Vegetation/Forest Effects in Microwave Remote Sensing of Soil Moisture

This thesis includes (1) the distorted Born approximation (DBA) and an improved coherent model for vegetation-covered surfaces at L-band for data-cube based soil moisture retrieval; (2) a unified approach for combined active and passive remote sensing of vegetation-covered surfaces with the same input physical parameters; (3) Numerical Maxwell Model in 3D (NMM3D) simulations of a vegetation canopy comprising randomly distributed dielectric cylinders; and (4) a hybrid method based on the generalized T matrix of single objects and Foldy-Lax equations for NMM3D full-wave simulations of the realistic vegetation/forest with vector spherical, spheroidal and cylindrical wave expansoins. The main contributions and novelty of this thesis are NMM3D full-wave simulations of vegetation/forest canopy using the generalized T matrix of the single object and Foldy-Lax equations of multiple scattering among many objects. Before this work, the large-scale full-wave simulations of vegetation/forst such as many tree trunks were deemed very difficult. The NMM3D full-wave simulation results showed that the results of past models significantly overestimate attenuation in a vegetation/forest canopy. The NMM3D full-wave models predict transmissions that are several times greater than that of past models. A much greater microwave transmission means the microwave can better penetrate a vegetation/forest canopy and thus it can be used to retrieve soil moisture. The thesis starts with the DBA to compute the backscattering coefficients for various kinds of vegetation-covered surfaces such as pasture, wheat and canola fields. For the soybean fields, an improved coherent branching model is used. The novel feature of the analytic coherent model consists of conditional probability functions to eliminate the overlapping effects of branches in the former branching models. In order to make use of complex physical models for real time retrieval for satellite missions, the outputs of the physical model are provided as lookup-tables (data-cubes). By inverting the lookup-tables, time-series retrieval of soil moisture is performed. Next, the DBA is extended to calculate the bistatic scattering coefficients. Emissivities are calculated by integrating the bistatic scattering coefficients over the hemispherical solid angle. The backscattering coefficients and emissivities calculated using this approach form a consistent model for combined active and passive microwave remote sensing. In the analytical physical models mentioned above, as well as in another commonly used approach of the radiative transfer equation (RTE), the attenuation of the wave is accounted for by the attenuation rate per unit distance, which originates from the concept of an “effective medium”. Such a model is unsuitable for a vegetation canopy. Because of these issues, NMM3D full-wave simulations of vegetation are pursued. Firstly, the scattering of a vegetation canopy consisting of cylindrical scatterers is calculated. The approach for solving Maxwell’s equations is based on the Foldy-Lax multiple scattering equations (FL) combined with the body of revolution (BOR). For a layer of extended-cylinders distributed in clusters, the NMM3D simulations at C-band show very different results from DBA/RTE. The method FL-BOR is limited for rotationally symmetric objects such as cylinders and circular disks. To perform NMM3D full-wave simulations for realistic vegetation/forests, a hybrid method is used, which is a hybrid of the off-the-shelf techniques and newly developed techniques. The newly developed techniques are the three key steps of the hybrid method: (1) extracting the generalized T matrix of each single object using vector spheroidal/cylindrical waves, (2) vector wave transformations, and (3) solving FL for all the objects.PHDElectrical EngineeringUniversity of Michigan, Horace H. Rackham School of Graduate Studieshttps://deepblue.lib.umich.edu/bitstream/2027.42/153347/1/huanght_1.pd

Microwave Indices from Active and Passive Sensors for Remote Sensing Applications

Past research has comprehensively assessed the capabilities of satellite sensors operating at microwave frequencies, both active (SAR, scatterometers) and passive (radiometers), for the remote sensing of Earth’s surface. Besides brightness temperature and backscattering coefficient, microwave indices, defined as a combination of data collected at different frequencies and polarizations, revealed a good sensitivity to hydrological cycle parameters such as surface soil moisture, vegetation water content, and snow depth and its water equivalent. The differences between microwave backscattering and emission at more frequencies and polarizations have been well established in relation to these parameters, enabling operational retrieval algorithms based on microwave indices to be developed. This Special Issue aims at providing an overview of microwave signal capabilities in estimating the main land parameters of the hydrological cycle, e.g., soil moisture, vegetation water content, and snow water equivalent, on both local and global scales, with a particular focus on the applications of microwave indices

