The Influence of Arctic Sea Ice Concentration Perturbations on Subseasonal Predictions of North Atlantic Oscillation Events

The influence of Arctic sea ice concentration (SIC) on the subseasonal prediction of the North Atlantic Oscillation (NAO) event is investigated by utilizing the Community Atmospheric Model version 4. The optimal Arctic SIC perturbations which exert the greatest influence on the onset of an NAO event from a lead of three pentads (15 days) are obtained with a conditional nonlinear optimal perturbation approach. Numerical results show that there are two types of optimal Arctic SIC perturbations for each NAO event, with one weakening event (marked as type-1) and another strengthening event (marked as type-2). For positive NAO events, type-1 optimal SIC perturbations mainly show positive SIC anomalies in the Greenland, Barents, and Okhotsk Seas, while type-2 perturbations mainly feature negative SIC anomalies in these regions. For negative NAO events, the optimal SIC perturbations have almost opposite patterns to those in positive events, although there are some differences among these SIC perturbations due to different atmospheric initial conditions. Further diagnosis reveals that the optimal Arctic SIC perturbations first modify the surface turbulent heat flux and the temperature in the lower troposphere via diabatic processes. Afterward, the temperature in the low troposphere is mainly affected by dynamic advection. Finally, potential vorticity advection plays a crucial role in the 500-hPa geopotential height prediction in the northern North Atlantic sector during pentad 4, which influences NAO event prediction. These results highlight the importance of Arctic SIC on NAO event prediction and the spatial characteristics of the SIC perturbations may provide scientific support for target observations of SIC in improving NAO subseasonal predictions.

Application of the Conditional Nonlinear Optimal Perturbation Method to the Predictability Study of the Kuroshio Large Meander

A reduced-gravity barotropic shallow-water model was used to simulate the Kuroshio path variations. The results show that the model was able to capture the essential features of these path variations. We used one simulation of the model as the reference state and investigated the effects of errors in model parameters on the prediction of the transition to the Kuroshio large meander （KLM） state using the conditional nonlinear optimal parameter perturbation （CNOP-P） method. Because of their relatively large uncertainties, three model parameters were considered： the interracial friction coefficient, the wind-stress amplitude, and the lateral friction coefficient. We determined the CNOP-Ps optimized for each of these three parameters independently, and we optimized all three parameters simultaneously using the Spectral Projected Gradient 2 （SPG2） algorithm. Similarly, the impacts caused by errors in initial conditions were examined using the conditional nonlinear optimal initial perturbation （CNOP-I） method. Both the CNOP-I and CNOP-Ps can result in significant prediction errors of the KLM over a lead time of 240 days. But the prediction error caused by CNOP-I is greater than that caused by CNOP-P. The results of this study indicate not only that initial condition errors have greater effects on the prediction of the KLM than errors in model parameters but also that the latter cannot be ignored. Hence, to enhance the forecast skill of the KLM in this model, the initial conditions should first be improved, the model parameters should use the best possible estimates.

Applications of Conditional Nonlinear Optimal Perturbation in Predictability Study and Sensitivity Analysis of Weather and Climate

Considering the limitation of the linear theory of singular vector （SV）, the authors and their collabora- tors proposed conditional nonlinear optimal perturbation （CNOP） and then applied it in the predictability study and the sensitivity analysis of weather and climate system. To celebrate the 20th anniversary of Chinese National Committee for World Climate Research Programme （WCRP）, this paper is devoted to reviewing the main results of these studies. First, CNOP represents the initial perturbation that has largest nonlinear evolution at prediction time, which is different from linear singular vector （LSV） for the large magnitude of initial perturbation or/and the long optimization time interval. Second, CNOP, rather than linear singular vector （LSV）, represents the initial anomaly that evolves into ENSO events most probably. It is also the CNOP that induces the most prominent seasonal variation of error growth for ENSO predictability; furthermore, CNOP was applied to investigate the decadal variability of ENSO asymmetry. It is demonstrated that the changing nonlinearity causes the change of ENSO asymmetry. Third, in the studies of the sensitivity and stability of ocean＇s thermohaline circulation （THC）, the nonlinear asymmetric response of THC to finite amplitude of initial perturbations was revealed by CNOP. Through this approach the passive mechanism of decadal variation of THC was demonstrated; Also the authors studies the instability and sensitivity analysis of grassland ecosystem by using CNOP and show the mechanism of the transitions between the grassland and desert states. Finally, a detailed discussion on the results obtained by CNOP suggests the applicability of CNOP in predictability studies and sensitivity analysis.

