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DOE OSTI2023

Robust scalable initialization for Bayesian variational inference with multi-modal Laplace approximations

Predictive modeling typically relies on Bayesian model calibration to provide uncertainty quantification. Variational inference utilizing fully independent (“mean-field”) Gaussian distributions are often used as approximate probability density functions. This simplification is attractive since the number of variational parameters grows only linearly with the number of unknown model parameters. However, the resulting diagonal covariance structure and unimodal behavior can be too restrictive to provide useful approximations of intractable Bayesian posteriors that exhibit highly non-Gaussian behavior, including multimodality. High-fidelity surrogate posteriors for these problems can be obtained by considering the family of Gaussian mixtures. Gaussian mixtures are capable of capturing multiple modes and approximating any distribution to an arbitrary degree of accuracy, while maintaining some analytical tractability. Unfortunately, variational inference using Gaussian mixtures with full-covariance structures suffers from a quadratic growth in variational parameters with the number of model parameters. The existence of multiple local minima due to strong nonconvex trends in the loss functions often associated with variational inference present additional complications, These challenges motivate the need for robust initialization procedures to improve the performance and computational scalability of variational inference with mixture models. In this work, we propose a method for constructing an initial Gaussian mixture model approximation that can be used to warm-start the iterative solvers for variational inference. The procedure begins with a global optimization stage in model parameter space. In this step, local gradient-based optimization, globalized through multistart, is used to determine a set of local maxima, which we take to approximate the mixture component centers. Around each mode, a local Gaussian approximation is constructed via the Laplace approximation. Finally, the mixture weights are determined through constrained least squares regression. The robustness and scalability of the proposed methodology is demonstrated through application to an ensemble of synthetic tests using high-dimensional, multimodal probability density functions. Here, the practical aspects of the approach are demonstrated with inversion problems in structural dynamics.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2026

Balance of Plant Modeling and Real-Time Hardware-in-the-Loop Integration with the Microreactor Automated Control System

The advent of novel microreactor technology has driven a focused effort to explore safety and efficiency improvements that can be achieved through the use of automated system control. Development of control strategies, especially for initial demonstration, requires an adequate surrogate environment to safely research failure modes and control integration with realistic hardware delay. However, efficiency gains from control strategies are improved when the scope of controller action is expanded to include system-level dynamics such as downstream heat extraction and mass flow. For this reason, a balance-of-plant (BOP) model of a representative microreactor system has been developed using the TRANsient Simulation Framework of Reconfigurable Models library in Modelica. This model captures a reactor and primary NaK coolant loop that represent corresponding system components of the Microreactor Applications Research Validation and EvaLuation (MARVEL) design as well as a secondary coolant loop and heat extraction representative of the Microreactor Agile Non-Nuclear Experimental Test Bed (MAGNET). This model configuration allows for hardware-in-the-loop (HIL) integration with microreactor automated control system (MACS) hardware in real time through a Python-based gRPC client. Real-time simulation of model performance with emulated hardware and communication delay suggests that under independent proportional-integral-derivative control of BOP model drum dynamics and downstream heat extraction, stable power load following is achievable. A slight delay in load following, filtering of high-frequency dynamics, and localized temperature fluctation suggest room for improvement through the development of higher-level control strategies. The simulated coupling of the MAGNET facility lays the groundwork for future digital twin analysis with a coupled MACS-MAGNET HIL demonstration.