Understanding and Improving the Soil Moisture Retrieval Algorithm under Space, Time and Heterogeneity

The spatial and temporal monitoring of soil moisture from remote sensing platforms plays a pivotal role in predicting the future food and water security. That is, improving soil moisture estimation at remote sensing platforms has remarkable impacts in the fields of meteorology, hydrology, agriculture, and global climate change. However, remote sensing of soil moisture for long is hindered by spatial heterogeneity in land surface variables (soil, biomass, topography, and temperature) which cause systematic and random errors in soil moisture retrievals. Most soil moisture improvement methods to date focused on the downscaling of either coarse resolution soil moisture or brightness temperature based on fine scale ancillary information of land surface variables. Comparatively little work has been done on improving the parameterization of most sensitive variables to radiative transfer model that impact soil moisture retrieval accuracy. In addition, the classic radiative transfer model assumes the vegetation and surface roughness parameters, as constant with space and time which undermines the retrieval accuracy. Also, it is largely elusive so far the discussion on the non-linearity of microwave radiative transfer model and its relationship with energy and water fluxes. In order to address the above mentioned limitations, this dissertation aims to develop and validate a soil moisture modeling framework with associated improved parameterizations for surface roughness and vegetation optical depth (VOD) in the homogeneous and heterogeneous environments. To this end, the following research work is specifically conducted: (a) conduct comprehensive sensitivity analysis on radiative transfer model with space, time and hydroclimates; (b) develop multi-scale surface roughness model which incorporates small (soil) and large (topography) surface undulations to improve soil moisture retrievals; (c) improve the parameterization of vegetation topical depth (VOD) using within-pixel biomass heterogeneity to improved soil moisture accuracy; (d) investigate the non-linearity in microwave radiative transfer model, and its association with thermal energy fluxes. The results of this study showed that: (a) the total (linear + non-linear) sensitivity of soil, temperature and biomass variables varied with spatial scale (support), time, and hydro climates, with higher non-linearity observed for dense biomass regions. This non-linearity is also governed by soil moisture availability and temperature. Among these variables, surface roughness and vegetation optical depth are most sensitive variables to radiative transfer model (RTM); (b) considering the spatial and temporal variability in parameterization of surface roughness and VOD has improved soil moisture retrieval accuracy, importantly in cropland and forest environments; and (c) the soil moisture estimated through evaporative fraction (EF) correlates higher with VOD corrected soil moisture

Synergistic optical and microwave remote sensing approaches for soil moisture mapping at high resolution

