The Public-Private Partnership (P3 or PPP) model has been proposed as an alternative delivery system to address funding shortage problems associated with large-scale projects. Appropriately allocating and managing risks among project participants is critically important for a P3 project's success. This thesis focuses on one of the tools to manage revenue risk, the revenue guarantee, where a guarantor compensates a concessionaire with a predetermined amount of revenue in the event of a revenue shortfall. It is a form of real option—specifically a put option if a premium is paid for the downside protection or a collar option if potential upside revenue is traded for the protection. Previous research has explored the purpose and valuation of revenue guarantee options. This study focuses on the feasibility of utilizing a guarantee in US P3 highway projects through preparatory study and field investigation. In the preparatory phase, the work examines existing revenue risk management methods and how revenue guarantee options supplement them while also proposing an implementation framework. Additionally, it discusses a new option type,a collar option, including its concept, benefits, applicability, and valuation. In the field investigation phase, the preparatory work is synthesized into interview protocols that are used to seek market perspectives on revenue risks and revenue guarantee feasibility. Twenty people representing government officials, concessionaires, financial advisors and lending institutions were interviewed. The interview results indicated that a revenue guarantee shows promise as a viable tool, and the government should be willing to provide one. The decision to utilize a revenue guarantee depends on funding method selection, a public agency's institutional capacity, and the effectiveness of alternative risk mitigation approaches. Suggestions for implementation, such as applicable projects and a guarantee triggering criterion, are also provided. / Ph. D.

More than 20 million clonal loblolly pines have been planted throughout the southeastern United States. Fertilizer has been applied to more than 6.5 million hectares of plantations to alleviate deficiencies of nitrogen and phosphorus that limit growth. Because cloning loblolly pine in large numbers has only become possible in the last decade, it is unknown how clones may respond differently to fertilizer application. Growth, growth efficiency, and biomass partitioning responses to fertilizer application were investigated among 25 clones planted in the Virginia Piedmont. Closely related clones varied in their fertilizer stem volume responses, but not enough to be statistically significant (p = 0.11). Clones varied in growth efficiency and partitioning to individual tissues, but clone-by-fertilizer interactions were not observed. Clonal variability was observed in root morphology, and maximum rooting depth showed a significant clone-by-fertilizer interaction. Clones with rapid growth rates can be selected with a range of other desirable traits. Short-term (i.e. weeks) responses to fertilization are often inconsistent with long-term (i.e. years) responses, but are critical to understanding growth responses. We investigated carbon allocation in two full-sibling clones of loblolly pine under two levels of fertilizer application over four months in a greenhouse. Using monthly harvests of some trees and ecophysiological measurements throughout, we determined carbon allocation on a monthly scale. In response to fertilizer application, both clones reduced allocation belowground and increased allocation to foliage to some extent, increasing whole-canopy photosynthetic capacity. However, these changes in allocation were ephemeral. By the end of the experiment, root-shoot ratios were no longer significantly affected by fertilizer application. Clones had allocation patterns distinct from one another, with one allocating more belowground and the other allocating more to stem mass. While their overall growth responses to fertilizer application were similar, the physiological mechanisms that resulted in these responses were different between clones. Results of the two studies indicate that while fertilizer responses may not need to be included when testing clones for deployment, knowledge of the fertilizer responses of widely-deployed clones would offer forest managers opportunities to apply clone-specific precision-silvicultural systems to optimize growth rates and manage for a range of products. / Ph. D.

A comparison of two control allocation methods is performed utilizing the F-15 ACTIVE research vehicle. The control allocator currently implemented on the aircraft is replaced in the simulation with a control allocator that accounts for both control effector positions and rates. Validation of the performance of this Moment Rate Allocation scheme through real-time piloted simulations is desired for an aircraft with a high fidelity control law and a larger control effector suite. A more computationally efficient search algorithm that alleviates the timing concerns associated with the early work in Direct Allocation is presented. This new search algorithm, deemed the Bisecting, Edge-Search Algorithm, utilizes concepts derived from pure geometry to efficiently determine the intersection of a line with a convex faceted surface. Control restoring methods, designed to drive control effectors towards a ``desired" configuration with the control power that remains after the satisfaction of the desired moments, are discussed. Minimum-sideforce restoring is presented. In addition, the concept of variable step size restoring algorithms is introduced and shown to yield the best tradeoff between restoring convergence speed and control chatter reduction. Representative maneuvers are flown to evaluate the control allocator's ability to perform during realistic tasks. An investigation is performed into the capability of the control allocators to reconfigure the control effectors in the event of an identified control failure. More specifically, once the control allocator has been forced to reconfigure the controls, an investigation is undertaken into possible performance degradation to determine whether or not the aircraft will still demonstrate acceptable flying qualities. A direct comparison of the performance of each of the two control allocators in a reduced global position limits configuration is investigated. Due to the highly redundant control effector suite of the F-15 ACTIVE, the aircraft, utilizing Moment Rate Allocation, still exhibits satisfactory performance in this configuration. The ability of Moment Rate Allocation to utilize the full moment generating capabilities of a suite of controls is demonstrated. NOTE: (02/2011) An updated copy of this ETD was added after there were patron reports of problems with the file. / Master of Science

