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DOE OSTI2014

Estimation and Uncertainty Analysis of Impacts of Future Heat Waves on Mortality in the Eastern United States

Background: It is anticipated that climate change will influence heat-related mortality in the future. However, the estimation of excess mortality attributable to future heat waves is subject to large uncertainties, which have not been examined under the latest greenhouse gas emission scenarios. Objectives: We estimated the future heat wave impact on mortality in the eastern United States (~ 1,700 counties) under two Representative Concentration Pathways (RCPs) and analyzed the sources of uncertainties. Methods Using dynamically downscaled hourly temperature projections in 2057-2059, we calculated heat wave days and episodes based on four heat wave metrics, and estimated the excess mortality attributable to them. The sources of uncertainty in estimated excess mortality were apportioned using a variance-decomposition method. Results: In the eastern U.S., the excess mortality attributable to heat waves could range from 200-7,807 with the mean of 2,379 persons/year in 2057-2059. The projected average excess mortality in RCP 4.5 and 8.5 scenarios was 1,403 and 3,556 persons/year, respectively. Excess mortality would be relatively high in the southern and eastern coastal areas. The major sources of uncertainty in the estimates are relative risk of heat wave mortality, the RCP scenarios, and the heat wave definitions. Conclusions: The estimated mortality risks from future heat waves are likely an order of magnitude higher than its current level and lead to thousands of deaths each year under the RCP8.5 scenario. The substantial spatial variability in estimated county-level heat mortality suggests that effective mitigation and adaptation measures should be developed based on spatially resolved data.

climate change↗

DOE OSTI2024

How robust are estimates of key parameters in standard viral dynamic models?

Mathematical models of viral infection have been developed, fitted to data, and provide insight into disease pathogenesis for multiple agents that cause chronic infection, including HIV, hepatitis C, and B virus. However, for agents that cause acute infections or during the acute stage of agents that cause chronic infections, viral load data are often collected after symptoms develop, usually around or after the peak viral load. Consequently, we frequently lack data in the initial phase of viral growth, i.e., when pre-symptomatic transmission events occur. Missing data may make estimating the time of infection, the infectious period, and parameters in viral dynamic models, such as the cell infection rate, difficult. However, having extra information, such as the average time to peak viral load, may improve the robustness of the estimation. Here, we evaluated the robustness of estimates of key model parameters when viral load data prior to the viral load peak is missing, when we know the values of some parameters and/or the time from infection to peak viral load. Although estimates of the time of infection are sensitive to the quality and amount of available data, particularly pre-peak, other parameters important in understanding disease pathogenesis, such as the loss rate of infected cells, are less sensitive. Viral infectivity and the viral production rate are key parameters affecting the robustness of data fits. Fixing their values to literature values can help estimate the remaining model parameters when pre-peak data is missing or limited. We find a lack of data in the pre-peak growth phase underestimates the time to peak viral load by several days, leading to a shorter predicted growth phase. On the other hand, knowing the time of infection (e.g., from epidemiological data) and fixing it results in good estimates of dynamical parameters even in the absence of early data. While we provide ways to approximate model parameters in the absence of early viral load data, our results also suggest that these data, when available, are needed to estimate model parameters more precisely.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2018

Utilizing Adjoint-Based Error Estimates for Surrogate Models to Accurately Predict Probabilities of Events

In thist study, we develop a procedure to utilize error estimates for samples of a surrogate model to compute robust upper and lower bounds on estimates of probabilities of events. We show that these error estimates can also be used in an adaptive algorithm to simultaneously reduce the computational cost and increase the accuracy in estimating probabilities of events using computationally expensive high-fidelity models. Specifically, we introduce the notion of reliability of a sample of a surrogate model, and we prove that utilizing the surrogate model for the reliable samples and the high-fidelity model for the unreliable samples gives precisely the same estimate of the probability of the output event as would be obtained by evaluation of the original model for each sample. The adaptive algorithm uses the additional evaluations of the high-fidelity model for the unreliable samples to locally improve the surrogate model near the limit state, which significantly reduces the number of high-fidelity model evaluations as the limit state is resolved. Numerical results based on a recently developed adjoint-based approach for estimating the error in samples of a surrogate are provided to demonstrate (1) the robustness of the bounds on the probability of an event, and (2) that the adaptive enhancement algorithm provides a more accurate estimate of the probability of the QoI event than standard response surface approximation methods at a lower computational cost.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2025