Aplicat embargament des de la data de defensa fins al dia 1 d'octubre de 2022Soil moisture is an essential climate variable that plays a crucial role linking the Earth’s water, energy, and carbon cycles. It is responsible for the water exchange between the Earth’s surface and the atmosphere, and provides key information about soil evaporation, plant transpiration, and the allocation of precipitation into runoff, surface flow and infiltration. Therefore, an accurate estimation of soil moisture is needed to enhance our current climate and meteorological forecasting skills, and to improve our current understanding of the hydrological cycle and its extremes (e.g., droughts and floods). L-band Microwave passive and active sensors have been used during the last decades to estimate soil moisture, since there is a strong relationship between this variable and the soil dielectric properties. Currently, there are two operational L-band missions specifically devoted to globally measure soil moisture: the ESA’s Soil Moisture and the Ocean Salinity (SMOS), launched in November 2009; and the NASA’s Soil Moisture Active Passive (SMAP), launched in January 2015. The spatial resolution of the SMOS and SMAP radiometers, in the order of tens of kilometers (~40 km), is adequate for global applications. However, to fulfill the needs of a growing number of applications at local or regional scale, higher spatial detail (< 1 km) is required. To bridge this gap and improve the spatial resolution of the soil moisture maps, a variety of spatial enhancement or spatial (sub-pixel) disaggregation approaches have been proposed. This Ph.D. Thesis focuses on the study of the Earth’s surface soil moisture from remotely sensed observations. This work includes the implementation of several soil moisture retrieval techniques and the development, implementation, validation and comparison of different spatial enhancement or downscaling techniques, applied at local, regional, and continental scale. To meet these objectives, synergies between several active/passive microwave sensors (SMOS, SMAP and Sentinel-1) and optical/thermal sensors (MODIS) have been explored. The results are presented as follows: - Spatially consistent downscaling approach for SMOS using an adaptive moving window A passive microwave/optical downscaling algorithm for SMOS is proposed to obtain fine-scale soil moisture maps (1 km) from the native resolution (~40 km) of the instrument. This algorithm introduces the concept of a shape-adaptive window as a central improvement of the disaggregation technique presented by Piles et al. (2014), allowing its application at continental scales. - Assessment of multi-scale SMOS and SMAP soil moisture products across the Iberian Peninsula The temporal and spatial characteristics of SMOS and SMAP soil moisture products at coarse- and fine-scales are assessed in order to learn about their distinct features and the rationale behind them, tracing back to the physical assumptions they are based upon. - Impact of incidence angle diversity on soil moisture retrievals at coarse and fine scales An incidence angle (32.5°, 42.5° and 52.5°)-adaptive calibration of radiative transfer effective parameters single scattering albedo and soil roughness has been carried out, highlighting the importance of such parameterization to accurately estimate soil moisture at coarse-resolution. Then, these parameterizations are used to examine the potential application of a physically-based active-passive downscaling approach to upcoming microwave missions, namely CIMR, ROSE-L and Sentinel-1 Next Generation. Soil moisture maps obtained for the Iberian Peninsula at the three different angles, and at coarse and fine scales are inter-compared using in situ measurements and model data as benchmarks.La humedad del suelo es una variable climática esencial que juega un papel crucial en la relación de los ciclos del agua, la energía y el carbono de la Tierra. Es responsable del intercambio de agua entre la superficie de la Tierra y la atmósfera, y proporciona información crucial sobre la evaporación del suelo, la transpiración de las plantas y la distribución de la precipitación en escorrentía, flujo superficial e infiltración. Por lo tanto, es necesaria una estimación precisa de la humedad del suelo para mejorar las predicciones climáticas y meteorológicas, y comprender mejor el ciclo hidrológico y sus extremos (v.g., sequías e inundaciones). Los sensores pasivos y activos en banda L se han usado durante las últimas décadas para estimar la humedad del suelo debido a la relación directa que existe entre esta variable y las propiedades dieléctricas del suelo. Actualmente, hay dos misiones operativas en banda L específicamente dedicadas a medir la humedad del suelo a escala global: la misión Soil Moisture and Ocean Salinity (SMOS) de la ESA, lanzada en noviembre de 2009; y la misión Soil Moisture Active Passive (SMAP) de la NASA, lanzada en enero de 2015. La resolución espacial de los radiómetros SMOS y SMAP, del orden de unas decenas de kilómetros (~40 km), es adecuada para aplicaciones a escala global. Sin embargo, para satisfacer las necesidades de un número creciente de aplicaciones a escala local o regional, se requiere más detalle espacial (<1 km). Para solventar esta limitación y mejorar la resolución espacial de los mapas de humedad, se han propuesto diferentes técnicas de mejora o desagregación espacial. Esta Tesis se centra en el estudio de la humedad de la superficie terrestre a partir de datos obtenidos a través de teledetección. Este trabajo incluye la implementación de distintos algoritmos de recuperación de la humedad del suelo y el desarrollo, implementación, validación y comparación de distintas técnicas de desagregación, aplicadas a escala local, regional y continental. Para cumplir estos objetivos, se han explorado sinergias entre diferentes sensores de microondas activos/pasivos (SMOS, SMAP y Sentinel-1) y sensores ópticos/térmicos. Los resultados se presentan de la siguiente manera: - Técnica de desagregación espacialmente consistente, basada en una ventana móvil adaptativa, aplicada a los datos SMOS Se propone un algoritmo de desagregación del píxel basado en datos obtenidos de medidas radiométricas de microondas en banda L y datos ópticos, para mejorar la resolución espacial de los mapas de humedad del suelo desde la resolución nativa del instrumento (~40 km) hasta resoluciones de 1 km. El algoritmo introduce el concepto de una ventana de contorno adaptativo, como mejora principal sobre la técnica de desagregación presentada en Piles et al. (2014), permitiendo su implementación a escala continental. - Análisis multiescalar de productos de humedad del suelo SMAP y SMOS sobre la Península Ibérica Se han evaluado las características temporales y espaciales de distintos productos de humedad del suelo SMOS y SMAP, a baja y a alta resolución, para conocer sus características distintivas y comprender las razones de sus diferencias. Para ello, ha sido necesario rastrear los supuestos físicos en los que se basan. - Impacto del ángulo de incidencia en la recuperación de la humedad del suelo a baja y a alta resolución Se ha llevado a cabo una calibración adaptada al ángulo de incidencia (32.5°, 42.5° y 52.5°) de los parámetros efectivos, albedo de dispersión simple y rugosidad del suelo, descritos en el modelo de transferencia radiativa � − �, incidiendo en la importancia de esta parametrización para estimar la humedad del suelo de forma precisa a baja resolución. El resultado de las mismas se ha utilizado para estudiar la potencial aplicación de un algoritmo activo/pasivo de desagregación basado en la física para las próximas misiones de microondas, llamadas CIMR, ROSE-L y Sentinel-1 Next Generation. Los mapas de humedad recuperados a los tres ángulos de incidencia, tanto a baja como a alta resolución, se han obtenido para la Península Ibérica y se han comparado entre ellos usando como referencia mediciones de humedad in situ.Postprint (published version