McConnell, Jono [ORNL] (ORCID:0000000238984741)↗

DOE OSTI2023

MODELING A SPENT NUCLEAR FUEL CASK SEISMIC TEST

The US Department of Energy Spent Fuel and Waste Science and Technology (SFWST) program is planning to conduct a series of full-scale shake table tests to simulate hypothetical earthquake conditions and record the response of surrogate spent nuclear fuel (SNF) assemblies in a canister dry storage system mockup. The shake table motions will represent a range of hypothetical earthquake conditions at hypothetical locations in the continental US to generally define the range of mechanical loads that SNF can be expected to experience during extended dry storage periods. The earthquake conditions will represent seismic hazards in the 2,000-to-20,000-year return period range. The test will use instrumented pressurized water reactor fuel assemblies with surrogate mass inside the fuel rods instead of radioactive fuel pellets. Dummy assemblies with similar mass and dimensions to actual fuel assemblies will occupy the rest of the fuel assembly locations in a SNF canister that holds 32 fuel assemblies. The canister will be located inside a mockup vertical concrete cask. Instrumentation will record the motion of the major components of the complex dynamic system, and strain gauges will be used to record the cladding strain at select locations. Preparations for the test require modeling predictions to identify the range of response of the system and to help select specific earthquake cases to be simulated on the shake table from a large set of potential cases. This paper describes the pretest nonlinear finite element modeling efforts that have been completed to date, including cask system level modeling and fuel assembly modeling in LS-DYNA. The cask system level models are critical for anticipating sliding or tipping of an unanchored cask during the test. The fuel assembly model is needed to estimate the range of cladding strain response and fuel assembly structural response to be expected during the test and cladding strain measurements will be key metrics for model validation and the development of modeling best practices after the test is concluded.

Klymyshyn, Nicholas A.↗

DOE OSTI2023

Anticipating gelation and vitrification with medium amplitude parallel superposition (MAPS) rheology and artificial neural networks

Abstract Anticipating qualitative changes in the rheological response of complex fluids (e.g., a gelation or vitrification transition) is an important capability for processing operations that utilize such materials in real-world environments. One class of complex fluids that exhibits distinct rheological states are soft glassy materials such as colloidal gels and clay dispersions, which can be well characterized by the soft glassy rheology (SGR) model. We first solve the model equations for the time-dependent, weakly nonlinear response of the SGR model. With this analytical solution, we show that the weak nonlinearities measured via medium amplitude parallel superposition (MAPS) rheology can be used to anticipate the rheological aging transitions in the linear response of soft glassy materials. This is a rheological version of a technique called structural health monitoring used widely in civil and aerospace engineering. We design and train artificial neural networks (ANNs) that are capable of quickly inferring the parameters of the SGR model from the results of sequential MAPS experiments. The combination of these data-rich experiments and machine learning tools to provide a surrogate for computationally expensive viscoelastic constitutive equations allows for rapid experimental characterization of the rheological state of soft glassy materials. We apply this technique to an aging dispersion of Laponite ® clay particles approaching the gel point and demonstrate that a trained ANN can provide real-time detection of transitions in the nonlinear response well in advance of incipient changes in the linear viscoelastic response of the system.

Lennon, Kyle R. (ORCID:0000000212515461)↗

DOE OSTI2020

Designing accurate emulators for scientific processes using calibration-driven deep models

Abstract Predictive models that accurately emulate complex scientific processes can achieve speed-ups over numerical simulators or experiments and at the same time provide surrogates for improving the subsequent analysis. Consequently, there is a recent surge in utilizing modern machine learning methods to build data-driven emulators. In this work, we study an often overlooked, yet important, problem of choosing loss functions while designing such emulators. Popular choices such as the mean squared error or the mean absolute error are based on a symmetric noise assumption and can be unsuitable for heterogeneous data or asymmetric noise distributions. We propose Learn-by-Calibrating, a novel deep learning approach based on interval calibration for designing emulators that can effectively recover the inherent noise structure without any explicit priors. Using a large suite of use-cases, we demonstrate the efficacy of our approach in providing high-quality emulators, when compared to widely-adopted loss function choices, even in small-data regimes.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2020

53BP1 Repair Kinetics for Prediction of In Vivo Radiation Susceptibility in 15 Mouse Strains

We present a novel mathematical formalism to predict the kinetics of DNA damage repair after exposure to both low- and high-LET radiation (X rays; 350 MeV/n 40 Ar; 600 MeV/n 56 Fe). Our method is based on monitoring DNA damage repair protein 53BP1 that forms radiation-induced foci (RIF) at locations of DNA double-strand breaks (DSB) in the nucleus and comparing its expression in primary skin fibroblasts isolated from 15 mice strains. We previously reported strong evidence for clustering of nearby DSB into single repair units as opposed to the classic "contact-first" model where DSB are considered immobile. Here we apply this clustering model to evaluate the number of remaining RIF over time. We also show that the newly introduced kinetic metrics can be used as surrogate biomarkers for in vivo radiation toxicity, with potential applications in radiotherapy and human space exploration. In particular, we observed an association between the characteristic time constant of RIF repair measured in vitro and survival levels of immune cells collected from irradiated mice. Moreover, the speed of DNA damage repair correlated not only with radiation-induced cellular survival in vivo, but also with spontaneous cancer incidence data collected from the Mouse Tumor Biology database, suggesting a relationship between the efficiency of DSB repair after irradiation and cancer risk.

