Particle Filter-based assimilation algorithms for improved estimation of root-zone soil moisture under dynamic vegetation conditions

In this study, we implement Particle Filter (PF)-based assimilation algorithms to improve root-zone soil moisture (RZSM) estimates from a coupled SVAT-vegetation model during a growing season of sweet corn in North Central Florida. The results from four different PF algorithms were compared with those from the Ensemble Kalman Filter (EnKF) when near-surface soil moisture was assimilated every 3 days using both synthetic and field observations. In the synthetic case, the PF algorithm with the best performance used residual resampling of the states and obtained resampled parameters from a uniform distribution and provided reductions of 76% in root mean square error (RMSE) over the openloop estimates. The EnKF provided the RZSM and parameter estimates that were closer to the truth than the PF with an 84% reduction in RMSE. When field observations were assimilated, the PF algorithm that maintained maximum parameter diversity offered the largest reduction of 16% in root mean square difference (RMSD) over the openloop estimates. Minimal differences were observed in the overall performance of the EnKF and PF using field observations since errors in model physics affected both the filters in a similar manner, with maximum reductions in RMSD compared to the openloop during the mid and reproductive stages.     

Towards the estimation root-zone soil moisture via the simultaneous assimilation of thermal and microwave soil moisture retrievals

The upcoming deployment of satellite-based microwave sensors designed specifically to retrieve surface soil moisture represents an important milestone in efforts to develop hydrologic applications for remote sensing observations. However, typical measurement depths of microwave-based soil moisture retrievals are generally considered too shallow (top 2–5 cm of the soil column) for many important water cycle and agricultural applications. Recent work has demonstrated that thermal remote sensing estimates of surface radiometric temperature provide a complementary source of land surface information that can be used to define a robust proxy for root-zone (top 1 m of the soil column) soil moisture availability. In this analysis, we examine the potential benefits of simultaneously assimilating both microwave-based surface soil moisture retrievals and thermal infrared-based root-zone soil moisture estimates into a soil water balance model using a series of synthetic twin data assimilation experiments conducted at the USDA Optimizing Production Inputs for Economic and Environmental Enhancements (OPE³) site. Results from these experiments illustrate that, relative to a baseline case of assimilating only surface soil moisture retrievals, the assimilation of both root- and surface-zone soil moisture estimates reduces the root-mean-square difference between estimated and true root-zone soil moisture by 50% to 35% (assuming instantaneous root-zone soil moisture retrievals are obtained at an accuracy of between 0.020 and 0.030 m³ m⁻³). Most significantly, improvements in root-zone soil moisture accuracy are seen even for cases in which root-zone soil moisture retrievals are assumed to be relatively inaccurate (i.e. retrievals errors of up to 0.070 m³ m⁻³) or limited to only very sparse sampling (i.e. one instantaneous measurement every eight days). Preliminary real data results demonstrate a clear increase in the R² correlation coefficient with ground-based root-zone observations (from 0.51 to 0.73) upon assimilation of actual surface soil moisture and tower-based thermal infrared temperature observations made at the OPE³ study site.     

Improving hydrologic predictions of a catchment model via assimilation of surface soil moisture

This paper examines the potential for improving Soil and Water Assessment Tool (SWAT) hydrologic predictions of root-zone soil moisture, evapotranspiration, and stream flow within the 341 km² Cobb Creek Watershed in southwestern Oklahoma through the assimilation of surface soil moisture observations using an Ensemble Kalman filter (EnKF). In a series of synthetic twin experiments assimilating surface soil moisture is shown to effectively update SWAT upper-layer soil moisture predictions and provide moderate improvement to lower layer soil moisture and evapotranspiration estimates. However, insufficient SWAT-predicted vertical coupling results in limited updating of deep soil moisture, regardless of the SWAT parameterization chosen for root-water extraction. Likewise, a real data assimilation experiment using ground-based soil moisture observations has only limited success in updating upper-layer soil moisture and is generally unsuccessful in enhancing SWAT stream flow predictions. Comparisons against ground-based observations suggest that SWAT significantly under-predicts the magnitude of vertical soil water coupling at the site, and this lack of coupling impedes the ability of the EnKF to effectively update deep soil moisture, groundwater flow and surface runoff. The failed attempt to improve stream flow prediction is also attributed to the inability of the EnKF to correct for existing biases in SWAT-predicted stream flow components.     

