Innovative Homogeneous and Heterogeneous Systems for Electrochemically Generated Luminescence Investigations: Towards One-Dimensional ECL

My research PhD work is focused on the Electrochemically Generated Luminescence (ECL) investigation of several different homogeneous and heterogeneous systems. ECL is a redox induced emission, a process whereby species, generated at electrodes, undergo a high-energy electron transfer reaction to form excited states that emit light. Since its first application, the ECL technique has become a very powerful analytical tool and has widely been used in biosensor transduction. ECL presents an intrinsically low noise and high sensitivity; moreover, the electrochemical generation of the excited state prevents scattering of the light source: for all these characteristics, it is an elective technique for ultrasensitive immunoassay detection. The majority of ECL systems involve species in solution where the emission occurs in the diffusion layer near to the electrode surface. However, over the past few years, an intense research has been focused on the ECL generated from species constrained on the electrode surface. The aim of my work is to study the behavior of ECL-generating molecular systems upon the progressive increase of their spatial constraints, that is, passing from isolated species in solution, to fluorophores embedded within a polymeric film and, finally, to patterned surfaces bearing “one-dimensional” emitting spots. In order to describe these trends, I use different “dimensions” to indicate the different classes of compounds. My thesis was mostly developed in the electrochemistry group of Bologna with the supervision of Prof Francesco Paolucci and Dr Massimo Marcaccio. With their help and also thanks to their long experience in the molecular and supramolecular ECL fields and in the surface investigations using scanning probe microscopy techniques, I was able to obtain the results herein described. Moreover, during my research work, I have established a new collaboration with the group of Nanobiotechnology of Prof. Robert Forster (Dublin City University) where I spent a research period. Prof. Forster has a broad experience in the biomedical field, especially he focuses his research on film surfaces biosensor based on the ECL transduction. This thesis can be divided into three sections described as follows: (i) in the fist section, homogeneous molecular and supramolecular ECL-active systems, either organic or inorganic species (i.e., corannulene, dendrimers and iridium metal complex), are described. Driving force for this kind of studies includes the search for new luminophores that display on one hand higher ECL efficiencies and on the other simple mechanisms for modulating intensity and energy of their emission in view of their effective use in bioconjugation applications. (ii) in the second section, the investigation of some heterogeneous ECL systems is reported. Redox polymers comprising inorganic luminophores were described. In such a context, a new conducting platform, based on carbon nanotubes, was developed aimed to accomplish both the binding of a biological molecule and its electronic wiring to the electrode. This is an essential step for the ECL application in the field of biosensors. (iii) in the third section, different patterns were produced on the electrode surface using a Scanning Electrochemical Microscopy. I developed a new methods for locally functionalizing an inert surface and reacting this surface with a luminescent probe. In this way, I successfully obtained a locally ECL active platform for multi-array application.

Idrogenazione selettiva del 5-idrossimetilfurfurale in fase omogenea: studio dell'attività catalitica del complesso di Shvo