63 RADIATION, THERMAL, AND OTHER ENVIRON. POLLUTAN↗

NASA NTRSDate not supplied

Evaluation of CFD for Simulation of High-Supersonic Control-Surface Effectiveness

As part of studying the ability of Computational Fluid Dynamics (CFD) to accurately model important flow physics in the high-supersonic Mach number range, control-surface effectiveness on an entry vehicle for Mars exploration was examined. As with several other important flow regimes studied under the CFD as Surrogate for Wind Tunnel Testing at High Supersonic Speeds Project, a combined CFD and wind-tunnel study of a proposed Mars landing configuration was undertaken. The testing was performed in high-speed test section of the NASA Langley Research Center’s Unitary Plan Wind Tunnel. The CFD team was an integral part of the overall evaluation team throughout the model development and test planning process and performed pre-test computations predicting the results of the testing. For the CFD predictions of the model in the wind tunnel, the flow into the test section was imposed as a boundary condition. The imposed inflow was based on a previous flow characterization study and companion CFD simulating the flow from the settling chamber through the test section.

James C. Ross↗

DOE OSTI2021

Enhanced Data Efficiency Using Deep Neural Networks and Gaussian Processes for Aerodynamic Design Optimization

Adjoint-based optimization methods are attractive for aerodynamic shape design primarily due to their computational costs being independent of the dimensionality of the input space and their ability to generate high-fidelity gradients that can then be used in a gradient-based optimizer. This makes them very well suited for high-fidelity simulation based aerodynamic shape optimization of highly parametrized geometries such as aircraft wings. However, the development of adjoint-based solvers involve careful mathematical treatment and their implementation require detailed software development. Furthermore, they can become prohibitively expensive when multiple optimization problems are being solved, each requiring multiple restarts to circumvent local optima. In this work, we propose a machine learning enabled, surrogate-based framework that replaces the expensive adjoint solver, without compromising on predicting predictive accuracy. Specifically, we first train a deep neural network (DNN) from training data generated from evaluating the high-fidelity simulation model on a model-agnostic design of experiments on the geometry shape parameters. The optimum shape may then be computed by using a gradient-based optimizer coupled with the trained DNN. Subsequently, we also perform a gradient-free Bayesian optimization, where the trained DNN is used as the prior mean. We observe that the latter framework (DNN-BO) improves upon the DNN-only based optimization strategy for the same computational cost. Overall, this framework predicts the true optimum with very high accuracy, while requiring far fewer high-fidelity function calls compared to the adjoint-based method. Furthermore, we show that multiple optimization problems can be solved with the same machine learning model with high accuracy, to amortize the offline costs associated with constructing our models. Our methodology finds applications in the early stages of aerospace design. (C) 2021 Published by Elsevier Masson SAS.

Renganathan, S. Ashwin↗

DOE OSTI2022

A scalable planning framework of energy storage systems under frequency dynamics constraints

As the penetration of renewables increases in power systems, the declining system inertia can cause frequency stability issues. Battery energy storage systems (BESSs) respond fast and therefore can relieve the low inertia difficulty but need to be appropriately sized considering the associated cost. This paper presents a novel stochastic optimization model for economically planning BESS capacity while considering the spatial–temporal correlation of wind generation and generator outages under frequency stability constraints, which include the rate-of-change of frequency (RoCoF), frequency nadir (FN), and quasi-steady-state (QSS) frequency. A set of new FN constraints that can be easily linearized is developed. To account for renewable uncertainties, a realistic uncertainty modeling approach, Random Field, is adopted to generate wind generation scenarios by considering both spatial and temporal evolutions of wind speed profiles. The ESS sizing is formulated as a mixed-integer linear programming problem and solved by using a scalable decomposition-and-coordination approach, Surrogate Absolute Value Lagrangian Relaxation (SAVLR). To further improve the scalability and reduce computational burdens, a rolling-horizon-based update is developed and incorporated into SAVLR for providing a practical solution to the long-term planning of very large-scale power systems. Finally, a modified IEEE 118-bus system and the Polish system are used to validate the effectiveness and scalability of the model and solution methodology.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2021