The industrial gas industry represents a multi-billion dollar global market and provides essential product to manufacturing and service organizations that drive the global economy. In this dissertation, we focus on improving distribution efficiency in the industrial gas industry by addressing the strategic level problem of bulk tank allocation (BTA) while considering the effects of important operational issues. The BTA problem determines the preferred size of bulk tanks to assign to customer sites to minimize recurring gas distribution costs and initial tank installation costs. The BTA problem has a unique structure which includes a resource allocation problem and an underlying vehicle routing problem with split deliveries. In this dissertation, we provide an exact solution approach that solves the BTA problem to optimality and recommends tank allocations, provides a set of delivery routes, and determines delivery amounts to customers on each delivery route within reasonable computational time. The exact solution approach is based on a branch-and-price algorithm that solves problem instances with up to 40 customers in reasonable computational time. Due to the complexity of the problem and the size of industry representative problems, the solution approaches published in the literature rely on heuristics that require a set of potential routes as input. In this research, we investigate and compare three alternative route generation algorithms using data sets from an industry partner. When comparing the routes generation algorithms, a sweep-based heuristic was the preferred heuristic for the data sets evaluated. The existing BTA solution approaches in the literature also assume a single bulk tank can be allocated at each customer site. While this assumption is valid for some customers due to space limitations, other customer sites may have the capability to accommodate multiple tanks. We propose two alternative mathematical models to explore the possibility and potential benefits of allocating multiple tanks at designated customer site that have the capacity to accommodate more than one tank. In a case study with 20 customers, allowing multiple tank allocation yield 13% reduction in total costs. In practice, industrial gas customer demands frequently vary by time period. Thus, it is important to allocate tanks to effectively accommodate time varying demand. Therefore, we develop a bulk tank allocation model for time varying demand (BTATVD) which captures changing demands by period for each customer. Adding this time dimension increases complexity. Therefore, we present three decomposition-based solution approaches. In the first two approaches, the problem is decomposed and a restricted master problem is solved. For the third approach, a two phase periodically restricting heuristic approach is developed. We evaluate the solution approaches using data sets provided by an industrial partner and solve the problem instances with up to 200 customers. The results yield approximately 10% in total savings and 20% in distribution cost savings over a 7 year time horizon. The results of this research provide effective approaches to address a variety of distribution issues faced by the industrial gas industry. The case study results demonstrate the potential improvements for distribution efficiency. / Ph. D.

The purpose of this thesis is to explore the concept of resource scheduling and pricing and its relation to carrier aggregation. The first main topic is a modified Frank Kelly algorithm that allows for the use of utility functions that are piecewise concave, but not a member of a strictly \'diminishing return\' model. This adjustment to the Frank Kelly algorithm allows resource allocation to take into account devices with multiple applications. The second topic introduces the idea of scheduling resources in a carrier aggregation scenario assuming the carriers are scheduled sequentially. / Master of Science

Control Allocation as it pertains to aerospace vehicles, describes the way in which control surfaces on the outside of an aircraft are deflected when the pilot moves the control stick inside the cockpit. Previously, control allocation was performed by a series of cables and push rods, which connected the 3 classical control surfaces (ailerons, elevators, and rudder), to the 3 cockpit controls (longitudinal stick, lateral stick, and rudder pedals). In modern tactical aircraft however, it is not uncommon to find as many as 10 or more control surfaces which, instead of being moved by mechanical linkages, are connected together by complex electrical and/or hydraulic circuits. Because of the large number of effectors, there can no longer be a one-to-one correspondence between surface deflections on the outside of the cockpit to pilot controls on the inside. In addition, these exterior control surfaces have limits which restrict the distance that they can move as well as the speed at at which they can move. The purpose of Constrained Control Allocation is to deflect the numerous control surfaces in response to pilot commands in the most efficient combinations, while keeping in mind that they can only move so far and so fast. The implementation issues of Constrained Control Allocation techniques are discussed, and an aerodynamic model of a highly modified F-15 aircraft is used to demonstrate the various aspects of Constrained Control Allocation. This work was conducted under NASA research grant NAG-1-1449 supervised by John Foster of the NASA Langley Research Center / Master of Science

Traditionally, space situational awareness (SSA) sensor networks have relied on dynamic programming theory to generate tasking plans which govern how sensors are allocated to observe resident space objects. Deep reinforcement learning (DRL) techniques, with their ability to be trained on simulated environments, which are readily available for the SSA sensor allocation problem, and demonstrated performance in other fields, have potential to exceed performance of deterministic methods. The research presented in this dissertation develops techniques for encoding an SSA environment model to apply DRL to the sensor allocation problem. This dissertation is the compilation of two separate but related studies. The first study compares two alternative invalid action handling techniques, penalization and masking. The second study examines the performance of policies that have forecast state knowledge incorporated in the observation space. / Doctor of Philosophy / Resident space objects (RSOs) are typically tracked by ground-based sensors (telescopes and radar). Determining how to allocate sensors to RSOs is a complex problem traditionally performed by dynamic programming techniques. Deep reinforcement learning (DRL), a subset of machine learning, has demonstrated performance in other fields, and has the potential to exceed performance of traditional techniques. The research presented in this dissertation develops techniques for encoding a space situational awareness environment model to apply DRL to the sensor allocation problem. This dissertation is the compilation of two separate but related studies. The first study compares two alternative invalid action handling techniques, penalization and masking. The second study examines the performance of policies that have forecast state knowledge incorporated in the observation space.