Il presente lavoro di tesi è frutto di una collaborazione fra il Dipartimento di Chimica Fisica ed Inorganica (gruppo del Prof. Valerio Zanotti – Mattia Vaccari, Dr. Rita Mazzoni) ed il Dipartimento di Chimica Industriale e dei Materiali (gruppo del Prof. Angelo Vaccari – Dr. Thomas Pasini, Dr. Stefania Albonetti, Prof. Fabrizio Cavani) e si inserisce il un progetto volto a valutare l’attività e la selettività del catalizzatore di idrogenazione di Shvo 1, verso l’idrogenazione selettiva del doppio legame polare del 5-idrossimetilfurfurale (HMF) in fase omogenea. L’HMF è un composto di natura organica facilmente ottenibile dalle biomasse, il quale può essere impiegato come building block per ottenere prodotti ad alto valore aggiunto per la chimica fine o additivi per biocarburanti aventi un elevato potere calorifico. In particolare la nostra attenzione si è rivolta alla produzione del 2,5-diidrossimetilfurano (BHMF), un importante building block per la produzione di polimeri e schiume poliuretaniche. Il lavoro di tesi da me svolto ha riguardato la messa a punto di una nuova metodologia sintetica per la preparazione del catalizzatore di Shvo e lo studio della sua attività catalitica nella riduzione di HMF a BHMF. Il comportamento del catalizzatore è stato monitorato studiando la resa in BHMF in funzione di tutti i parametri di reazione: temperatura, pressione di H2, solvente, rapporto molare substrato/catalizzatore, concentrazione, tempo. Successivamente è stata valutata la possibilità di riciclare il catalizzatore recuperando il prodotto di estrazione con acqua, per precipitazione o eseguendo la reazione in miscela bifasica (toluene/H2O). The present work is a collaboration between the Department of Physics and Inorganic Chemistry (group of Prof. Valerio Zanotti - Mattia Vaccari, Dr. Rita Mazzoni) and the Department of Industrial Chemistry and Materials (Group of Prof. Angelo Vaccari - Dr. Thomas Pasini, Dr. Stefania Albonetti, Prof. Fabrizio Cavani), and it’s a project devoted to evaluate the activity and selectivity of the Shvo catalyst, in the selective hydrogenation of polar double bond of 5 -hydroxymethylfurfural (HMF) in homogeneous phase. The HMF is an organic compound easily obtained from biomass, which can be used as a building block for fine chemicals abd polymer production or additives for biofuels with a high calorific value. In particular, our attention turned to the production of 2.5-bishydroxymethylfuran (BHMF), an important building block for the production of polymers and polyurethane foams. This thesis has involved the development of a new synthetic methodology for the preparation of Shvo’s catalyst and the study of its catalytic activity in the reduction of HMF to BHMF. The behavior of the catalyst was monitored by studying the yield in BHMF as a function of all the reaction parameters: temperature, pressure of H2, solvent, substrate to catalyst molar ratio, concentration, time. Subsequently it was evaluated the possibility of recycling the catalyst recovering the product of extraction with water, by precipitation or performing the reaction in biphasic mixture (toluene/H2O).

L'utilizzo di carbonati come reagenti per la sintesi "green" di derivati fenolici: l'esempio del 2-fenossi-1-etanolo

2-Phenoxyethanol (ethylene glycol monophenyl ether) is used as solvent for cellulose acetate, dyes, inks, and resins; it is a synthetic intermediate in the production of plasticizers, pharmaceuticals, and fragrances. Phenoxyethanol is obtained industrially by reaction of phenol with ethylene oxide, in the presence of an homogeneous alkaline catalyst, typically sodium hydroxide. The yield is not higher than 95-96%, because of the formation of polyethoxylated compounds. However, the product obtained may not be acceptable for use in cosmetic preparations and fragrance formulations, due to presence of a pungent “metallic” odor which masks the pleasant odor of the ether, deriving from residual traces of the metallic catalyst. Here we report a study aimed at using ethylene carbonate in place of ethylene oxide as the reactant for phenoxyethanol synthesis; the use of carbonates as green nucleophilic reactants is an important issue in the context of a modern and sustainable chemical industry. Moreover, in the aim of developing a process which might adhere the principles of Green Chemistry, we avoided the use of solvents, and used heterogeneous basic catalysts. We carried out the reaction by using various molar ratios between phenol and ethylene carbonate, at temperatures ranging between 180 and 240°C, with a Na-mordenite catalyst. Under specific conditions, it was possible to obtain total phenol conversion with >99% yield to phenoxyethanol in few hours reaction time, using a moderate excess of ethylene carbonate. Similar results, but with longer reaction times, were obtained using a stoichiometric feed ratio of reactants. One important issue of the research was finding conditions under which the leaching of Na was avoided, and the catalyst could be separated and reused for several reaction batches.

