Indiana University-Purdue University Indianapolis (IUPUI) / Accurate estimation of State of Charge (SOC) is crucial. With the ever-increasing usage of batteries, especially in safety critical applications, the requirement of accurate estimation of SOC is paramount. Most current methods of SOC estimation rely on data collected and calibrated offline, which could lead to inaccuracies in SOC estimation as the battery ages or under different operating conditions. This work aims at exploring the real-time estimation and optimization of SOC by applying Particle Swarm Optimization (PSO) to a detailed electrochemical model of a single cell. The goal is to develop a single cell model and PSO algorithm which can run on an embedded device with reasonable utilization of CPU and memory resources and still be able to estimate SOC with acceptable accuracy. The scope is to demonstrate the accurate estimation of SOC for 1C charge and discharge for both healthy and aged cell.

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Vehicle characteristics have a significant impact on handling, stability, and rollover propensity. This research is dedicated to furthering the research in and modeling of vehicle dynamics and parameter estimation. Parameter estimation is a challenging problem. Many different elements play into the stability of a parameter estimation algorithm. The primary trade-off is robustness for accuracy. Lyapunov estimation techniques, for instance, guarantee stability but do not guarantee parameter accuracy. The ability to observe the states of the system, whether by sensors or observers is a key problem. This research significantly improves the Generalized Polynomial Chaos Extended Kalman Filter (gPC-EKF) for state-space systems. Here it is also expanded to parameter regression, where it shows excellent capabilities for estimating parameters in linear regression problems. The modeling of ground vehicles has many challenges. Compounding the problems in the parameter estimation methods, the modeling of ground vehicles is very complex and contains many difficulties. Full multibody dynamics models may be able to accurately represent most of the dynamics of the suspension and vehicle body, but the computational time and required knowledge is too significant for real-time and realistic implementation. The literature is filled with different models to represent the dynamics of the ground vehicle, but these models were primarily designed for controller use or to simplify the understanding of the vehicle’s dynamics, and are not suitable for parameter estimation. A model is devised that can be utilized for the parameter estimation. The parameters in the model are updated through the aforementioned gPC-EKF method as applies to polynomial systems. The mass and the horizontal center of gravity (CG) position of the vehicle are estimated to high accuracy. The culmination of this work is the estimation of the normal forces at the tire contact patch. These forces are estimated through a mapping of the suspension kinematics in conjunction with the previously estimated vehicle parameters. A proof of concept study is shown, where the system is mapped and the forces are recreated and verified for several different scenarios and for changing vehicle mass. / Ph. D.

Monitoring biophysical variables at a global scale over long time periods is vital to address the climatechange and food security challenges. Leaf Area Index (LAI) is a structure variable giving a measure of the canopysurface for radiation interception and canopy-atmosphere interactions. LAI is an important variable in manyecosystem models and it has been recognized as an Essential Climate Variable. This thesis aims to provide globaland continuous estimates of LAI from satellite observations in near-real time according to user requirements to beused for diagnostic and prognostic evaluations of vegetation state and functioning. There are already someavailable LAI products which show however some important discrepancies in terms of magnitude and somelimitations in terms of continuity and consistency. This thesis addresses these important issues. First, the nature ofthe LAI estimated from these satellite observations was investigated to address the existing differences in thedefinition of products. Then, different temporal smoothing and gap filling methods were analyzed to reduce noiseand discontinuities in the time series mainly due to cloud cover. Finally, different methods for near real timeestimation of LAI were evaluated. Such comparison assessment as a function of the level of noise and gaps werelacking for LAI.Results achieved within the first part of the thesis show that the effective LAI is more accurately retrievedfrom satellite data than the actual LAI due to leaf clumping in the canopies. Further, the study has demonstratedthat multi-view observations provide only marginal improvements on LAI retrieval. The study also found that foroptimal retrievals the size of the uncertainty envelope over a set of possible solutions to be approximately equal tothat in the reflectance measurements. The results achieved in the second part of the thesis found the method withlocally adaptive temporal window, depending on amount of available observations and Climatology as backgroundestimation to be more robust to noise and missing data for smoothing, gap-filling and near real time estimationswith satellite time series.

