The Principle of Energetic Consistency: Application to the Shallow-Water Equations

If the complete state of the earth's atmosphere (e.g., pressure, temperature, winds and humidity, everywhere throughout the atmosphere) were known at any particular initial time, then solving the equations that govern the dynamical behavior of the atmosphere would give the complete state at all subsequent times. Part of the difficulty of weather prediction is that the governing equations can only be solved approximately, which is what weather prediction models do. But weather forecasts would still be far from perfect even if the equations could be solved exactly, because the atmospheric state is not and cannot be known completely at any initial forecast time. Rather, the initial state for a weather forecast can only be estimated from incomplete observations taken near the initial time, through a process known as data assimilation. Weather prediction models carry out their computations on a grid of points covering the earth's atmosphere. The formulation of these models is guided by a mathematical convergence theory which guarantees that, given the exact initial state, the model solution approaches the exact solution of the governing equations as the computational grid is made more fine. For the data assimilation process, however, there does not yet exist a convergence theory. This book chapter represents an effort to begin establishing a convergence theory for data assimilation methods. The main result, which is called the principle of energetic consistency, provides a necessary condition that a convergent method must satisfy. Current methods violate this principle, as shown in earlier work of the author, and therefore are not convergent. The principle is illustrated by showing how to apply it as a simple test of convergence for proposed methods.