Estimating time in quantum chaotic systems and black holes

We characterize new universal features of the dynamics of chaotic quantum many-body systems, by considering a hypothetical task of "time estimation". Most macroscopic observables in a chaotic system equilibrate to nearly constant late-time values. Intuitively, it should become increasingly difficult to estimate the precise value of time by making measurements on the state. We use a quantity called the Fisher information from quantum metrology to quantify the minimum uncertainty in estimating time. Due to unitarity, the uncertainty in the time estimate does not grow with time if we have access to optimal measurements on the full system. Restricting the measurements to act on a small subsystem or to have low computational complexity leads to results expected from equilibration, where the time uncertainty becomes large at late times. With optimal measurements on a subsystem larger than half of the system, we regain the ability to estimate the time very precisely, even at late times. Hawking's calculation for the reduced density matrix of the black hole radiation in semiclassical gravity contradicts our general predictions for unitary quantum chaotic systems. Hawking's state always has a large uncertainty for attempts to estimate the time using the radiation, whereas our general results imply that the uncertainty should become small after the Page time. This gives a new version of the black hole information loss paradox in terms of the time estimation task. By restricting to simple measurements on the radiation, the time uncertainty becomes large. This indicates from a new perspective that the observations of computationally bounded agents are consistent with the semiclassical effective description of gravity.

Black holes↗

DOE OSTI2013

Estimation of Groundwater Recharge at Pahute Mesa using the Chloride Mass-Balance Method

Groundwater recharge on Pahute Mesa was estimated using the chloride mass-balance (CMB) method. This method relies on the conservative properties of chloride to trace its movement from the atmosphere as dry- and wet-deposition through the soil zone and ultimately to the saturated zone. Typically, the CMB method assumes no mixing of groundwater with different chloride concentrations; however, because groundwater is thought to flow into Pahute Mesa from valleys north of Pahute Mesa, groundwater flow rates (i.e., underflow) and chloride concentrations from Kawich Valley and Gold Flat were carefully considered. Precipitation was measured with bulk and tipping-bucket precipitation gauges installed for this study at six sites on Pahute Mesa. These data, along with historical precipitation amounts from gauges on Pahute Mesa and estimates from the PRISM model, were evaluated to estimate mean annual precipitation. Chloride deposition from the atmosphere was estimated by analyzing quarterly samples of wet- and dry-deposition for chloride in the bulk gauges and evaluating chloride wet-deposition amounts measured at other locations by the National Atmospheric Deposition Program. Mean chloride concentrations in groundwater were estimated using data from the UGTA Geochemistry Database, data from other reports, and data from samples collected from emplacement boreholes for this study. Calculations were conducted assuming both no underflow and underflow from Kawich Valley and Gold Flat. Model results estimate recharge to be 30 mm/yr with a standard deviation of 18 mm/yr on Pahute Mesa, for elevations >1800 m amsl. These estimates assume Pahute Mesa recharge mixes completely with underflow from Kawich Valley and Gold Flat. The model assumes that precipitation, chloride concentration in bulk deposition, underflow and its chloride concentration, have been constant over the length of time of recharge.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2016

Estimating the National Carbon Abatement Potential of City Policies: A Data-Driven Approach