Uncertainty quantification of a radiative transfer model and a machine learning technique for use as observation operators in the assimilation of microwave observations into a land surface model to improve soil moisture and terrestrial snow

Soil moisture and terrestrial snow mass are two important hydrological states needed to accurately quantify terrestrial water storage and streamflow. Soil moisture and terrestrial snow mass can be measured using ground-based instrument networks, estimated using advanced land surface models, and retrieved via satellite imagery. However, each method has its own inherent sources of error and uncertainty. This leads to the application of data assimilation to obtain optimal estimates of soil moisture and snow mass. Before conducting data assimilation (DA) experiments, this dissertation explored the use of two different observation operators within a DA framework: a L-band radiative transfer model (RTM) for soil moisture and support vector machine (SVM) regression for soil terrestrial snow mass. First, L-band brightness temperature (Tb) estimated from the RTM after being calibrated against multi-angular SMOS Tb's showed good performance in both ascending and descending overpasses across North America except in regions with sub-grid scale lakes and dense forest. Detailed analysis of RTM-derived L-band Tb in terms of soil hydraulic parameters and vegetation types suggests the need for further improvement of RTM-derived Tb in regions with relatively large porosity, large wilting point, or grassland type vegetation. Secondly, a SVM regression technique was developed with explicit consideration of the first-order physics of photon scattering as a function of different training target sets, training window lengths, and delineation of snow wetness over snow-covered terrain. The overall results revealed that prediction accuracy of the SVM was strongly linked with the first-order physics of electromagnetic responses of different snow conditions. After careful evaluation of the observation operators, C-band backscatter observations over Western Colorado collected by Sentinel-1 were merged into an advanced land surface model using a SVM and a one-dimensional ensemble Kalman filter. In general, updated snow mass estimates using the Sentinel-1 DA framework showed modest improvements in comparison to ground-based measurements of snow water equivalent (SWE) and snow depth. These results motivate further application of the outlined assimilation schemes over larger regions in order to improve the characterization of the terrestrial hydrological cycle

The influence of winter time boreal forest tree transmissivity on tree emission and passive microwave snow observations

Forest cover significantly attenuates natural upwelling ground microwave emission from seasonal terrestrial snow. This presents a major challenge for the accurate retrieval of snow from airborne or spaceborne passive microwave (PM) observations. Forest transmissivity is a key parameter describing tree emission because not only does it influence the proportion of sub-canopy upwelling microwave emission penetrating through the forest canopy, it also controls the forest thermal emission. Hence, it is a very important parameter for correcting the influence of forests on spaceborne or airborne observations of the Earth’s land surface. Under sub-zero temperatures, vegetation water content can be frozen influencing the microwave transmissivity of trees. Yet this phenomenon has not been verified through experimentation leaving significant uncertainty in tree emission modelling and spaceborne microwave observations. Therefore, a season-long experiment was designed to study this phenomenon. Ground-based radiometer observations of tree emission, spaceborne observations of forest emission, and model simulations of canopy emission were conducted during this experiment. Based on this experiment, the influence of physical temperature on tree transmissivity was verified, and a model developed to quantitatively describe this temperature-transmissivity relationship. An evaluation of this temperature-transmissivity relationship was conducted showing that both ground-based and spaceborne observations of tree emission are significantly influenced by this phenomenon. Furthermore, passive microwave spaceborne snow retrievals in forested regions are influenced by this phenomenon. Finally, an approach to reduce the influence of the temperature-transmissivity relationship on passive microwave spaceborne snow retrievals is demonstrated