Evaluation and improvement of the parameterization of aerosol hygroscopicity in global climate models using in-situ surface measurements (Final Report)

Aerosols are tiny particles suspended on the atmosphere that can interact with incoming solar radiation and affect the Earth radiative budget. They do so by scattering and absorbing solar radiation, and these properties vary depending on the aerosol size and chemical composition. Moreover, by taking up water from the surrounding air, hygroscopic aerosol particles will grow in size and change their chemical composition, thus modifying their optical properties (scattering and absorption) and their final impact on radiative forcing calculations. An accurate knowledge of aerosol hygroscopicity is crucial for estimating the net radiative impact of aerosols. We took a three-pronged approach to improve our understanding of aerosol hygroscopicity and how it is implemented in Earth system models. In the first part of our project, we developed a benchmark dataset from existing aerosol hygroscopic growth measurements made by tandem nephelometer humidogram systems. We analyzed, using a standardized methodology, observations from 26 in-situ stations around the globe. Measurement data was collected from multiple data providers, reviewed and harmonized to create a consistent dataset of the scattering enhancement factor due to aerosol water uptake. This dataset is archived in several publicly available databases for use by interested researchers. In the second part of the project, we used the benchmark hygroscopicity dataset to perform a global study on aerosol hygroscopicity and aerosol optical properties. Measurements show a global picture of scattering enhancement with larger values for Arctic and marine sites and lower for urban and desert sites. We assessed the RH dependence of aerosol radiative forcing and showed that the overall effect of aerosol hygroscopicity on DARF is an increase in the absolute forcing effect (negative sign) by a factor of up to 4 compared to dry conditions (RH<40%). Finally, we explored using aerosol single scattering albedo (SSA) and scattering Angstrom exponent (SAE) as possible proxies for aerosol hygroscopicity. SSA showed more promise as a surrogate for the scattering enhancement factor than SAE, but neither was ideal. In the third part of the project we evaluated the output of ten Earth system models (ESMs) against the benchmark hygroscopicity dataset. ESMs utilize various schemes for aerosol hygroscopicity which had not been previously tested against observations on a global scale. We found that ESMs currently overestimate scattering enhancement due to hygroscopic growth. Model parameterizations of hygroscopicity and model chemistry are two main factors driving the observed diversity in hygroscopicity simulations among the models. In addition, our study makes several suggestions for modelers, including improving the parameterizations of organic and sea salt aerosol hygroscopicity. Future hygroscopicity model evaluation experiments should include the model data related to particles size which was not available for our study.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2024

Comparative analysis of SARS-CoV-2 neutralization titers reveals consistency between human and animal model serum and across assays

The evolution of severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) requires ongoing monitoring to judge the ability of newly arising variants to escape the immune response. A surveillance system necessitates an understanding of differences in neutralization titers measured in different assays and using human and animal serum samples. We compared 18 datasets generated using human, hamster, and mouse serum and six different neutralization assays. Datasets using animal model serum samples showed higher titer magnitudes than datasets using human serum samples in this comparison. Fold change in neutralization of variants compared to ancestral SARS-CoV-2, immunodominance patterns, and antigenic maps were similar among serum samples and assays. Most assays yielded consistent results, except for differences in fold change in cytopathic effect assays. Hamster serum samples were a consistent surrogate for human first-infection serum samples. These results inform the transition of surveillance of SARS-CoV-2 antigenic variation from dependence on human first-infection serum samples to the utilization of serum samples from animal models.