Cities are increasingly taking actions such as building code enforcement, urban planning, and public transit expansion to reduce emissions of carbon dioxide in their communities and municipal operations. However, many cities lack the quantitative information needed to estimate policy impacts and prioritize city actions in terms of carbon abatement potential and cost effectiveness. This report fills this research gap by providing methodologies to assess the carbon abatement potential of a variety of city actions. The methodologies are applied to an energy use data set of 23,458 cities compiled for the U.S. Department of Energy City Energy Profile tool. The analysis develops a national estimate of the carbon abatement potential of realizable city actions in six specific policy areas encompassing the most commonly implemented city actions. The results of this analysis suggest that, in aggregate, cities could reduce nationwide carbon emissions by about 210 million metric tons of carbon dioxide (MMT CO2) per year in a 'moderate abatement scenario' by 2035 and 480 MMT CO2/year in a 'high abatement scenario' by 2035 through these common actions typically within a city's control in the six policy areas. The aggregate carbon abatement potential of these specific areas equates to a reduction of 3%-7% relative to 2013 U.S. emissions. At the city level, the results suggest the average city could reduce carbon emissions by 7% (moderate) to 19% (high) relative to current city-level emissions. In the context of U.S. climate commitments under the 21st session of the Conference of the Parties (COP21), the estimated national abatement potential of the city actions analyzed in this report equates to about 15%-35% of the remaining carbon abatement necessary to achieve the U.S. COP21 target. Additional city actions outside the scope of this report, such as community choice aggregation (city-level purchasing of renewable energy), zero energy districts, and multi-level governance strategies, could significantly augment the carbon abatement contributions of city actions toward national climate targets. The results suggest that cities may play a pivotal role in progress toward national climate targets. In addition to providing carbon and emissions estimates, this report estimates the national net economic impacts of policies for which cost and benefit data are available. Impact metrics include employment, worker earnings, and gross domestic product (GDP). For the policy areas studied, the economic analysis demonstrates that city carbon abatement may be achieved with only minimal and generally slightly positive economic impacts. Employment impacts range from 0.04% to 0.13% of U.S, employment during implementation and zero to 0.1% thereafter. GDP estimates show net impacts of 0.02% to 0.07% of GDP during implementation and impacts from -0.02% to zero thereafter. This report quantitatively demonstrates the material impact of a limited set of local policy areas on national carbon abatement potential. The magnitude of estimated carbon reductions from city policies, 3%-7% of national emissions by 2035, suggests an important role for city-led actions in reaching U.S. climate goals. Multi-level governance at the city, state, and national levels could augment the carbon abatement potential of city actions and make cities a key component of long-term U.S. climate strategies.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2016

2016 Update of Hanford Glass Property Models and Constraints for Use in Estimating the Glass Mass to be Produced at Hanford by Implementing Current Enhanced Glass Formulation Efforts

Recent glass formulation and melter testing data have suggested that significant increases in waste loading in high-level waste (HLW) and low-activity waste (LAW) glasses are possible over current system planning estimates. In 2013 a set of models and constraints based on these data were developed and published (Vienna et al. 2013). Since that report roughly 200 additional glasses have been tested and lessons were learned in the application of the preliminary set of models and constraints. This report summarizes the advancements in glass formulation and glass property estimation since Vienna et al. 2013 (using the additional data and lessons learned) and updates the recommended set of enhanced glass property-composition models and constraints for use in River Protection Project (RPP) planning. The combined data (although limited in some cases) were evaluated to determine a set of constraints and models that could be used to estimate the maximum loading of specific waste compositions in glass. It is recommended that these models and constraints be used to estimate the likely HLW and LAW glass masses that would result if the current glass formulation studies are successfully completed. It is recognized that some of the models are preliminary in nature and will change in the coming years. In addition, the models do not currently address the prediction uncertainties that would be required before they could be used in plant operations. The models and constraints are only meant to give an indication of rough glass masses and are not intended to be used in quality-affecting activities or decisions. A current research program is in place to develop the data, models, and uncertainty descriptions for that purpose. A fundamental tenet underlying the research reported in this and the previous document is the attempt to be less conservative, but still realistic, than previous studies when developing constraints for the estimation of glass to be produced by implementing current enhanced glass formulation efforts. The less conservative approach documented herein should allow for the estimate of glass masses that may be realized if the current efforts in enhanced glass formulations are completed over the coming years, and are as successful as early indications suggest they may be. Because of this approach, there is an unquantifiable uncertainty in the ultimate glass mass projections due to model prediction uncertainties that must be considered, along with other system uncertainties, such as waste compositions and amounts to be immobilized, split factors between LAW and HLW, etc. A plan to estimate the impact of those uncertainties has been developed and a future update will document the results.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

DOE OSTI2021

Surrogate Modeling For Efficiently Accurately and Conservatively Estimating Measures of Risk