Requirements of a global near-surface soil moisture satellite mission: accuracy,repeat time,and spatial resolution

Soil moisture satellite mission accuracy, repeat time and spatial resolution requirements are addressed through a numerical twin data assimilation study. Simulated soil moisture profile retrievals were made by assimilating near-surface soil moisture observations with various accuracy (0, 1, 2, 3, 4, 5 and 10%v/v standard deviation) repeat time (1, 2, 3, 5, 10, 15, 20 and 30 days), and spatial resolution (0.5, 6, 12 18, 30, 60 and 120 arc-min). This study found that near-surface soil moisture observation error must be less than the model forecast error required for a specific application when used as data assimilation input, else slight model forecast degradation may result. It also found that near-surface soil moisture observations must have an accuracy better than 5%v/v to positively impact soil moisture forecasts, and that daily near-surface soil moisture observations achieved the best soil moisture and evapotranspiration forecasts for the repeat times assessed, with 1–5 day repeat times having the greatest impact. Near-surface soil moisture observations with a spatial resolution finer than the land surface model resolution (∼30 arc-min) produced the best results, with spatial resolutions coarser than the model resolution yielding only a slight degradation. Observations at half the land surface model spatial resolution were found to be appropriate for our application. Moreover, it was found that satisfying the spatial resolution and accuracy requirements was much more important than repeat time.     

Sequential assimilation of soil moisture and streamflow data in a conceptual rainfall–runoff model

Soil moisture is a key hydrological variable in flood forecasting: it largely influences the partition of rain between runoff and infiltration and thus controls the flow at the outlet of a catchment. The methodology developed in this paper aims at improving the commonly used hydrological tools in an operational forecasting context by introducing soil moisture data into streamflow modelling. A sequential assimilation procedure, based on an extended Kalman filter, is developed and coupled with a lumped conceptual rainfall–runoff model. It updates the internal states of the model (soil and routing reservoirs) by assimilating daily soil moisture and streamflow data in order to better fit these external observations. We present in this paper the results obtained on the Serein, a Seine sub-catchment (France), during a period of about 2 years and using Time Domain Reflectivity probe soil moisture measurements from 0–10 to 0–100 cm and stream gauged data. Streamflow prediction is improved by assimilation of both soil moisture and streamflow individually and by coupled assimilation. Assimilation of soil moisture data is particularly effective during flood events while assimilation of streamflow data is more effective for low flows. Combined assimilation is therefore more adequate on the entire forecasting period. Finally, we discuss the adequacy of this methodology coupled with Remote Sensing data.     

Comparison of ensemble-based state and parameter estimation methods for soil moisture data assimilation

Model parameters are a source of uncertainty that can easily cause systematic deviation and significantly affect the accuracy of soil moisture generation in assimilation systems. This study addresses the issue of retrieving model parameters related to soil moisture via the simultaneous estimation of states and parameters based on the Common Land Model (CoLM). The state-parameter estimation algorithms AEnKF (Augmented Ensemble Kalman Filter), DEnKF (Dual Ensemble Kalman Filter) and SODA (Simultaneous optimization and data assimilation) are entirely implemented within an EnKF framework to investigate how the three algorithms can correct model parameters and improve the accuracy of soil moisture estimation. The analysis is illustrated by assimilating the surface soil moisture levels from varying observation intervals using data from Mongolian plateau sites. Furthermore, a radiation transfer model is introduced as an observation operator to analyze the influence of brightness temperature assimilation on states and parameters that are estimated at different microwave signal frequencies. Three cases were analyzed for both soil moisture and brightness temperature assimilation, focusing on the progressive incorporation of parameter uncertainty, forcing data uncertainty and model uncertainty. It has been demonstrated that EnKF is outperformed by all other methods, as it consistently maintains a bias. State-parameter estimation algorithms can provide a more accurate estimation of soil moisture than EnKF. AEnKF is the most robust method, with the lowest RMSE values for retrieving states and parameters dealing only with parameter uncertainty, but it possesses disadvantages related to increasing sources of uncertainty and decreasing numbers of observations. SODA performs well under the complex situations in which DEnKF shows slight disadvantages in terms of statistical indicators; however, the former consumes far more memory and time than the latter.     