The Evaluation of the Additive Information Contained in New Ecohydrological Measurements

The development of ecohydrological frameworks and theories under the ongoing global climate crisis depends on the development of new and advanced ecohydrological measurements. Currently, numerous of datasets have been collected at plot and ecosystem levels to understand the complex interactions of along the soil, plant, and atmosphere continuum. The development of new measurements costs considerable effort, time, and funding. Therefore, it is important to quantify if new measurements contain useful information for ecohydrological studies, and how the information encoded in the new measurements are transferred to understand and predict key environmental variables. In this dissertation, we show that predictions in vegetation dynamics can be improved by adding observations from advanced satellite and in situ sensor systems. First, we evaluated new satellite soil moisture and vegetation optical depth measurements by Soil Moisture Passive Active (SMAP). We find that there is more opportunity for SMAP soil moisture and vegetation observations to be useful in locations where the daily vegetation climatology cannot adequately reflect observed vegetation dynamics. We also find that the uncertainties SMAP dual channel algorithm (DCA) are largely contributed by uncertainty of the algorithm’s inputs (horizontal and vertical polarized brightness temperature), while the informational uncertainty of the SMAP DCA model itself is more related to the retrieval quality of soil moisture. The informational redundancy and synergy of the two brightness temperature measurements from SMAP are tightly related to the SMAP soil moisture retrieval quality. Finally, we apply a similar informational analysis to new isotopic measurements at the National Ecological Observation Network (NEON). We find that majority of the information from the isotope measurements collected by NEON is unique, which cannot be obtained by other meteorological variables. Carbon isotope (δ13C) provides more additional information about LH in arid locations, while the water isotope (δ2H) provides more additional information about LH at locations with higher aridity, lower mean annual temperature, and lower mean site elevation. These studies show that informational analysis is useful to evaluated how additional information is encoded in new ecohydrological measurements

SATELLITE MICROWAVE MEASUREMENT OF LAND SURFACE PHENOLOGY: CLARIFYING VEGETATION PHENOLOGY RESPONSE TO CLIMATIC DRIVERS AND EXTREME EVENTS

The seasonality of terrestrial vegetation controls feedbacks to the climate system including land-atmosphere water, energy and carbon (CO2) exchanges with cascading effects on regional-to-global weather and circulation patterns. Proper characterization of vegetation phenology is necessary to understand and quantify changes in the earthÆs ecosystems and biogeochemical cycles and is a key component in tracking ecological species response to climate change. The response of both functional and structural vegetation phenology to climatic drivers on a global scale is still poorly understood however, which has hindered the development of robust vegetation phenology models. In this dissertation I use satellite microwave vegetation optical depth (VOD) in conjunction with an array of satellite measures, Global Positioning System (GPS) reflectometry, field observations and flux tower data to 1) clarify vegetation phenology response to water, temperature and solar irradiance constraints, 2) demonstrate the asynchrony between changes in vegetation water content and biomass and changes in greenness and leaf area in relation to land cover type and climate constraints, 3) provide enhanced assessment of seasonal recovery of vegetation biomass following wildfire and 4) present a method to more accurately model tropical vegetation phenology. This research will establish VOD as a useful and informative parameter for regional-to-global vegetation phenology modeling, more accurately define the drivers of both structural and functional vegetation phenology, and help minimize errors in phenology simulations within earth system models. This dissertation also includes the development of Gross Primary Productivity (GPP) and Net Primary Productivity (NPP) vegetation health climate indicators as part of a NASA funded project entitled Development and Testing of Potential Indicators for the National Climate Assessment; Translating EOS datasets into National Ecosystem Biophysical Indicators