We present a surrogate modeling framework for conservatively estimating measures of risk from limited realizations of an expensive physical experiment or computational simulation. We adopt a probabilistic description of risk that assigns probabilities to consequences associated with an event and use risk measures, which combine objective evidence with the subjective values of decision makers, to quantify anticipated outcomes. Given a set of samples, we construct a surrogate model that produces estimates of risk measures that are always greater than their empirical estimates obtained from the training data. These surrogate models not only limit over-confidence in reliability and safety assessments, but produce estimates of risk measures that converge much faster to the true value than purely sample-based estimates. We first detail the construction of conservative surrogate models that can be tailored to the specific risk preferences of the stakeholder and then present an approach, based upon stochastic orders, for constructing surrogate models that are conservative with respect to families of risk measures. The surrogate models introduce a bias that allows them to conservatively estimate the target risk measures. We provide theoretical results that show that this bias decays at the same rate as the L 2 error in the surrogate model. Our numerical examples confirm that risk-aware surrogate models do indeed over-estimate the target risk measures while converging at the expected rate.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2023

Quantifying Uncertainty in PV Energy Estimates Final Report

Uncertainty in PV energy estimates is "one of the most critical areas of lack of understanding" according to independent engineers, financiers, PV model developers, and other industry stakeholders. The primary problem is a lack of rigorous, transparent, widely accepted methods for quantifying uncertainty in energy production estimates. Uncertainty in energy production estimates arises from variability of the solar resource, inexact PV performance models and their parameters, and system reliability considerations. Uncertainty in annual energy production is frequently calculated for larger projects in order to quantify financial risk. Key statistics for energy, such as the P-values "P50" and "P90" (the annual energy values that are exceeded in future years with 50\% and 90\% probability, respectively) are used by financing institutions to calculate the repayment risk for the project. The current methods to estimate these statistics are typically proprietary, specialized, and involve significant post-processing of commercial performance model results. This black-box approach leads to inconsistent P-value estimates from different parties, which reduces investors' confidence in the results. Since the financial community bases its risk assessment on these estimates, reduced confidence increases perceived project risk, and consequently financing costs. The goal of this project was to establish a set of best practices for quantifying uncertainty in energy production estimates, including identifying what sources of uncertainty must be considered with clear definitions and metrics, determining which sources are the biggest drivers of uncertainty, and providing a computationally efficient framework for combining different sources of uncertainty that is flexible enough to accommodate substitutions of data or methods when better information is available. We engaged a wide set of stakeholders to ensure industry endorsement and adoption, and leveraged complementary projects investigating individual sources of uncertainty in great detail, as well as others' work that started down this path.

ENERGY PLANNING, POLICY, AND ECONOMY,SOLAR ENERGY↗

DOE OSTI2024

Commercial, industrial, and institutional discount rate estimation for efficiency standards analysis: Sector-level data 1998–2023

Underlying each of the U.S. Department of Energy’s (DOE’s) federal appliance and equipment energy conservation standards are a set of complex analyses of the projected costs and benefits of regulation. Any new or amended standard must be designed to achieve significant additional energy conservation, provided that it is technologically feasible and economically justified (42 U.S.C. 6295(o)(2)(A)). DOE determines economic justification based on whether the benefits exceed the burdens, considering a variety of factors, including the economic impact of the standard on consumers of the product and the savings in lifetime operating cost compared to any increase in price or maintenance expenses (42 U.S.C. 6295(o)(2)(B)). As part of this determination, DOE conducts a life-cycle cost (LCC) analysis, which models the combined impact of appliance first cost and operating cost changes on a representative commercial building sample to identify the fraction of customers achieving LCC savings or incurring net cost at the considered efficiency levels. Thus, the commercial discount rate value(s) used to calculate the present value of energy cost savings within the LCC model implicitly plays a role in estimating the economic impact of potential standard levels. This report provides an in-depth discussion of the commercial discount rate estimation process relying on the Capital Asset Pricing Model (CAPM) to estimate a business’ cost of equity, and by adding a risk adjustment factor to the risk-free rate associated with long-term U.S. Treasury bonds to estimate their cost of debt. It is an update to previous reports on estimating commercial discount rates from firm-level and sector-level financial data (e.g., Fujita, 2021, 2016). Major topics covered in this report include the following: • Discount rate estimation methods and rationale • Data sources used and data limitations • Discount rate distributions for use in standards analysis • Discount rate estimation methods and distributions specific to the small business subgroup analysis.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2024