A Variant Constrained Genetic Algorithm for Solving Conditional Nonlinear Optimal Perturbations

A variant constrained genetic algorithm （VCGA） for effective tracking of conditional nonlinear optimal perturbations （CNOPs） is presented. Compared with traditional constraint handling methods, the treatment of the constraint condition in VCGA is relatively easy to implement. Moreover, it does not require adjustments to indefinite pararneters. Using a hybrid crossover operator and the newly developed multi-ply mutation operator, VCGA improves the performance of GAs. To demonstrate the capability of VCGA to catch CNOPS in non-smooth cases, a partial differential equation, which has ＂on off＂ switches in its forcing term, is employed as the nonlinear model. To search global CNOPs of the nonlinear model, numerical experiments using VCGA, the traditional gradient descent algorithm based on the adjoint method （ADJ）, and a GA using tournament selection operation and the niching technique （GA-DEB） were performed. The results with various initial reference states showed that, in smooth cases, all three optimization methods are able to catch global CNOPs. Nevertheless, in non-smooth situations, a large proportion of CNOPs captured by the ADJ are local. Compared with ADJ, the performance of GA-DEB shows considerable improvement, but it is far below VCGA. Further, the impacts of population sizes on both VCGA and GA-DEB were investigated. The results were used to estimate the computation time of ~CGA and GA-DEB in obtaining CNOPs. The computational costs for VCGA, GA-DEB and ADJ to catch CNOPs of the nonlinear model are also compared.

A New Approach for Parameter Optimization in Land Surface Model

In this study,a new parameter optimization method was used to investigate the expansion of conditional nonlinear optimal perturbation （CNOP） in a land surface model （LSM） using long-term enhanced field observations at Tongyu station in Jilin Province,China,combined with a sophisticated LSM （common land model,CoLM）.Tongyu station is a reference site of the international Coordinated Energy and Water Cycle Observations Project （CEOP） that has studied semiarid regions that have undergone desertification,salination,and degradation since late 1960s.In this study,three key land-surface parameters,namely,soil color,proportion of sand or clay in soil,and leaf-area index were chosen as parameters to be optimized.Our study comprised three experiments：First,a single-parameter optimization was performed,while the second and third experiments performed triple-and six-parameter optimizations,respectively.Notable improvements in simulating sensible heat flux （SH）,latent heat flux （LH）,soil temperature （TS）,and moisture （MS） at shallow layers were achieved using the optimized parameters.The multiple-parameter optimization experiments performed better than the single-parameter experminent.All results demonstrate that the CNOP method can be used to optimize expanded parameters in an LSM.Moreover,clear mathematical meaning,simple design structure,and rapid computability give this method great potential for further application to parameter optimization in LSMs.

Inducing Unstable Grassland Equilibrium States Due to Nonlinear Optimal Patterns of Initial and Parameter Perturbations:Theoretical Models

Due to uncertainties in initial conditions and parameters, the stability and uncertainty of grassland ecosystem simulations using ecosystem models are issues of concern. Our objective is to determine the types and patterns of initial and parameter perturbations that yield the greatest instability and uncertainty in simulated grassland ecosystems using theoretical models. We used a nonlinear optimization approach, i.e., a conditional nonlinear optimal perturbation related to initial and parameter perturbations （CNOP） approach, in our work. Numerical results indicated that the CNOP showed a special and nonlinear optimal pattern when the initial state variables and multiple parameters were considered simultaneously. A visibly different complex optimal pattern characterizing the CNOPs was obtained by choosing different combinations of initial state variables and multiple parameters in different physical processes. We propose that the grassland modeled ecosystem caused by the CNOP-type perturbation is unstable and exhibits two aspects： abrupt change and the time needed for the abrupt change from a grassland equilibrium state to a desert equilibrium state when the initial state variables and multiple parameters are considered simultaneously. We compared these findings with results affected by the CNOPs obtained by considering only uncertainties in initial state variables and in a single parameter. The numerical results imply that the nonlinear optimal pattern of initial perturbations and parameter perturbations, especially for more parameters or when special parameters are involved, plays a key role in determining stabilities and uncertainties associated with a simulated or predicted grassland ecosystem.