Evolutionary assimilation of streamflow in distributed hydrologic modeling using in-situ soil moisture data

This study has applied evolutionary algorithm to address the data assimilation problem in a distributed hydrological model. The evolutionary data assimilation (EDA) method uses multi-objective evolutionary strategy to continuously evolve ensemble of model states and parameter sets where it adaptively determines the model error and the penalty function for different assimilation time steps. The assimilation was determined by applying the penalty function to merge background information (i.e., model forecast) with perturbed observation data. The assimilation was based on updated estimates of the model state and its parameterizations, and was complemented by a continuous evolution of competitive solutions.The EDA was illustrated in an integrated assimilation approach to estimate model state using soil moisture, which in turn was incorporated into the soil and water assessment tool (SWAT) to assimilate streamflow. Soil moisture was independently assimilated to allow estimation of its model error, where the estimated model state was integrated into SWAT to determine background streamflow information before they are merged with perturbed observation data. Application of the EDA in Spencer Creek watershed in southern Ontario, Canada generates a time series of soil moisture and streamflow. Evaluation of soil moisture and streamflow assimilation results demonstrates the capability of the EDA to simultaneously estimate model state and parameterizations for real-time forecasting operations. The results show improvement in both streamflow and soil moisture estimates when compared to open-loop simulation, and a close matching between the background and the assimilation illustrates the forecasting performance of the EDA approach.     

The NAFE’06 data set: Towards soil moisture retrieval at intermediate resolution

The National Airborne Field Experiment 2006 (NAFE’06) was conducted during a three week period of November 2006 in the Murrumbidgee River catchment, located in southeastern Australia. One objective of NAFE’06 was to explore the suitability of the area for SMOS (Soil Moisture and Ocean Salinity) calibration/validation and develop downscaling and assimilation techniques for when SMOS does come on line. Airborne L-band brightness temperature was mapped at 1 km resolution 11 times (every 1–3 days) over a 40 by 55 km area in the Yanco region and 3 times over a 40 by 50 km area that includes Kyeamba Creek catchment. Moreover, multi-resolution, multi-angle and multi-spectral airborne data including surface temperature, surface reflectance (green, read and near infrared), lidar data and aerial photos were acquired over selected areas to develop downscaling algorithms and test multi-angle and multi-spectral retrieval approaches. The near-surface soil moisture was measured extensively on the ground in eight sampling areas concurrently with aircraft flights, and the soil moisture profile was continuously monitored at 41 sites. Preliminary analyses indicate that (i) the uncertainty of a single ground measurement was typically less than 5% vol. (ii) the spatial variability of ground measurements at 1 km resolution was up to 10% vol. and (iii) the validation of 1 km resolution L-band data is facilitated by selecting pixels with a spatial soil moisture variability lower than the point-scale uncertainty. The sensitivity of passive microwave and thermal data is also compared at 1 km resolution to illustrate the multi-spectral synergy for soil moisture monitoring at improved accuracy and resolution. The data described in this paper are available at www.nafe.unimelb.edu.au.     

Application of data assimilation with the Root Zone Water Quality Model for soil moisture profile estimation in the upper Cedar Creek,Indiana

Data assimilation techniques have been proven as an effective tool to improve model forecasts by combining information about observed variables in many areas. This article examines the potential of assimilating surface soil moisture observations into a field‐scale hydrological model, the Root Zone Water Quality Model, to improve soil moisture estimation. The Ensemble Kalman Filter (EnKF), a popular data assimilation technique for nonlinear systems, was applied and compared with a simple direct insertion method. In situ soil moisture data at four different depths (5, 20, 40, and 60 cm) from two agricultural fields (AS1 and AS2) in northeastern Indiana were used for assimilation and validation purposes. Through daily update, the EnKF improved soil moisture estimation compared with the direct insertion method and model results without assimilation, having more distinct improvement at the 5 and 20 cm depths than for deeper layers (40 and 60 cm). Local vertical soil property heterogeneity in AS1 deteriorated soil moisture estimates with the EnKF. Removal of systematic bias in the forecast model was found to be critical for more successful soil moisture data assimilation studies. This study also demonstrates that a more frequent update generally contributes in enhancing the open loop simulation; however, large forecasting error can prevent more frequent update from providing better results. In addition, results indicate that various ensemble sizes make little difference in the assimilation results. An ensemble of 100 members produced results that were comparable with results obtained from larger ensembles. Copyright © 2011 John Wiley & Sons, Ltd.     