Meta-Analysis of Advanced Nuclear Reactor Cost Estimations

Supporting Data can be downloaded at: https://gain.inl.gov/content/uploads/4/2024/06/INL-RPT-24-77048-R1.xlsx Nuclear energy is a critical cornerstone of the current United States clean energy supply and may play a larger role in the future in support of a transition to a net-zero economy. The current fleet of nuclear reactors predominantly consists of large light-water reactors (LWRs), while many of the reactor designs under consideration are smaller and/or different technologies. Because these new designs have not yet been built, there is a high degree of uncertainty associated with their cost. This complicates energy-planning efforts because cost projections are not always standardized, consistent, and centralized in an easily accessible location. To help support energy planning in the US, this report provides advanced nuclear cost ranges using a transparent methodology along with other relevant information that can be used to help support decision making and energy planning. The purpose of this work was to conduct a methodical process for cost evaluation using only public information that was vetted with the end-goal to provide reference cost projections for nuclear energy. To provide a solid basis for these values, the approach and assumptions are explicitly laid out throughout the report allowing any user of the data to challenge or reconsider them. Because future US nuclear-reactor costs are still unknown due to little recent observed data, the report opted to compile a comprehensive list of bottom-up estimates and evaluate averages/trends within the data to identify reference ranges. This was deemed preferable to opining on the robustness or validity of one cost estimation versus another. To that end, the work evaluated thousands of lines of cost subaccounts from several bottom-up cost estimates. A wide variety of different reactor types captured in the data are of various sizes and technologies. Some of these reactors will be representative of advanced reactors under development while others will not. Thus, the results here are dependent on the data that are available and the accuracy of the estimates that are used. Each bottom-up estimate was reviewed to determine whether it was complete. Incomplete data sets were corrected to ensure an adequate basis of cross-comparison. The report is not without limitations and should be interpreted as an initial step to develop cost ranges for nuclear technology. Ultimately, future work can build upon the methodology with refined cost estimates to reduce uncertainty. US-based overnight capital cost (OCC) estimates were compiled from extensive data sets into ranges for both large and small reactor sizes for 2030. To project the cost declines over time, learning rates were sampled from literature sources. No SMRs were previously built; hence, learning rates based on bottom-up approaches (e.g., by quantifying the impact stemming from fabrication of different components, modular work, site construction, commissioning) were prioritized. For larger reactors, actual learning rates from deployments were used to project future costs (adjusted to account for standardization or lack thereof between designs). Other costs included are fixed and variable operations and maintenance costs. The final variables were capacity factors and ramp rates to support energy planning.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2024

Recommendations for an Applicant to Calculate Activity Data for Greenhouse Gases Estimates