Algorithm Studies on How to Obtain a Conditional Nonlinear Optimal Perturbation (CNOP)

The conditional nonlinear optimal perturbation （CNOP）, which is a nonlinear generalization of the linear singular vector （LSV）, is applied in important problems of atmospheric and oceanic sciences, including ENSO predictability, targeted observations, and ensemble forecast. In this study, we investigate the computational cost of obtaining the CNOP by several methods. Differences and similarities, in terms of the computational error and cost in obtaining the CNOP, are compared among the sequential quadratic programming （SQP） algorithm, the limited memory Broyden-Fletcher-Goldfarb-Shanno （L-BFGS） algorithm, and the spectral projected gradients （SPG2） algorithm. A theoretical grassland ecosystem model and the classical Lorenz model are used as examples. Numerical results demonstrate that the computational error is acceptable with all three algorithms. The computational cost to obtain the CNOP is reduced by using the SQP algorithm. The experimental results also reveal that the L-BFGS algorithm is the most effective algorithm among the three optimization algorithms for obtaining the CNOP. The numerical results suggest a new approach and algorithm for obtaining the CNOP for a large-scale optimization problem.

Application of the Conditional Nonlinear Optimal Perturbations Method in a Theoretical Grassland Ecosystem

Using a simplified nonlinearly theoretical grassland ecosystem proposed by Zeng et al.,we study the sensitivity and nonlinear instability of the grassland ecosystem to finiteamplitude initial perturbations with the approach of conditional nonlinear optimal perturbation （CNOP）.The results show that the linearly stable grassland （desert or latent desert） states can turn to be nonlinearly unstable with finite amplitude initial perturbations.When the precipitation is between the two bifurcation points,a large enough finite amplitude initial perturbation can induce a transition between the grassland statethe desert state or the latent desert.

Applications of Conditional Nonlinear Optimal Perturbation to the Study of the Stability and Sensitivity of the Jovian Atmosphere

A two-layer quasi-geostrophic model is used to study the stability and sensitivity of motions on smallscale vortices in Jupiter＇s atmosphere. Conditional nonlinear optimal perturbations （CNOPs） and linear singular vectors （LSVs） are both obtained numerically and compared in this paper. The results show that CNOPs can capture the nonlinear characteristics of motions in small-scale vortices in Jupiter＇s atmosphere and show great difference from LSVs under the condition that the initial constraint condition is large or the optimization time is not very short or both. Besides, in some basic states, local CNOPs are found. The pattern of LSV is more similar to local CNOP than global CNOP in some cases. The elementary application of the method of CNOP to the Jovian atmosphere helps us to explore the stability of variousscale motions of Jupiter＇s atmosphere and to compare the stability of motions in Jupiter＇s atmosphere and Earth＇s atmosphere further.

THE EFFECTIVENESS OF GENETIC ALGORITHM IN CAPTURING CONDITIONAL NONLINEAR OPTIMAL PERTURBATION WITH PARAMETERIZATION “ON-OFF” SWITCHES INCLUDED BY A MODEL

In the typhoon adaptive observation based on conditional nonlinear optimal perturbation (CNOP), the ‘on-off’ switch caused by moist physical parameterization in prediction models prevents the conventional adjoint method from providing correct gradient during the optimization process. To address this problem, the capture of CNOP, when the "on-off" switches are included in models, is treated as non-smooth optimization in this study, and the genetic algorithm (GA) is introduced. After detailed algorithm procedures are formulated using an idealized model with parameterization "on-off" switches in the forcing term, the impacts of "on-off" switches on the capture of CNOP are analyzed, and three numerical experiments are conducted to check the effectiveness of GA in capturing CNOP and to analyze the impacts of different initial populations on the optimization result. The result shows that GA is competent for the capture of CNOP in the context of the idealized model with parameterization ‘on-off’ switches in this study. Finally, the advantages and disadvantages of GA in capturing CNOP are analyzed in detail.