Nanosized polymer carriers for metallocene catalysts in heterogeneous olefin polymerization

Das Ziel der vorgelegten Arbeit war die Synthese von definierten, sphärischen Polystyrolpartikeln im Größenbreichen von Nanometern, die als Träger für die Immobilisierung von Metallocenkatalysatoren verwendet werden sollten. Ein wichtiger Anspruch an das System war dabei die Möglichkeit einer homogene Verteilung des Metallocenes auf dem Träger and eine homogene Fragmentierung des geträgerten Katalysators während der Polymerisation im Polymerprodukt. Für diese Zielsetzung wurden unterschiedliche Polystyrolnanopartikel hergestellt. Die Polystyrolnanopartikel waren mit unterschiedlichen funktionellen Gruppen wie Polyethylenoxid- und Polypropylenoxidketten oder Hydroxygruppen auf der Oberfläche versehen, um den Metallocenkatalysator und den Cokatalysator MAO immobilisieren zu können. In verschiedenen Experimenten wurde der Einfluss dieser Polystyrolnanopartikel als Träger auf die Katalysatoreigenschaften wie Aktivität oder Produktivität und die Eigenschaften des produzierten Polyolefins wie z.B. Molekulargewicht und Morphologie untersucht. Im Vergleich zu den PS- Nanopartikeln wurden außerdem PS-Mikropartikel, Silica und Dendrimere als Träger in der heterogenen Olefinpolymerisation eingesetzt. Von all diesen Trägersystemen wurde das Fragmentierungsverhalten durch konfocale Fluoreszenzmikroskopie untersucht. Aus den erhaltenen Ergebnissen kann geschlossen werden, dass die hergestellten Polystyrolnanopartikel neuartige und leistungsfähige Träger für heterogene Polymerisationsprozesse darstellen. Die hergestellten Polystyrolnanopartikel besaßen eine wohldefinierte sphärische Struktur, die eine homogene Verteilung des immobilisierten Metallocenkatalysators und somit auch eine vollständige Fragmentierung des geträgerten Katalysators im hergestellten Polyolefin ermöglichte. Die Katalysatorsysteme, die aus den PS- Nanopartikeln und dem Metallocenkatalysator zusammengesetzt waren, wurden in verschiedenen Polymerisationen wie der Ethylen- oder Propylenhomopolymersation und der Copolymerisation von Ethen mit α- Olefinen getestet. Die Oberflächen- funktionalisierten PS Nanopartikel immobilisierten den Metallocenkatalysator ausreichend gut, so dass kein „Leachen“ (Ablösen) des Katalysators von der Trägeroberfläche festgestellt werden konnte und deshalb Polymer von sehr guter Morphologie erhalten wurde. Um die Fragmentierung des Katalysators und den inneren Aufbau des Polymers näher untersuchen zu können, wurde die konfocale Fluoreszenzmikroskopie für das PS- Nanopartikelträgersystem angewendet. Durch farbstoffmarkierte Trägerpartikel konnte die Verteilung des fragmentierten Katalysators innerhalb des Polymers sichtbar gemacht und analysiert werden. Dabei wurde festgestellt, dass sich PS- Nanopartikel und auch Dendrimere als Träger ähnlich verhalten wie Ziegler- Natta- Katalysatoren, die auf MgCl2 immobilisiert für die heterogene Olefinpolymerisation verwendet werden. Das Fragmentierungsverhalten der Silica oder PS- Mirkopartikel geträgerten Systeme entsprach dagegen dem schichtweisen Fragmentierungsverhalten wie es bereits von Fink und Mitarbeitern beschrieben wurde.

Enantioselective Reactions Promoted by Organocatalytic Species From The Natural Chiral Pool