In 2009, the U.S. Nuclear Regulatory Commission (NRC) directed the NRC staff to address climate change issues and consider the impacts of the emissions of carbon dioxide (CO 2 ) and other greenhouse gases (GHGs) in its environmental reviews for major licensing actions (NRC 2009b). To implement this direction from the Commission, the staff issued guidance in 2011 and updated guidance in 2014 in Attachment 1 to Interim Staff Guidance COL/ESP-ISG-026 (NRC 2011; NRC 2014). This guidance provides a simpler method than the method described in RG 4.2 Rev. 3, that an applicant can use to meet the plant parameter envelope (PPE) value from the Generic Environmental Impact Statement for Licensing of New Nuclear Reactors (NR GEIS). NRC staff estimated the 97-year lifecycle GHG emissions from a reference 1000 megawatt electrical (MWe) light-water reactor (LWR) for various activities associated with construction, operation (including uranium fuel cycle), and decommissioning of nuclear power plants and presented the results in Appendix H of the NR GEIS. Appendix H of the NR GEIS includes estimates of direct emissions from construction equipment and emergency diesel engines in a nuclear facility and indirect emissions from workforce vehicular traffic, fuel transportation and the uranium fuel cycle. The NR GEIS Section 3.3 extended the estimates in Appendix H for the installation of two 1000 MWe nuclear reactors on the same site. Scaling factors were used to extrapolate the GHG emissions of a reference 1000 MWe reactor to a two-unit nuclear reactor plant (each reactor unit generating 1000 MWe). GHG emission estimates for building, operation, decommissioning and safe storage (SAFSTOR) for a two-unit nuclear reactor plant would be based on the plant’s physical size, and therefore estimates for these source categories were assumed to be twice the value of the reference 1000 MWe reactor. However, GHG emissions from the fuel cycle (including fuel transportation) were scaled upward by a factor of 3, based on plant efficiencies greater than the 80 percent assumption in Appendix H. Table 1 below shows the PPE emissions for two 1000 MWe nuclear reactors as provided in NR GEIS. The total GHG emissions for two 1000 MWe reactors were calculated as 2,534,000 metric tons (MT) of CO 2 equivalent (CO 2 (e)) based on a 97 year GHG life cycle period. The GHG emissions lifetime of 97 years for a reference nuclear reactor includes a 7-year building phase, 40 years of operation, 10 years of active decommissioning, and 40 years of SAFSTOR operations (NRC 2024). Construction equipment and vehicular traffic from workers commute would contribute to the GHG emissions during a 7-year building phase. Uranium fuel cycle, vehicular traffic, fuel and waste transportation, and testing of standby diesel generators would contribute to GHG emissions during the 40-year operations phase. While NRC’s regulations allow up to 60 years of reactor facility decommissioning, Appendix H estimated that most of the GHGs would occur over an estimated 10-year period during which to the licensee would engage in significant demolition and earth-moving activities, as discussed in Supplement 1 to NUREG-0586 (NRC 2002). Vehicular traffic by the workforce during a 40-year SAFSTOR period would additionally contribute GHG emissions. The carbon footprint for a 40-year SAFSTOR period was separately analyzed from the decommissioning activities as provided in Table YYYY-2 of the staff issued guidance in 2011 (NRC 2011).

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2019

Conditional Generative Adversarial Networks (cGANs) for Near Real-Time Precipitation Estimation from Multispectral GOES-16 Satellite Imageries—PERSIANN-cGAN

In this paper, we present a state-of-the-art precipitation estimation framework which leverages advances in satellite remote sensing as well as Deep Learning (DL). The framework takes advantage of the improvements in spatial, spectral and temporal resolutions of the Advanced Baseline Imager (ABI) onboard the GOES-16 platform along with elevation information to improve the precipitation estimates. The procedure begins by first deriving a Rain/No Rain (R/NR) binary mask through classification of the pixels and then applying regression to estimate the amount of rainfall for rainy pixels. A Fully Convolutional Network is used as a regressor to predict precipitation estimates. The network is trained using the non-saturating conditional Generative Adversarial Network (cGAN) and Mean Squared Error (MSE) loss terms to generate results that better learn the complex distribution of precipitation in the observed data. Common verification metrics such as Probability Of Detection (POD), False Alarm Ratio (FAR), Critical Success Index (CSI), Bias, Correlation and MSE are used to evaluate the accuracy of both R/NR classification and real-valued precipitation estimates. Statistics and visualizations of the evaluation measures show improvements in the precipitation retrieval accuracy in the proposed framework compared to the baseline models trained using conventional MSE loss terms. This framework is proposed as an augmentation for PERSIANN-CCS (Precipitation Estimation from Remotely Sensed Information using Artificial Neural Network- Cloud Classification System) algorithm for estimating global precipitation.

42 ENGINEERING↗

DOE OSTI2023

Optimal Frequency-domain Analysis for Spacecraft Time Series: Introducing the Missing-data Multitaper Power Spectrum Estimator

While the Lomb–Scargle periodogram is foundational to astronomy, it has a significant shortcoming: the variance in the estimated power spectrum does not decrease as more data are acquired. Statisticians have a 60 yr history of developing variance-suppressing power spectrum estimators, but most are not used in astronomy because they are formulated for time series with uniform observing cadence and without seasonal or daily gaps. Here we demonstrate how to apply the missing-data multitaper power spectrum estimator to spacecraft data with uniform time intervals between observations but missing data during thruster fires or momentum dumps. The F-test for harmonic components may be applied to multitaper power spectrum estimates to identify statistically significant oscillations that would not rise above a white noise–based false alarm probability. Multitapering improves the dynamic range of the power spectrum estimate and suppresses spectral window artifacts. We show that the multitaper–F-test combination applied to Kepler observations of KIC 6102338 detects differential rotation without requiring iterative sinusoid fitting and subtraction. Significant signals reside at harmonics of both fundamental rotation frequencies and suggest an antisolar rotation profile. Next we use the missing-data multitaper power spectrum estimator to identify the oscillation modes responsible for the complex "scallop-shell" shape of the K2 light curve of EPIC 203354381. We argue that multitaper power spectrum estimators should be used for all time series with regular observing cadence.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2020