THE APPLICATION OF CONDITIONAL NONLINEAR OPTIMAL PERTURBATION TO THE BINARY TYPHOONS INTERACTION —FENGSHEN AND FUNG-WONG

The interaction between the typhoons Fengshen and Fung-wong over the Western Pacific in 2002 is studied with the Conditional Nonlinear Optimal Perturbation(CNOP) method.The study discovered that the CNOP method reveals the process of one-way interaction between Fengshen and Fung-wong.Moreover,if the region of Fung-wong was selected for verification,the sensitivity area was mainly located in the region of Fengshen and presented a half-ring structure;if the region of Fengshen was selected for verification,most of the sensitivity areas were located in the region between the Fengshen and the subtropical high,far away from Fung-wong.This indicated that Fung-wong is mainly steered by Fengshen,but Fengshen is mainly affected by the subtropical high.The sensitivity experiment showed that the initial errors in the CNOP-identified sensitive areas have larger impacts on the verification-area prediction than those near the typhoon center and their developments take a large proportion in the whole domain.This suggests that the CNOP-identified sensitive areas do have large influence on the verification-area prediction.

Is Model Parameter Error Related to a Significant Spring Predictability Barrier for El Nio events? Results from a Theoretical Model

Within a theoretical ENSO model, the authors investigated whether or not the errors superimposed on model parameters could cause a significant ＂spring predictability barrier＂ （SPB） for El Nio events. First, sensitivity experiments were respectively performed to the air-sea coupling parameter, α and the thermocline effect coefficient μ. The results showed that the uncertainties superimposed on each of the two parameters did not exhibit an obvious season-dependent evolution; furthermore, the uncertainties caused a very small prediction error and consequently failed to yield a significant SPB. Subsequently, the conditional nonlinear optimal perturbation （CNOP） approach was used to study the effect of the optimal mode （CNOP-P） of the uncertainties of the two parameters on the SPB and to demonstrate that the CNOP-P errors neither presented a unified season-dependent evolution for different El Nio events nor caused a large prediction error, and therefore did not cause a significant SPB. The parameter errors played only a trivial role in yielding a significant SPB. To further validate this conclusion, the authors investigated the effect of the optimal combined mode （i.e. CNOP error） of initial and model errors on SPB. The results illustrated that the CNOP errors tended to have a significant season-dependent evolution, with the largest error growth rate in the spring, and yielded a large prediction error, inducing a significant SPB. The inference, therefore, is that initial errors, rather than model parameter errors, may be the dominant source of uncertainties that cause a significant SPB for El Nio events. These results indicate that the ability to forecast ENSO could be greatly increased by improving the initialization of the forecast model.

The Roles of Spatial Locations and Patterns of Initial Errors in the Uncertainties of Tropical Cyclone Forecasts

In this study, a series of sensitivity experiments were performed for two tropical cyclones （TCs）, TC Longwang （2005） and TC Sinlaku （2008）, to explore the roles of locations and patterns of initial errors in uncertainties of TC forecasts. Specifically, three types of initial errors were generated and three types of sensitive areas were determined using conditional nonlinear optimal perturbation （CNOP）, first singular vector （FSV）, and composite singular vector （CSV） methods. Additionally, random initial errors in randomly selected areas were considered. Based on these four types of initial errors and areas, we designed and performed 16 experiments to investigate the impacts of locations and patterns of initial errors on the nonlinear developments of the errors, and to determine which type of initial errors and areas has the greatest impact on TC forecasts. Overall, results from the experiments indicate the following： （1） The impact of random errors introduced into the sensitive areas was greater than that of errors themselves fixed in the randomly selected areas. From the perspective of statisticul analysis, and by comparison, the impact of random errors introduced into the CNOP target area was greatest. （2） The initial errors with CNOP, CSV, or FSV patterns were likely to grow faster than random errors. （3） The initial errors with CNOP patterns in the CNOP target areas had the greatest impacts on the final verification forecasts.