Cell Biology↗

DOE OSTI2026

Development of a coupled experimental–computational approach for engineering optimization of spout-fluidized bed particle coating systems

The design of spout-fluidized bed (SFB) coating systems for nuclear particle fuels typically relies on trial-and-error processes, comprising iterative and time-consuming coating deposition experiments and post-deposition characterization. At an engineering scale, this approach to guided SFB system design is inefficient, highlighting the need for streamlined experimental methodologies which can correlate fluidization conditions to downstream coating outcomes. In this study, we combine time-resolved particle image velocimetry (PIV) with CFD–DEM simulations to benchmark hydrodynamic behavior in a 3D spout-fluidized bed. By exploiting easily accessible optical measurements of particle motion at the bed wall and within the spouting region, we obtain quantitative velocity fields that can be directly compared with model predictions of the occluded bed region, without resorting to complex imaging and characterization techniques such as X-ray or magnetic resonance tomography. Experimental benchmarking reveals strong agreement between CFD–DEM and PIV in the spout and annulus regions, while discrepancies near the wall highlight areas for future model development. Here, the proposed integrated experimental–numerical framework will enable a direct connection between measured variables and numerically predicted fluidization performance of dense, surrogate nuclear particle fuel feedstock such that experimental SFB component design can be rapidly evaluated, informing design decisions for nozzle geometry and operating conditions. Future work will extend this framework by correlating quantified fluidization metrics across nozzle geometries and operating conditions with the resulting coating morphology, microstructure, and uniformity. Establishing these correlations will enable predictive links between hydrodynamic performance and coating quality, providing a rational, scalable basis for optimizing SFB design prior to coating deposition.

CFD/DEM↗

DOE OSTI2021

Estimating and Forecasting Time-Varying Groundwater Recharge in Fractured Rock: A State-Space Formulation with Preferential and Diffuse Flow to the Water Table

Rapid infiltration following precipitation may result in groundwater contamination from surface contaminants or pathogens. In fractured rock, contaminants can migrate rapidly to points of groundwater withdrawals. In contrast to the temporal availability of groundwater quality chemical indicators, meteorological and groundwater level observations are available in real-time to estimate time-varying recharge, which can act as a surrogate to identify periods of rapid infiltration that may indicate contamination susceptibility. Estimating recharge using methods, such as base-flow recession, unsaturated infiltration models, or Water-Table Fluctuations (WTF), cannot capitalize on currently available technologies and telecommunication infrastructure to conduct real-time recharge estimation at scales relevant to characterizing rapid infiltration. We present a linear, physics-based State-Space (SS) model of one-dimensional infiltration to estimate recharge, which includes preferential and diffuse-flow to the water table. The model can take advantage of real-time data for water-table altitude, precipitation, and evapotranspiration. Model parameters are calibrated over an observation period, and the Kalman Filter (KF) is subsequently applied to continuously update the observed (water-table altitude) and unobserved (groundwater recharge) system states and predict future states as new data become available. The SS/KF algorithm is demonstrated at the Masser Groundwater Recharge Site in Pennsylvania, USA and comparisons are made with recharge estimates from WTF methods. Model results indicate that the frequency of observations (daily versus sub-daily) dictates the allocation between preferential and diffuse flow. Additionally, because infiltration processes encompass many nonlinearities, model parameters estimated from observation periods need to be updated at least seasonally to account for changing recharge conditions.

groundwater, Recharge, infiltration, recursive est↗

DOE OSTI2020

NUMERICAL INVESTIGATION OF FUEL PROPERTY EFFECTS ON MIXED-MODE COMBUSTION IN A SPARK-IGNITION ENGINE

In the present study, mixed-mode combustion of an E30 fuel in a direct-injection spark-ignition engine is numerically investigated at a fuel-lean operating condition using multidimensional computational fluid dynamics (CFD). A fuel surrogate matching Research Octane Number (RON) and Motor Octane Number (MON) of E30 is first developed using neural network based non-linear regression model. To enable efficient 3D engine simulations, a 164-species skeletal reaction mechanism incorporating NO, chemistry is reducedfrom a detailed chemical kinetic model. A hybrid approach that incorporates the G-equation model for tracking turbulentflame front, and the multi-zone well-stirred reactor model for predicting auto-ignition in the end gas, is employed to account for turbulent combustion interactions in the engine cylinder. Predicted in-cylinder pressure and heat release rate traces agree well with experimental measurements. The proposed modelling approach also captures moderated cyclic variability. Two different types of combustion cycles, corresponding to purely deflagrative and mixed-mode combustion, are observed. In contrast to the purely deflagrative cycles, mixed-mode combustion cycles feature early flame propagation followed by end-gas auto-ignition, leading to two distinctive peaks in heat release rate traces. The positive correlation between mixed-mode combustion cycles and early flame propagation is well captured by simulations. With the validated numerical setup, effects of NOx chemistry on mixed-mode combustion predictions are investigated. NOx chemistry is found to promote auto-ignition through residual gas recirculation, while the deflagrative flame propagation phase remains largely unaffected. Local sensitivity analysis is then performed to understand effects of physical and chemical properties of the fuel, i.e., heat of evaporation (HoV) and laminar flame speed (S-L). An increased HoV tends to suppress end-gas auto-ignition due to increased vaporization cooling, while the impact of HoV on flame propagation is insignificant. In contrast, an increased SL is found to significantly promote both flame propagation and auto-ignition. The promoting effect of SL on auto-ignition is not a direct chemical effect; it is rather caused by an advancement of the combustion phasing, which increases compression heating of the end gas.