Root-zone soil moisture estimation from assimilation of downscaled Soil Moisture and Ocean Salinity data

The crucial role of root-zone soil moisture is widely recognized in land–atmosphere interaction, with direct practical use in hydrology, agriculture and meteorology. But it is difficult to estimate the root-zone soil moisture accurately because of its space-time variability and its nonlinear relationship with surface soil moisture. Typically, direct satellite observations at the surface are extended to estimate the root-zone soil moisture through data assimilation. But the results suffer from low spatial resolution of the satellite observation. While advances have been made recently to downscale the satellite soil moisture from Soil Moisture and Ocean Salinity (SMOS) mission using methods such as the Disaggregation based on Physical And Theoretical scale Change (DisPATCh), the assimilation of such data into high spatial resolution land surface models has not been examined to estimate the root-zone soil moisture. Consequently, this study assimilates the 1-km DisPATCh surface soil moisture into the Joint UK Land Environment Simulator (JULES) to better estimate the root-zone soil moisture. The assimilation is demonstrated using the advanced Evolutionary Data Assimilation (EDA) procedure for the Yanco area in south eastern Australia. When evaluated using in-situ OzNet soil moisture, the open loop was found to be 95% as accurate as the updated output, with the updated estimate improving the DisPATCh data by 14%, all based on the root mean square error (RMSE). Evaluation of the root-zone soil moisture with in-situ OzNet data found the updated output to improve the open loop estimate by 34% for the 0–30 cm soil depth, 59% for the 30–60 cm soil depth, and 63% for the 60–90 cm soil depth, based on RMSE. The increased performance of the updated output over the open loop estimate is associated with (i) consistent estimation accuracy across the three soil depths for the updated output, and (ii) the deterioration of the open loop output for deeper soil depths. Thus, the findings point to a combined positive impact from the DisPATCh data and the EDA procedure, which together provide an improved soil moisture with consistent accuracy both at the surface and at the root-zone.     

Dual state-parameter estimation of root zone soil moisture by optimal parameter estimation and extended Kalman filter data assimilation

With well-determined hydraulic parameters in a hydrologic model, a traditional data assimilation method (such as the Kalman filter and its extensions) can be used to retrieve root zone soil moisture under uncertain initial state variables (e.g., initial soil moisture content) and good simulated results can be achieved. However, when the key soil hydraulic parameters are incorrect, the error is non-Gaussian, as the Kalman filter will produce a persistent bias in its predictions. In this paper, we propose a method coupling optimal parameters and extended Kalman filter data assimilation (OP-EKF) by combining optimal parameter estimation, the extended Kalman filter (EKF) assimilation method, a particle swarm optimization (PSO) algorithm, and Richards’ equation. We examine the accuracy of estimating root zone soil moisture through the optimal parameters and extended Kalman filter data assimilation method by using observed in situ data at the Meiling experimental station, China. Results indicate that merely using EKF for assimilating surface soil moisture content to obtain soil moisture content in the root zone will produce a persistent bias between simulated and observed values. Using the OP-EKF assimilation method, estimates were clearly improved. If the soil profile is heterogeneous, soil moisture retrieval is accurate in the 0-50 cm soil profile and is inaccurate at 100 cm depth. Results indicate that the method is useful for retrieving root zone soil moisture over large areas and long timescales even when available soil moisture data are limited to the surface layer, and soil moisture content are uncertain and soil hydraulic parameters are incorrect.     