Response of a Grassland Ecosystem to Climate Change in a Theoretical Model

The response of a grassland ecosystem to climate change is discussed within the context of a theoretical model.An optimization approach,a conditional nonlinear optimal perturbation related to parameter（CNOP-P） approach,was employed in this study.The CNOP-P,a perturbation of moisture index in the theoretical model,represents a nonlinear climate perturbation.Two kinds of linear climate perturbations were also used to study the response of the grassland ecosystem to different types of climate changes.The results show that the extent of grassland ecosystem variation caused by the CNOP-P-type climate change is greater than that caused by the two linear types of climate change.In addition,the grassland ecosystem affected by the CNOP-P-type climate change evolved into a desert ecosystem,and the two linear types of climate changes failed within a specific amplitude range when the moisture index recovered to its reference state.Therefore,the grassland ecosystem response to climate change was nonlinear.This study yielded similar results for a desert ecosystem seeded with both living and wilted biomass litter.The quantitative analysis performed in this study also accounted for the role of soil moisture in the root zone and the shading effect of wilted biomass on the grassland ecosystem through nonlinear interactions between soil and vegetation.The results of this study imply that the CNOP-P approach is a potentially effective tool for assessing the impact of nonlinear climate change on grassland ecosystems.

On the Application of a Genetic Algorithm to the Predictability Problems Involving "On-Off" Switches

The lower bound of maximum predictable time can be formulated into a constrained nonlinear opti- mization problem, and the traditional solutions to this problem are the filtering method and the conditional nonlinear optimal perturbation （CNOP） method. Usually, the CNOP method is implemented with the help of a gradient descent algorithm based on the adjoint method, which is named the ADJ-CNOP. However, with the increasing improvement of actual prediction models, more and more physical processes are taken into consideration in models in the form of parameterization, thus giving rise to the on–off switch problem, which tremendously affects the effectiveness of the conventional gradient descent algorithm based on the ad- joint method. In this study, we attempted to apply a genetic algorithm （GA） to the CNOP method, named GA-CNOP, to solve the predictability problems involving on–off switches. As the precision of the filtering method depends uniquely on the division of the constraint region, its results were taken as benchmarks, and a series of comparisons between the ADJ-CNOP and the GA-CNOP were performed for the modified Lorenz equation. Results show that the GA-CNOP can always determine the accurate lower bound of maximum predictable time, even in non-smooth cases, while the ADJ-CNOP, owing to the effect of on–off switches, often yields the incorrect lower bound of maximum predictable time. Therefore, in non-smooth cases, using GAs to solve predictability problems is more effective than using the conventional optimization algorithm based on gradients, as long as genetic operators in GAs are properly configured.

Identifying sensitive areas of adaptive observations for prediction of the Kuroshio large meander using a shallow-water model

Sensitive areas for prediction of the Kuroshio large meander using a 1.5-layer,shallowwater ocean model were investigated using the conditional nonlinear optimal perturbation(CNOP) and first singular vector(FSV) methods.A series of sensitivity experiments were designed to test the sensitivity of sensitive areas within the numerical model.The following results were obtained:(1) the effect of initial CNOP and FSV patterns in their sensitive areas is greater than that of the same patterns in randomly selected areas,with the effect of the initial CNOP patterns in CNOP sensitive areas being the greatest;(2) both CNOP- and FSV-type initial errors grow more quickly than random errors;(3) the effect of random errors superimposed on the sensitive areas is greater than that of random errors introduced into randomly selected areas,and initial errors in the CNOP sensitive areas have greater effects on final forecasts.These results reveal that the sensitive areas determined using the CNOP are more sensitive than those of FSV and other randomly selected areas.In addition,ideal hindcasting experiments were conducted to examine the validity of the sensitive areas.The results indicate that reduction(or elimination) of CNOP-type errors in CNOP sensitive areas at the initial time has a greater forecast benefit than the reduction(or elimination) of FSVtype errors in FSV sensitive areas.These results suggest that the CNOP method is suitable for determining sensitive areas in the prediction of the Kuroshio large-meander path.

Can Adaptive Observations Improve Tropical Cyclone Intensity Forecasts?