Angular Correlation Function Estimators Accounting for Contamination from Probabilistic Distance Measurements

With the advent of surveys containing millions to billions of galaxies, it is imperative to develop analysis techniques that utilize the available statistical power. In galaxy clustering, even small sample contamination arising from distance uncertainties can lead to large artifacts, which the standard estimator for two-point correlation functions does not account for. We first introduce a formalism, termed decontamination, that corrects for sample contamination by utilizing the observed cross-correlations in the contaminated samples; this corrects any correlation function estimator for contamination. Using this formalism, we present a new estimator that uses the standard estimator to measure correlation functions in the contaminated samples but then corrects for contamination. We also introduce a weighted estimator that assigns each galaxy a weight in each redshift bin based on its probability of being in that bin. We demonstrate that these estimators effectively recover the true correlation functions and their covariance matrices. Our estimators can correct for sample contamination caused by misclassification between object types as well as photometric redshifts; they should be particularly helpful for studies of galaxy evolution and baryonic acoustic oscillations, where forward modeling the clustering signal using the contaminated redshift distribution is undesirable.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2017

VIRIAL BLACK HOLE MASS ESTIMATES FOR 280,000 AGNs FROM THE SDSS BROADBAND PHOTOMETRY AND SINGLE-EPOCH SPECTRA

We use the Sloan Digital Sky Survey (SDSS) Quasar Data Release 12 (DR12Q), containing nearly 300,000 active galactic nuclei (AGNs), to calculate the monochromatic luminosities at 5100, 3000, and 1350 Å, derived from the broadband extinction-corrected SDSS magnitudes. After matching these sources to their counterparts from the SDSS Quasar Data Release 7 (DR7Q), we find very high correlations between our luminosities and DR7Q spectra-based luminosities with minute mean offsets (∼0.01 dex) and dispersions of differences of 0.11, 0.10, and 0.12 dex, respectively, across a luminosity range of 2.5 dex. We then estimate the black hole (BH) masses of the AGNs using the broad line region radius–disk luminosity relations and the FWHM of the Mg ii and C iv emission lines, to provide a catalog of 283,033 virial BH mass estimates (132,451 for Mg ii, 213,071 for C iv, and 62,489 for both) along with the estimates of the bolometric luminosity and Eddington ratio for 0.1 < z < 5.5 and for roughly a quarter of the sky covered by SDSS. The BH mass estimates from Mg ii turned out to be closely matched to the ones from DR7Q with a dispersion of differences of 0.34 dex across a BH mass range of ∼2 dex. We uncovered a bias in the derived C iv FWHMs from DR12Q as compared to DR7Q, which we correct empirically. The C iv BH mass estimates should be used with caution because the C iv line is known to cause problems in the estimation of BH mass from single-epoch spectra. Finally, after the FWHM correction, the AGN BH mass estimates from C iv closely match the DR7Q ones (with a dispersion of 0.28 dex), and more importantly the Mg ii and C iv BH masses agree internally with a mean offset of 0.07 dex and a dispersion of 0.39 dex.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2013

Estimating Bacteria Emissions from Inversion of Atmospheric Transport: Sensitivity to Modelled Particle Characteristics