The effects of scene heterogeneity on soil moisture retrieval from passive microwave data

The τ–ω model of microwave emission from soil and vegetation layers is widely used to estimate soil moisture content from passive microwave observations. Its application to prospective satellite-based observations aggregating several thousand square kilometres requires understanding of the effects of scene heterogeneity. The effects of heterogeneity in soil surface roughness, soil moisture, water area and vegetation density on the retrieval of soil moisture from simulated single- and multi-angle observing systems were tested. Uncertainty in water area proved the most serious problem for both systems, causing errors of a few percent in soil moisture retrieval. Single-angle retrieval was largely unaffected by the other factors studied here. Multiple-angle retrievals errors around one percent arose from heterogeneity in either soil roughness or soil moisture. Errors of a few percent were caused by vegetation heterogeneity. A simple extension of the model vegetation representation was shown to reduce this error substantially for scenes containing a range of vegetation types.     

Potential of soil moisture observations in flood modelling: Estimating initial conditions and correcting rainfall

Rainfall runoff (RR) models are fundamental tools for reducing flood hazards. Although several studies have highlighted the potential of soil moisture (SM) observations to improve flood modelling, much research has still to be done for fully exploiting the evident connection between SM and runoff. As a way of example, improving the quality of forcing data, i.e. rainfall observations, may have a great benefit in flood simulation. Such data are the main hydrological forcing of classical RR models but may suffer from poor quality and record interruption issues. This study explores the potential of using SM observations to improve rainfall observations and set a reliable initial wetness condition of the catchment for improving the capability in flood modelling. In particular, a RR model, which incorporates SM for its initialization, and an algorithm for rainfall estimation from SM observations are coupled using a simple integration method. The study carried out at the Valescure experimental catchment (France) demonstrates the high information content retained by SM for RR transformation, thus giving new possibilities for improving hydrological applications. Results show that an appropriate configuration of the two models allows obtaining improvement in flood simulation up to 15% in mean and 34% in median Nash Sutcliffe performances as well as a reduction of the median error in volume and on peak discharge of about 30% and 15%, respectively.     

Regional assimilation of in situ observed soil moisture into the VIC model considering spatial variability

ABSTRACT

In order to improve the soil moisture (SM) modelling capacity, a regional SM assimilation scheme based on an empirical approach considering spatial variability was constructed to assimilate in situ observed SM data into a hydrological model. The daily variable infiltration capacity (VIC) model was built to simulate SM in the Upper Huai River Basin, China, with a resolution of 5 km × 5 km. Through synthetic assimilation experiments and validations, the assimilated SM was evaluated, and the assimilation feedback on evapotranspiration (ET) and streamflow are analysed and discussed. The results show that the assimilation scheme improved the SM modelling capacity, both spatially and temporally. Moreover, the simulated ET was continually affected by changes in SM simulation, and the streamflow predictions were improved after applying the SM assimilation scheme. This study demonstrates the potential value of in situ observations in SM assimilation, and provides valuable ways for improving hydrological simulations.     

Testing of observation operators designed to estimate profile soil moisture from surface measurements

The accurate estimation of profile soil moisture is usually difficult due to the associated costs, strong spatiotemporal variability, and nonlinear relationship between surface and profile moisture. Here, we used data sets from the Soil and Climate Analysis Network to test how reliably observation operators developed based on the cumulative distribution function matching method can predict profile soil moisture from surface measurements. We first analysed how temporal resolution (hourly, daily, and weekly) and data length (half year, 1 year, 2 years, and 4 years) affected the performance of observation operators. The results showed that temporal resolution had a negligible influence on the performance of observation operators. However, a leave‐one‐year‐out cross‐validation showed that data length affected the performance of observation operators; a 2‐year interval was identified as the most suitable duration due to its low uncertainty in prediction accuracy. The robustness of the observation operators was then tested in three primary climates (humid continental, humid subtropical, and semiarid) of the continental United States, with the exponential filter employed as an independent method. The results indicated that observation operators reliably predicted profile soil moisture for most of the tested stations and performed almost equally well as the exponential filter method. The presented results verified the feasibility of using the cumulative distribution function matching method to predict profile soil moisture from surface measurements.     

