for the simulations using Modern-Era Retrospective analysis for Research and Applications version 2 (MERRA-2) data to match IIR observations in clear-sky conditions. Furthermore, the clear-sky mask has been refined compared to V3 by taking advantage of additional information now available in the V4 CALIOP 5 km layer products used as an input to the IIR algorithm. After sea surface emissivity adjustments, observed and computed brightness temperatures differ by less than ±0.2 K at night for the three IIR channels centered at 08.65, 10.6, and 12.05 µm, and inter-channel biases are reduced from several tens of Kelvin in V3 to less than 0.1 K in V4. We have also improved retrievals in ice clouds having large emissivity by refining the determination of the radiative temperature needed for emissivity computation. The initial V3 estimate, namely the cloud centroid temperature derived from CALIOP, is corrected using a parameterized function of temperature difference between cloud base and top altitudes, cloud absorption optical depth, and CALIOP multiple scattering correction factor. As shown in Part II, this improvement reduces the low biases at large optical depths that were seen in V3 and increases the number of retrievals. As in V3, the IIR microphysical retrievals use the concept of microphysical indices applied to the pairs of IIR channels at 12.05 and 10.6 µm and at 12.05 and 08.65 µm. The V4 algorithm uses ice look-up tables (LUTs) built using two ice habit models from the recent “TAMUice2016” database, namely the single-hexagonal-column model and the eight-element column aggregate model, from which bulk properties are synthesized using a gamma size distribution. Four sets of effective diameters derived from a second approach are also reported in V4. Here, the LUTs are analytical functions relating microphysical index applied to IIR channels 12.05 and 10.6 µm and effective diameter as derived from in situ measurements at tropical and midlatitudes during the Tropical Composition, Cloud, and Climate Coupling (TC4) and Small Particles in Cirrus Science and Operations Plan (SPARTICUS) field experiments.

54 ENVIRONMENTAL SCIENCES↗