detailed chemical kinetics↗

NASA NTRS2004

Long-Lag, Wide-pulse Gamma-Ray Bursts

Currently, the best available probe of the early phase of gamma-ray burst (GRB) jet attributes is the prompt gamma-ray emission, in which several intrinsic and extrinsic variables determine GRB pulse evolution. Bright, usually complex bursts have many narrow pulses that are difficult to model due to overlap. However, the relatively simple, long spectral lag, wide-pulse bursts may have simpler physics and are easier to model. In this work we analyze the temporal and spectral behavior of wide pulses in 24 long-lag bursts, using a pulse model with two shape parameters - width and asymmetry - and the Band spectral model with three shape parameters. We find that pulses in long-lag bursts are distinguished both temporally and spectrally from those in bright bursts: the pulses in long spectral lag bursts are few in number, and approximately 100 times wider (10s of seconds), have systematically lower peaks in vF(v), harder low-energy spectra and softer high-energy spectra. We find that these five pulse descriptors are essentially uncorrelated for our long-lag sample, suggesting that at least approximately 5 parameters are needed to model burst temporal and spectral behavior. However, pulse width is strongly correlated with spectral lag; hence these two parameters may be viewed as mutual surrogates. We infer that accurate formulations for estimating GRB luminosity and total energy will depend on several gamma-ray attributes, at least for long-lag bursts. The prevalence of long-lag bursts near the BATSE trigger threshold, their predominantly low vF(v) spectral peaks, and relatively steep upper power-law spectral indices indicate that Swift will detect many such bursts.

Norris, J. P.↗

DOE OSTI2026

Non-conformal interface-cohesive modeling with the shifted boundary method

The accurate simulation of boundary- and interface-dominated problems on complex geometries remains challenging when boundary- or interface-fitted meshes are difficult to generate, particularly for curved boundaries, polycrystalline microstructures, and dense interface networks. The Shifted Boundary Method (SBM) alleviates this meshing burden by shifting the enforcement of boundary conditions from the true boundary to a nearby surrogate boundary and recovering the effect of the true boundary through geometric correction terms, thereby enabling standard finite element spaces on non-boundary-fitted meshes. In this report, we develop a general shiftedboundary and shifted-interface framework within the open-source MOOSE framework. We first present a general SBM implementation for complex geometries on non-boundary-fitted meshes. We then adopt the Shifted Interface Method (SIM) for internal interfaces and develop a unified shifted-interface treatment in which the interface law is enforced on a surrogate interface and the effect of the true interface is recovered through shifted jumps, fluxes, and tractions. This perspective brings scalar thermal-contact and vector-valued cohesive-zone mechanics into a single framework, the latter realized as the Shifted Cohesive Zone Method (SCZM) and coupled with history-dependent constitutive models from NEML2. We further extend the MOOSE mesh infrastructure to support cohesive-zone calculations on distributed meshes. The framework is verified and demonstrated through three progressive studies: Poisson’s equation on a smoothed starshaped domain, a manufactured thermal-contact problem on a non-interface-fitted mesh, and a two-dimensional polycrystalline representative volume element combining crystal plasticity with cohesive grain-boundary interfaces. Across these studies, the shifted formulations reproduce boundary- and interface-fitted reference solutions with high fidelity, indicating that the proposed framework provides an accurate and efficient route to boundary- and interface-dominated simulations on arbitrary geometries without requiring fitted meshes.