Measuring Soil Moisture Content with an Interferometric Satellite Radiometer

Diplomityö käsittelee maankosteuden mittaamista interferometrisella satelliittiradiometrillä. Euroopan Avaruusjärjestön (ESA) SMOS-satelliitti, joka laukaistiin marraskuussa 2009, mittaa maan lähettämää lämpösäteilyä matalalla 1,4 GHz taajuudella. Eräs tärkeä maapallon ilmastoon vaikuttava tekijä on vesi, jonka kiertokulkua voidaan tutkia mittaamalla satelliitin avulla maankosteutta ja valtamerien suolapitoisuutta. Tämä työ keskittyy SMOS-satelliitin mittausaineistoon ja sen prosessointiin Suomen alueella. Suomen alue on satelliittimittaukselle haasteellinen useastakin syystä; pinta-alasta yli 70 % on metsän peitossa ja noin 20 % on soita tai kosteikkoja. Näiden maankäyttötyyppien lähettämän lämpösäteilyn intensiteetti poikkeaa avointen alueiden lähettämän säteilyn intensiteetistä ja tämä on haastavaa ESA:n maankosteusmallille. Työssä pyritään ESA:n maankosteusmallin kasvillisuusparametreja muokkaamalla mallintamaan paremmin tietyn tyyppistä metsää. Tuloksia verrataan Suomen ympäristökeskuksen hydrologiseen malliin Varsinais-Suomen alueella sekä automaattisilta mittausasemilta saatuihin tuloksiin. Lopuksi tarkastellaan muokatuin parametrein saatuja tuloksia suhteessa ESA:n jakamaan aineistoon.This thesis deals with measuring soil moisture content using a satellite interferometric radiometer. The European Space Agency's (ESA) SMOS satellite was launched in November 2009 and is constantly measuring thermal radiation emitted by the Earth at a frequency of 1.4 GHz. One important factor affecting the Earths climate is the water cycle, which can be studied by measuring global soil moisture content and ocean salinity from satellites. This work focuses on SMOS data and its processing for retrieval of soil moisture in Finland. Finland's land area is a challenge for several reasons; more than 70 \% is covered by forests and about 20 \% by marshes or wetlands. These surface types emit thermal radiation, the magnitude of which is different from that for non-vegetated terrain. Taking the effect of vegetation into account is challenging to the ESA soil retrieval model. This work aims to modify the vegetation parameters of the model to match more specific types of forest. The results are compared with the Finnish Environment Institute's hydrological model in southwestern Finland and using data collected from automated measuring stations. Finally, we compare our soil moisture results with those distributed by ESA

High Spatial Resolution Soil Moisture Mapping Using an L-Band Lobe Differencing Correlation Radiometer on a Small Unmanned Aerial System (Suas)

An L-band Lobe Differencing Correlation Radiometer (LDCR) was designed, developed and demonstrated for high spatial resolution soil moisture mapping from a small unmanned aerial system (sUAS). A lightweight lobe-differencing antenna was designed as a 2x2 rectangular L-band microstrip array with effective use of styrofoam blocks for frequency tuning and mechanical stability. An optimal vertical separation distance was identified that minimizes mutual coupling and provides maximum main-to-back lobe ratio. A method of antenna frequency tuning using dielectric overlay material is presented to correct for the dielectric impact of the sUAS fuselage. The LDCR RF front end design and performance are detailed. The LDCR was calibrated using both pre-flight lab test data and in-flight data over a calm pond to determined its sensitivities and offset which are compared with analytical values. Radio frequency interference (RFI) from the sUAS platform was observed prior to platform integration prompting RFI mitigation to be performed upon integration of the radiometer into the platform. Flight tests of the LDCR on the Black Swift Technology's Tempest sUAS were performed at the Canton, Oklahoma Soilscape site in September 2015 and Irrigation Research Foundation (IRF) in Yuma Colorado in June 2016. Based on a soil vegetation radiative transfer (SVRT) model for the LDCR, the LDCR TA measurements observed on the sUAS sampling grid were mapped to estimated volumetric soil moisture (VSM) on a regular user-defined mapping grid. The estimator used a new full-domain linear minimum mean square error (LMMSE) VSM retrieval algorithm, along with LDCR infrared physical temperature TP measurements, Landsat-based vegetation water content (VWC) maps, and soil texture information. The LDCR error budget for this algorithm was developed. The initially retrieved VSM data are favorably compared with in-situ measured VSM data and irrigation records