Performance evaluation of soil moisture profile estimation through entropy-based and exponential filter models

ABSTRACT

In this study we analyzed two models commonly used in remote sensing-based root-zone soil moisture (SM) estimations: one utilizing the exponential decaying function and the other derived from the principle of maximum entropy (POME). We used both models to deduce root-zone (0–100 cm) SM conditions at 11 sites located in the southeastern USA for the period 2012–2017 and evaluated the strengths and weaknesses of each approach against ground observations. The results indicate that, temporally, at shallow depths (10 cm), both models performed similarly, with correlation coefficients (r) of 0.89 (POME) and 0.88 (exponential). However, with increasing depths, the models start to deviate: at 50 cm the POME resulted in r of 0.93 while the exponential filter (EF) model had r of 0.58. Similar trends were observed for unbiased root mean square error (ubRMSE) and bias. Vertical profile analysis suggests that, overall, the POME model had nearly 30% less ubRMSE compared to the EF model, indicating that the POME model was relatively better able to distribute the moisture content through the soil column.     

Time-dependency of runoff velocity and erosion the effect of the initial soil moisture profile

The paper reports on experiments carried out to evaluate the effect of the initial soil moisture profile on temporal variations in runoff erosion rate. The moisture profile was varied by applying infrared heating to the soil sample surface over various time periods, while runoff erosivity was varied by varying the slope of the flume. The experiment confirms that dry loamy soils are very erodible: on a slope length of only 4.3 m long sediment concentrations are near transporting capacity in case of a dry soil sample. It appears that temporal variations in sediment concentrations can be well simulated using a simple relationship between runoff erosion resistance and initial soil moisture content, thereby implicitly assuming that the effect of initial moisture content is persistent over the whole duration of the experiment. The implications of these findings with respect to the modelling of sediment output from larger catchments and the design of experiments on rill erodibility are discussed. The experiments also show that, under the present circumstances, mean velocities in the rills appear to be independent of slope. This finding may be of importance with respect to overland flow routing and deterministic erosion modelling.     

A land surface soil moisture data assimilation framework in consideration of the model subgrid-scale heterogeneity and soil water thawing and freezing

The Ensemble Kalman Filter (EnKF) is well known and widely used in land data assimilation for its high precision and simple operation. The land surface models used as the forecast operator in a land data assimilation system are usually designed to consider the model subgrid-heterogeneity and soil water thawing and freezing. To neglect their effects could lead to some errors in soil moisture assimilation. The dual EnKF method is employed in soil moisture data assimilation to build a soil moisture data as- similation framework based on the NCAR Community Land Model version 2.0 (CLM 2.0) in considera- tion of the effects of the model subgrid-heterogeneity and soil water thawing and freezing: Liquid volumetric soil moisture content in a given fraction is assimilated through the state filter process, while solid volumetric soil moisture content in the same fraction and solid/liquid volumetric soil moisture in the other fractions are optimized by the parameter filter. Preliminary experiments show that this dual EnKF-based assimilation framework can assimilate soil moisture more effectively and precisely than the usual EnKF-based assimilation framework without considering the model subgrid-scale heteroge- neity and soil water thawing and freezing. With the improvement of soil moisture simulation, the soil temperature-simulated precision can be also improved to some extent.     

Snowdrift effect on snow deposition: Insights from a comparison of a snow pit profile and meteorological observations in east Antarctica

A high-frequency and precise ultrasonic sounder was used to monitor precipitated/deposited and drift snow events over a 3-year period(17 January 2005 to 4 January 2008) at the Eagle automatic weather station site,inland Antarctica.Ion species and oxygen isotope ratios were also generated from a snow pit below the sensor.These accumulation and snowdrift events were used to examine the synchronism with seasonal variations of δ~(18)O and ion species,providing an opportunity to assess the snowdrift effect in typical Antarctic inland conditions.There were up to 1-year differences for this 3-year-long snow pit between the traditional dating method and ultrasonic records.This difference implies that in areas with low accumulation or high wind,the snowdrift effect can induce abnormal disturbances on snow deposition.The snowdrift effect should be seriously taken into account for high-resolution dating of ice cores and estimation of surface mass balance,especially when the morphology of most Antarctic inland areas is similar to that of the Eagle site.