Yang, Cheng-Hau↗

NASA NTRS2021

Validation Assessment for the Soil Moisture Active Passive (SMAP) Level 4 Carbon (L4_C) Data Product Version 5

The post-launch Cal/Val phase of the SMAP mission is guided by two primary objectives for each science product team: 1) to calibrate, verify, and improve the performance of the science algorithms, and 2) validate accuracies of the science data products as specified in the SMAP Level-1 mission science requirements. Algorithm science and product maintenance activities during the SMAP extended mission phase have also involved periodic algorithm calibration and product refinements to maintain or enhance product consistency and performance as well as science utility. This report provides an assessment of the latest (Version 5) SMAP Level 4 Carbon (L4_C) product. The L4_C Version 5 (v5) global record now spans more than six years (March 2015 – present) of SMAP operations and has benefited from five major reprocessing updates to the operational product. These reprocessing events and L4_C product release updates have incorporated various algorithm refinements and calibration adjustments to account for similar refinements to the upstream GEOS land model assimilation system, SMAP brightness temperatures, and MODIS vegetation inputs used for L4_C processing. The SMAP L4_C algorithms utilize a terrestrial carbon flux model informed by daily surface and root zone soil moisture information contributed from the SMAP Level 4 Soil Moisture (L4_SM) product along with optical remote sensing-based (e.g. MODIS-based) land cover and canopy fractional photosynthetic active radiation (fPAR), and other ancillary biophysical data. The carbon flux model estimates global daily net ecosystem CO2 exchange (NEE) and the component carbon fluxes, namely, vegetation gross primary production (GPP) and soil heterotrophic respiration (Rh). Other L4_C product elements include surface (~0-5 cm depth) soil organic carbon (SOC) stocks and associated environmental constraints to these processes, including soil moisture-related controls on GPP and ecosystem respiration (Kimball et al. 2014, Jones et al. 2017). The L4_C product addresses SMAP carbon cycle science objectives by: 1) providing a direct link between terrestrial carbon fluxes and underlying freeze/thaw and soil moisture-related constraints to these processes, 2) documenting primary connections between terrestrial water, energy and carbon cycles, and 3) improving understanding of terrestrial carbon sink activity. The SMAP L4_C algorithms and operational product are mature and at a CEOS Validation Stage 4 level (Jackson et al. 2012) based on extensive validation of the multi-year record against a diverse array of independent benchmarks, well characterized global performance, and systematic refinements gained from five major reprocessing events. There are no Level-1 mission science requirements for the L4_C product; however, self-imposed requirements have been established focusing on NEE as the primary product field for validation, and on demonstrating L4_C accuracy and success in meeting product science requirements (Jackson et al. 2012). The other L4_C product fields also have strong utility for carbon science applications (e.g., Liu et al. 2019, Endsley et al. 2020); however, analysis of these other fields is considered secondary relative to primary validation activities focusing on NEE. The L4_C targeted accuracy requirements are to meet or exceed a mean unbiased root-mean-square error (ubRMSE, or standard deviation of the error) for NEE of 1.6 g C m-2 d-1 and 30 g C m-2 yr-1, emphasizing northern (≥45°N) boreal and arctic ecosystems; this accuracy is similar to that of tower eddy covariance measurement-based observations (Baldocchi 2008). Methods used for the latest v5 L4_C product performance and validation assessment have been established from the SMAP Cal/Val plan and previous studies (Jackson et al. 2012, Jones et al. 2017) and include: 1) consistency evaluations of the product fields against earlier product releases (version 4 or earlier); 2) comparisons of daily carbon flux estimates with independent tower eddy 4covariance measurement-based daily carbon (CO2) flux observations from core tower validation sites (CVS); and 3) consistency checks against other global carbon products, including soil carbon inventory records, global GPP records derived from tower observation upscaling methods, and satellite-based observations of canopy solar induced chlorophyll fluorescence (SIF) as a surrogate for GPP. Metrics used to evaluate relative agreement between L4_C product fields and observational benchmarks include correlation (r-value), RMSE differences, bias and model sensitivity diagnostics. Following these validation criteria, the present report provides a validation assessment of the latest L4_C product release (v5). Detailed descriptions of the L4_C algorithm and additional global product accuracy and performance results are given elsewhere (Jones et al. 2017, Endsley et al. 2020). The v5 L4_C product replaces earlier product versions and continues to show: (i) accuracy and performance levels meeting or exceeding SMAP L4_C science requirements; (ii) improvement over the previous product version (version 4); and (iii) suitability for a diversity of science applications. Example L4_C applications from the recent literature include clarifying environmental trends and controls on the northern terrestrial carbon sink (Liu et al. 2019), diagnosing drought-related impacts on ecosystem productivity (Li et al. 2020), and regional monitoring of cropland conditions for projecting annual yields (Wurster et al. 2020). 2EXPECTED L4_C ALGORITHM AND PRODUCTPERFORMANCE The L4_C algorithm performance, including variance and uncertainty estimates of model outputs, was determined during the mission pre-launch phase through spatially explicit model sensitivity studies using available model inputs similar to those currently being used for operational production and evaluating the resulting model simulations over the observed range of northern (≥45 °N) and global conditions (Kimball et al. 2012, Entekhabi et al. 2014). The L4_C algorithm options were also evaluated during the mission prelaunch phase, including deriving canopy fPAR from lower order NDVI (Normalized Difference Vegetation Index) inputs in lieu of using MODIS (MOD15) fPAR; and including an explicit model representation of boreal fire disturbance recovery impacts. These results indicated that the L4_C accuracy requirements (i.e., NEE ubRMSE ≤ 30 g C m-2 yr-1or ≤ 1.6 g C m-2 d-1) could be met from the baseline algorithms over more than 82% and 89% of global and northern vegetated land areas, respectively (Yi et al. 2013, Kimball et al. 2014). The global L4_C algorithm error budget for NEE derived during the mission prelaunch phase indicated that the estimated NEE ubRMSE uncertainty is proportional to GPP and is therefore larger in higher biomass productivity areas, including forests and croplands (Kimball et al. 2014). Likewise, NEE ubRMSE uncertainty is expected to be lower in less-productive areas, including grasslands and shrublands. Expected model NEE ubRMSE levels were also generally within targeted accuracy levels for characteristically less-productive boreal and Arctic biomes, even though relative model error as a proportion of total productivity (NEE RMSE / GPP) may be large in these areas. The estimated NEE uncertainty was lower than expected in some warmer tropical high biomass productivity areas (e.g. Amazon rainforest) because of reduced low temperature and moisture constraints to the L4_C respiration calculations so that the bulk of model uncertainty is contributed by GPP in these areas. Model NEE uncertainty in the African Congo was estimated to