Model-simulated transport of atmospheric trace components can be combined with observed concentrations to obtain estimates of ground-based sources using various inversion techniques. These approaches have been applied in the past primarily to obtain source estimates for long-lived trace gases such as CO2. We consider the application of similar techniques to source estimation for atmospheric aerosols, by using as a case study the estimation of bacteria emissions from different ecosystem regions in the global atmospheric chemistry and climate model ECHAM5/MESSy-Atmospheric Chemistry (EMAC). Simulated particle concentrations in the tropopause region and at high latitudes, as well as transport of particles to tundra and land ice regions are shown to be highly sensitive to scavenging in mixed-phase clouds, which is poorly characterized in most global climate models. This may be a critical uncertainty in correctly simulating the transport of aerosol particles to the Arctic. Source estimation via Monte Carlo Markov Chain is applied to a suite of sensitivity simulations and the global mean emissions are estimated. We present an analysis of the partitioning of uncertainties in the global mean emissions that are attributable to particle size, CCN activity, the ice nucleation scavenging ratios for mixed-phase and cold clouds, and measurement error. Uncertainty due to CCN activity or to a 1 um error in particle size is typically between 10% and 40% of the uncertainty due to data uncertainty, as measured by the 5%-ile to 95%-ile range of the Monte Carlo ensemble. Uncertainty attributable to the ice nucleation scavenging ratio in mized-phase clouds is as high as 10% to 20% of the data uncertainty. Taken together, the four model 20 parameters examined contribute about half as much to the uncertainty in the estimated emissions as do the measurements. This was a surprisingly large contribution from model uncertainty in light of the substantial data uncertainty, which ranges from 81% to 870% for each of ten ecosystems for this case study. The effects of these and other model parameters in contributing to the uncertainties in the transport of atmospheric aerosol particles should be treated explicitly and systematically in both forward and inverse modelling studies.

characteristics↗

DOE OSTI2015

Emissions of nitrogen oxides from US urban areas: estimation from Ozone Monitoring Instrument retrievals for 2005–2014

Satellite remote sensing of tropospheric nitrogen dioxide (NO 2 ) can provide valuable information for estimating surface nitrogen oxides (NO x ) emissions. Using an exponentially modified Gaussian (EMG) method and taking into account the effect of wind on observed NO 2 distributions, we estimate 3-year moving-average emissions of summertime NO x from 35 US (United States) urban areas directly from NO 2 retrievals of the Ozone Monitoring Instrument (OMI) during 2005–2014. Following conclusions of previous studies that the EMG method provides robust and accurate emission estimates under strong-wind conditions, we derive top-down NO x emissions from each urban area by applying the EMG method to OMI data with wind speeds greater than 3–5 m s -1 . Meanwhile, we find that OMI NO 2 observations under weak-wind conditions (i.e., < 3 m s −1 ) are qualitatively better correlated to the surface NO x source strength in comparison to all-wind OMI maps; therefore, we use them to calculate the satellite-observed NO 2 burdens of urban areas and compare with NO x emission estimates. The EMG results show that OMI-derived NO x emissions are highly correlated ( R > 0.93) with weak-wind OMI NO 2 burdens as well as with bottom-up NO x emission estimates over 35 urban areas, implying a linear response of the OMI observations to surface emissions under weak-wind conditions. The simultaneous EMG-obtained effective NO 2 lifetimes (~ 3.5 ± 1.3 h), however, are biased low in comparison to the summertime NO 2 chemical lifetimes. In general, isolated urban areas with NO x emission intensities greater than ~ 2 Mg h -1 produce statistically significant weak-wind signals in 3-year average OMI data. From 2005 to 2014, we estimate that total OMI-derived NO x emissions over all selected US urban areas decreased by 49 %, consistent with reductions of 43, 47, 49, and 44 % in the total bottom-up NO x emissions, the sum of weak-wind OMI NO 2 columns, the total weak-wind OMI NO 2 burdens, and the averaged NO 2 concentrations, respectively, reflecting the success of NO x control programs for both mobile sources and power plants. The decrease rates of these NO x -related quantities are found to be faster (i.e., -6.8 to -9.3 % yr −1 ) before 2010 and slower (i.e., -3.4 to -4.9 % yr −1 ) after 2010. For individual urban areas, we calculate the R values of pair-wise trends among the OMI-derived and bottom-up NO x emissions, the weak-wind OMI NO 2 burdens, and ground-based NO 2 measurements, and high correlations are found for all urban areas (median R = 0.8), particularly large ones ( R up to 0.97). The results of the current work indicate that using the EMG method and considering the wind effect, the OMI data allow for the estimation of NO x emissions from urban areas and the direct constraint of emission trends with reasonable accuracy.

54 ENVIRONMENTAL SCIENCES↗