In order to investigate whether adaptive observations can improve tropical cyclone （TC） intensity forecasts,observing system simulation experiments （OSSEs） were conducted for 20 TC cases originating in the western North Pacific during the 2010 season according to the conditional nonlinear optimal perturbation （CNOP） sensitivity,using the fifth version of the PSU/NCAR mesoscale model （MM5） and its 3DVAR assimilation system.A new intensity index was defined as the sum of the number of grid points within an allocated square centered at the corresponding forecast TC central position,that satisfy constraints associated with the Sea Level Pressure （SLP）,near-surface horizontal wind speed,and accumulated convective precipitation.The higher the index value is,the more intense the TC is.The impacts of the CNOP sensitivity on the intensity forecast were then estimated.The OSSE results showed that for 15 of the 20 cases there were improvements,with reductions of forecast errors in the range of 0.12％-8.59％,which were much less than in track forecasts.The indication,therefore,is that the CNOP sensitivity has a generally positive effect on TC intensity forecasts,but only to a certain degree.We conclude that factors such as the use of a coupled model,or better initialization of the TC vortex,are more important for an accurate TC intensity forecast.

A Preliminary Application of the Differential Evolution Algorithm to Calculate the CNOP

A projected skill is adopted by use of the differential evolution (DE) algorithm to calculate a conditional nonlinear optimal perturbation (CNOP). The CNOP is the maximal value of a constrained optimization problem with a constraint condition, such as a ball constraint. The success of the DE algorithm lies in its ability to handle a non-differentiable and nonlinear cost function. In this study, the DE algorithm and the traditional optimization algorithms used to obtain the CNOPs are compared by analyzing a theoretical grassland ecosystem model and a dynamic global vegetation model. This study shows that the CNOPs generated by the DE algorithm are similar to those by the sequential quadratic programming (SQP) algorithm and the spectral projected gradients (SPG2) algorithm. If the cost function is non-differentiable, the CNOPs could also be caught with the DE algorithm. The numerical results suggest the DE algorithm can be employed to calculate the CNOP, especially when the cost function is non-differentiable.

Optimal nonlinear excitation of decadal variability of the North Atlantic thermohaline circulation

Nonlinear development of salinity perturbations in the Atlantic thermohaline circulation(THC) is investigated with a three-dimensional ocean circulation model,using the conditional nonlinear optimal perturbation method.The results show two types of optimal initial perturbations of sea surface salinity,one associated with freshwater and the other with salinity.Both types of perturbations excite decadal variability of the THC.Under the same amplitude of initial perturbation,the decadal variation induced by the freshwater perturbation is much stronger than that by the salinity perturbation,suggesting that the THC is more sensitive to freshwater than salinity perturbation.As the amplitude of initial perturbation increases,the decadal variations become stronger for both perturbations.For salinity perturbations,recovery time of the THC to return to steady state gradually saturates with increasing amplitude,whereas this recovery time increases remarkably for freshwater perturbations.A nonlinear(advective) feedback between density and velocity anomalies is proposed to explain these characteristics of decadal variability excitation.The results are consistent with previous ones from simple box models,and highlight the importance of nonlinear feedback in decadal THC variability.

Impact of observational MJO forcing on ENSO predictability in the Zebiak-Cane model: PartⅠ.Effect on the maximum prediction error

With the observational wind data and the Zebiak-Cane model, the impact of Madden-Iulian Oscillation （MJO） as external forcing on El Nino-Southern Oscillation （ENSO） predictability is studied. The observational data are analyzed with Continuous Wavelet Transform （CWT） and then used to extract MJO signals, which are added into the model to get a new model. After the Conditional Nonlinear Optimal Perturbation （CNOP） method has been used, the initial errors which can evolve into maximum prediction error, model errors and their join errors are gained and then the Nifio 3 indices and spatial structures of three kinds of errors are investigated. The results mainly show that the observational MJO has little impact on the maximum prediction error of ENSO events and the initial error affects much greater than model error caused by MJO forcing. These demonstrate that the initial error might be the main error source that produces uncertainty in ENSO prediction, which could provide a theoretical foundation for the adaptive data assimilation of the ENSO forecast and contribute to the ENSO target observation.