SMAP↗

DOE OSTI2022

Blended fuel property analysis of butyl-exchanged polyoxymethylene ethers as renewable diesel blendstocks

Methyl-terminated polyoxymethylene ethers (MM-POMEs), having the formula CH 3 O-(CH 2 O)n-CH 3 (n = 3-6), are a class of oxygenates with desirable diesel-like fuel properties including high cetane number and low soot formation. However, their low energy density and high water-solubility present barriers to their adoption. Both concerns were recently addressed by our research group by synthesizing a mixture of POME structures having butyl end-groups and n = 1-6, termed B*POME1-6. B*POME1-6 maintained the advantageous properties of the parent MM-POMEs, and exhibited improved energy density and most notably, dramatically decreased water solubility. For evaluation against a set of criteria for a blended diesel blendstock, a 20 vol% blend of B*POME1-6 with a base diesel fuel was investigated here. Oxidation stability, cetane number, sooting tendency, lubricity and conductivity were improved in the B*POME1-6 blend compared with the base diesel, while also maintaining the flash point, cloud point, energy density, viscosity, and boiling point requirements. The B*POME1-6 product demonstrated a synergistic blending behavior at 10 vol% and a linear blending behavior at 20-30 vol% blends, in agreement with similar POME blends at comparable blend levels. Finally, common environmental and toxicity models performed on B*POME1-6 component molecules suggested they have a greater propensity to partition into the water compartment compared to a common diesel surrogate, but with a lower tendency to bioaccumulate.

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