The macroscopic measure of traffic stream density is crucial in advanced traffic management systems. However, measuring the traffic stream density in the field is difficult since it is a spatial measurement. In this dissertation, several estimation approaches are developed to estimate the traffic stream density on signalized approaches using connected vehicle (CV) data. First, the dissertation introduces a novel variable estimation interval that allows for higher estimation precision, as the updating time interval always contains a fixed number of CVs. After that, the dissertation develops model-driven approaches, such as a linear Kalman filter (KF), a linear adaptive KF (AKF), and a nonlinear Particle filter (PF), to estimate the traffic stream density using CV data only. The proposed model-driven approaches are evaluated using empirical and simulated data, the former of which were collected along a signalized approach in downtown Blacksburg, VA. Results indicate that density estimates produced by the linear KF approach are the most accurate. A sensitivity of the estimation approaches to various factors including the level of market penetration (LMP) of CVs, the initial conditions, the number of particles in the PF approach, traffic demand levels, traffic signal control methods, and vehicle length is presented. Results show that the accuracy of the density estimate increases as the LMP increases. The KF is the least sensitive to the initial traffic density estimate, while the PF is the most sensitive to the initial traffic density estimate. The results also demonstrate that the proposed estimation approaches work better at higher demand levels given that more CVs exist for the same LMP scenario. For traffic signal control methods, the results demonstrate a higher estimation accuracy for fixed traffic signal timings at low traffic demand levels, while the estimation accuracy is better when the adaptive phase split optimizer is activated for high traffic demand levels. The dissertation also investigates the sensitivity of the KF estimation approach to vehicle length, demonstrating that the presence of longer vehicles (e.g. trucks) in the traffic link reduces the estimation accuracy. Data-driven approaches are also developed to estimate the traffic stream density, such as an artificial neural network (ANN), a k-nearest neighbor (k-NN), and a random forest (RF). The data-driven approaches also utilize solely CV data. Results demonstrate that the ANN approach outperforms the k-NN and RF approaches. Lastly, the dissertation compares the performance of the model-driven and the data-driven approaches, showing that the ANN approach produces the most accurate estimates. However, taking into consideration the computational time needed to train the ANN approach, the large amount of data needed, and the uncertainty in the performance when new traffic behaviors are observed (e.g., incidents), the use of the linear KF approach is highly recommended in the application of traffic density estimation due to its simplicity and applicability in the field. / Doctor of Philosophy / Estimating the number of vehicles (vehicle counts) on a road segment is crucial in advanced traffic management systems. However, measuring the number of vehicles on a road segment in the field is difficult because of the need for installing multiple detection sensors in that road segment. In this dissertation, several estimation approaches are developed to estimate the number of vehicles on signalized roadways using connected vehicle (CV) data. The CV is defined as the vehicle that can share its instantaneous location every time t. The dissertation develops model-driven approaches, such as a linear Kalman filter (KF), a linear adaptive KF (AKF), and a nonlinear Particle filter (PF), to estimate the number of vehicles using CV data only. The proposed model-driven approaches are evaluated using real and simulated data, the former of which were collected along a signalized roadway in downtown Blacksburg, VA. Results indicate that the number of vehicles produced by the linear KF approach is the most accurate. The results also show that the KF approach is the least sensitive approach to the initial conditions. Machine learning approaches are also developed to estimate the number of vehicles, such as an artificial neural network (ANN), a k-nearest neighbor (k-NN), and a random forest (RF). The machine learning approaches also use CV data only. Results demonstrate that the ANN approach outperforms the k-NN and RF approaches. Finally, the dissertation compares the performance of the model-driven and the machine learning approaches, showing that the ANN approach produces the most accurate estimates. However, taking into consideration the computational time needed to train the ANN approach, the huge amount of data needed, and the uncertainty in the performance when new traffic behaviors are observed (e.g., incidents), the use of the KF approach is highly recommended in the application of vehicle count estimation due to its simplicity and applicability in the field.

Le suivi des variables biophysiques à l’échelle globale sur de longues périodes de temps est essentiellepour répondre aux nouveaux enjeux que constituent le changement climatique et la sécurité alimentaire. L’indice foliaire (LAI) est une variable de structure définissant la surface d’interception du rayonnement incident et d’échanges gazeux avec l’atmosphère. Le LAI est donc une variable importante des modèles d’écosystèmes et a d’ailleurs été reconnue comme variable climatique essentielle (ECV). Cette thèse a pour objectif de fournir des estimations globales et continues de LAI à partir d’observations satellitaires en temps quasi-réel en réponse aux besoins des utilisateurs pour fournir des diagnostiques et pronostiques de l’état et du fonctionnement de la végétation. Quelques produits LAI sont déjà disponibles mais montrent des désaccords et des limitations en termes de cohérence et de continuité. Cette thèse a pour objectif de lever ces limitations. Dans un premier temps, on essaiera de mieux définir la nature des estimations de LAI à partir d’observations satellitaires. Puis, différentes méthodes de lissage te bouchage des séries temporelles ont été analysées pour réduire le bruit et les discontinuités principalement liées à la couverture nuageuse. Finalement quelques méthodes d’estimation temps quasi réel ont été évaluées en considérant le niveau de bruit et les données manquantes.Les résultats obtenus dans la première partie de cette thèse montrent que la LAI effectif et bien mieux estimé que la valeur réelle de LAI du fait de l’agrégation des feuilles observée au niveau du couvert. L’utilisation d’observations multidirectionnelles n’améliore que marginalement les performances d’estimation. L’étude montre également que les performances d’estimation optimales sont obtenues quand les solutions sont recherchées à l’intérieur d’une enveloppe définie par l’incertitude associée aux mesures radiométriques. Dans la deuxième partie consacrée à l’amélioration de la continuité et la cohérence des séries temporelles, les méthodes basées sur une fenêtre temporelle locale mais de largeur dépendant du nombre d’observations présentes, et utilisant la climatologie comme information a priori s’avèrent les plus intéressantes autorisant également l’estimation en temps quasi réel. / Monitoring biophysical variables at a global scale over long time periods is vital to address the climatechange and food security challenges. Leaf Area Index (LAI) is a structure variable giving a measure of the canopysurface for radiation interception and canopy-atmosphere interactions. LAI is an important variable in manyecosystem models and it has been recognized as an Essential Climate Variable. This thesis aims to provide globaland continuous estimates of LAI from satellite observations in near-real time according to user requirements to beused for diagnostic and prognostic evaluations of vegetation state and functioning. There are already someavailable LAI products which show however some important discrepancies in terms of magnitude and somelimitations in terms of continuity and consistency. This thesis addresses these important issues. First, the nature ofthe LAI estimated from these satellite observations was investigated to address the existing differences in thedefinition of products. Then, different temporal smoothing and gap filling methods were analyzed to reduce noiseand discontinuities in the time series mainly due to cloud cover. Finally, different methods for near real timeestimation of LAI were evaluated. Such comparison assessment as a function of the level of noise and gaps werelacking for LAI.Results achieved within the first part of the thesis show that the effective LAI is more accurately retrievedfrom satellite data than the actual LAI due to leaf clumping in the canopies. Further, the study has demonstratedthat multi-view observations provide only marginal improvements on LAI retrieval. The study also found that foroptimal retrievals the size of the uncertainty envelope over a set of possible solutions to be approximately equal tothat in the reflectance measurements. The results achieved in the second part of the thesis found the method withlocally adaptive temporal window, depending on amount of available observations and Climatology as backgroundestimation to be more robust to noise and missing data for smoothing, gap-filling and near real time estimationswith satellite time series.