In the Information Age, a proliferation of unstructured text electronic documents exists. Processing these documents by humans is a daunting task as humans have limited cognitive abilities for processing large volumes of documents that can often be extremely lengthy. To address this problem, text data computer algorithms are being developed. Latent Semantic Analysis (LSA) and Latent Dirichlet Allocation (LDA) are two text data computer algorithms that have received much attention individually in the text data literature for topic extraction studies but not for document classification nor for comparison studies. Since classification is considered an important human function and has been studied in the areas of cognitive science and information science, in this dissertation a research study was performed to compare LDA, LSA and humans as document classifiers. The research questions posed in this study are: R1: How accurate is LDA and LSA in classifying documents in a corpus of textual data over a known set of topics? R2: How accurate are humans in performing the same classification task? R3: How does LDA classification performance compare to LSA classification performance? To address these questions, a classification study involving human subjects was designed where humans were asked to generate and classify documents (customer comments) at two levels of abstraction for a quality assurance setting. Then two computer algorithms, LSA and LDA, were used to perform classification on these documents. The results indicate that humans outperformed all computer algorithms and had an accuracy rate of 94% at the higher level of abstraction and 76% at the lower level of abstraction. At the high level of abstraction, the accuracy rates were 84% for both LSA and LDA and at the lower level, the accuracy rate were 67% for LSA and 64% for LDA. The findings of this research have many strong implications for the improvement of information systems that process unstructured text. Document classifiers have many potential applications in many fields (e.g., fraud detection, information retrieval, national security, and customer management). Development and refinement of algorithms that classify text is a fruitful area of ongoing research and this dissertation contributes to this area.

In 2001, the FASB (Financial Accounting Standard Board) introduced accounting regulations SFAS 141 and SFAS 142 to improve the relevance, representational faithfulness, and comparability of financial reporting. The new standards have profoundly changed the accounting for business combinations and goodwill under US GAAP by requiring reporting entities to no longer amortize goodwill over its expected useful life, but to test for impairment annually. However, the new regulation has met sharp criticism for creating a scope for high levels of managerial discretion which may be exercised opportunistically in the accounting for goodwill. This study examines whether the proportion of purchase price allocated to goodwill differs between public and private acquisitions. We try to answer this question by carrying out a quantitative study on 481 observations, between the period of 2001 to 2005 by studying the relationship between acquirer type (Public vs. Private) and target firm characteristic on goodwill allocated, and we find the following results: 1) Public acquirers allocate higher levels of goodwill in comparison to private acquirers. (2) Market-to-book values of private target firms are not positively correlated with recorded goodwill levels.

En cas de catastrophes importantes, telles qu’un tremblement de terre ou un incendie, l’efficacité des forces de la sécurité civile nécessite une bonne coordination des différents groupes d’intervention. Suivant la nature et l’importance du sinistre, l’infrastructure des moyens de communications classique peut être détruite. Les forces d’intervention ont donc besoin de nouveaux outils de communication dits réseaux de circonstance. Ces réseaux posent de nouveaux problèmes de routage, pour maintenir la connectivité, mais aussi d’allocation de ressources, particulièrement importante dans un contexte de sécurité où les communications doivent être garanties. Dans une première partie, nous avons abordé la problématique de l’allocation de ressources dans les réseaux de circonstance utilisant le partage TDMA. Nos solutions visent une répartition équitable des canaux et prennent en compte une zone d’interférence double de celle de transmission.Evaluer de nouvelles politiques dans des réseaux déployés sur des scènes de catastrophe nécessite de nouveaux modèles de mobilité. Nous avons donc également développé un nouveau modèle de mobilité spécifique au déplacement des équipes de la sécurité civile. / When a major disaster occurs, such as an earthquake or fire, the efficiency of the rescue workers depends of the coordination between the different emergency teams. This coordination needs reliable communication equipments. In such a situation, however, the infrastructure for wireless communication is generally destroyed or unusable. It is therefore necessary to find adapted communication tools for the rescue workers known as opportunistic networks. These networks pose new challenging problems such as, for instance, resource allocation which is particularly important for the QoS satisfaction. In the first part of our thesis, we addressed the problem of resource allocation in ad hoc networks using the TDMA access mechanism. Our solutions aim to perform a fair distribution of channels and take into account an interference area twice as large as the transmission range. Evaluation of new policies for opportunistic networks deployed in disaster areas requires new mobility models. We developed a novel mobility model dedicated to the movement of rescue workers. Our model includes the group mobility and some characteristics of human mobility. It also incorporates a mechanism to circumvent obstacles presents in the simulation area.