La gestion en temps réel (GTR) est considérée comme une solution économiquement efficace pour réduire les déversements par temps de pluie car elle optimise la capacité disponible des réseaux d'assainissement. La GTR permet d'éviter la construction de volumes de rétention supplémentaires, d'augmenter l'adaptabilité du réseau aux changements de politiques de gestion de l'eau et surtout d'atténuer l'impact environnemental des déversoirs d'orage. À la suite de l'intérêt croissant pour la GTR fondée sur la qualité de l'eau (QBR), cette thèse démontre une stratégie simple et efficace pour les charges polluantes déversées par temps de pluie. La performance de la stratégie QBR, basée sur la prédiction des courbes masse-volume (MV), est évaluée par comparaison avec une stratégie typique de GTR à base hydraulique (HBR). Une étude de validation de principe est d'abord réalisée sur un petit bassin versant de 205 ha pour tester le nouveau concept de QBR en utilisant 31 événements pluvieux sur une période de deux ans. Par rapport à HBR, QBR offre une réduction des charges déversées pour plus d'un tiers des événements, avec des réductions de 3 à 43 %. La stratégie QBR est ensuite mise en oeuvre sur le bassin versant de Louis Fargue (7700 ha) à Bordeaux, France et comparée à nouveau à la stratégie HBR. En implémentant QBR sur 19 événements pluvieux sur 15 mois, ses performances sont constantes et apportent des avantages précieux par rapport à HBR, 17 des 19 événements ayant une réduction de charge variant entre 6 et 28.8 %. La thèse évalue en outre l'impact de l'incertitude de prédiction de la courbe MV (due à l'incertitude de prédiction du modèle) sur la performance de la stratégie QBR, en utilisant un événement pluvieux représentatif. La marge d'incertitude qui en résulte est faible. En outre, l'étude de sensibilité montre que le choix de la stratégie QBR ou HBR doit tenir compte des dimensions réelles des bassins et de leur emplacement sur le bassin versant. / Real time control (RTC) is considered as a cost-efficient solution for combined sewer overflow (CSO) reduction as it optimises the available capacity of sewer networks. RTC helps to prevent the need for construction of additional retention volumes, increases the network adaptability to changes in water management policies, and above all alleviates the environmental impact of CSOs. Following increasing interest in water quality-based RTC (QBR), this thesis demonstrates a simple and nothing-to-lose QBR strategy to reduce the amount of CSO loads during storm events. The performance of the QBR strategy, based on Mass-Volume (MV) curves prediction, is evaluated by comparison to a typical hydraulics-based RTC (HBR) strategy. A proof-of-concept study is first performed on a small catchment of 205 ha to test the new QBR concept using 31 storm events during a two-year period. Compared to HBR, QBR delivers CSO load reduction for more than one third of the events, with reduction values from 3 to 43 %. The QBR strategy is then implemented on the Louis Fargue catchment (7700 ha) in Bordeaux, France and similarly compared with the HBR strategy. By implementing QBR on 19 storm events over 15 months, its performance is consistent, bringing valuable benefits over HBR, with 17 out of 19 events having load reduction varying between 6 and 28.8 %. The thesis further evaluates the impact of MV curve prediction uncertainty (due to model prediction uncertainty) on the performance of the QBR strategy, using a representative storm event. The resulting range of uncertainty is limited. Besides, results of the sensitivity study show that the choice of the QBR or HBR strategy should take into account the current tank volumes and their locations within the catchment.