During the course of my Ph.D. in the laboratories directed by Prof. Alfredo Ricci at the Department of Organic Chemistry “A. Mangini” of the University of Bologna, I was involved in the study and the application of a number of organocatalytic systems, all coming from the natural chiral pool. The first part of this thesis will be devoted to new homogeneous organocatalytic reactions promoted by Cinchona alkaloid-based organocatalysts. Quinine based catalysts were found to be a very effective catalyst for Diels-Alder reactions involving 3-vinylindoles. Excellent results in terms of yields and enantioselectivities were achieved, outlining also a remarkable organocatalytic operational mode mimicking enzymatic catalysis. The same reaction with 2-vinylindoles showed a completely different behaviour resulting in an unusual resolution-type process. The asymmetric formal [3+2] cycloaddition with in situ generated N-carbamoyl nitrones using Cinchona-derived quaternary ammonium salts as versatile catalysts under phase transfer conditions, outlines another application in organocatalysis of this class of alkaloids. During the seven months stage in the Prof. Helma Wennemers’ group at the Department of Chemistry of the University of Basel (Switzerland) I have been involved in organocatalysis promoted by oligopeptides. My contribution regarded the 1,4-addition reaction of aldehydes to nitroolefins. In the work performed at the Department of Organic Chemistry “A. Mangini” of the University of Bologna, in collaboration with the ‘Institut Charles Gerhardt-Montpellier, of Montpellier (France) the possibility of performing for the first time heterogeneous organocatalysis by using a natural polysaccharide biopolymer as the source of chirality was disclosed. With chitosan, derived from deacetylation of chitin, a highly enantioselective heterogeneous organocatalytic aldol reaction could be performed. The use of an eco-friendly medium such as water, the recyclability of the catalytic specie and the renewable nature of the polysaccharide are assets of this new approach in organocatalysis and open interesting perspectives for the use of biopolymers.

Electrosynthesis and characterization of structured catalysts

In this research work the optimization of the electrochemical system of LDHs as catalytic precursors on FeCrAlY foams was carried out. Preliminary sintheses were performed on flat surfaces in order to easily characterize the deposited material. From the study of pH evolution vs time at different cathodic potentials applied to a Pt electrode, the theoretical best working conditions for the synthesis of single hydroxides and LDH compounds was achieved. In order to define the optimal potential for the synthesis of a particular LDH compound, the collected data were compared with the interval of precipitation determined by titration with NaOH. However, the characterization of the deposited material on Pt surfaces did not confirm the deposition of a pure and homogeneous LDH phase during the synthesis. Instead a sequential deposition linked to the pH of precipitation of the involved elements is observed. The same behavior was observed during the synthesis of the RhMgAl LDH on FeCrAlY foam as catalytic precursor. Several parameters were considered in order to optimize the synthesis.. The development of electrochemical cells with different feature, such as the counter electrode dimensions or the contact between the foam and the potentiostat, had been carried out in order to obtain a better coating of the foam. The influence of the initial pH of the electrolyte solution, of the applied potential, of the composition of the electrolytic solution were investigated in order to improve a better coating of the catalyst support. Catalytic tests were performed after the calcination of the deposited foam for the CPO and SR reactions, showing an improve of performances along with optimization of the precursors synthesis conditions.

Regiocontrolled Synthesis of Pyrazole Derivatives Through 1,3-Dipolar Cycloaddition Reaction And Synthesis of Helicene-Thiourea based and Polymer Supported Soos's Catalyst for Asymmetric Synthesis

In first part we have developed a simple regiocontrolled protocol of 1,3-DC to get ring fused pyrazole derivatives. These pyrazole derivatives were synthesized using 1,3-DC between nitrile imine and various dipolarophiles such as alkynes, cyclic α,β-ketones, lactones, thiocatones and lactums. The reactions were found to be highly regiospecific. In second part we have discussed about helicene, its properties, synthesis and applications as asymmetric catalyst.Due to inherent chirality, herein we have made an attempt to synthesize the helicene-thiourea based catalyst for asymmetric catalysis. The synthesis involved formation of two key intermediates viz, bromo-phenanthrene 5 and a vinyl-naphthalene 10. The coupling of these two intermediates leads to formation of hexahelicene.

Homogeneous analysis of a sample of Open Clusters in the context of the BOCCE project and the Gaia-ESO Survey

The open clusters (OC) are gravitationally bound systems of a few tens or hundreds of stars. In our Galaxy, the Milky Way, we know about 3000 open clusters, of very different ages in the range of a few millions years to about 9 Gyr. OCs are mainly located in the Galactic thin disc, with distances from the Galactic centre in the range 4-22 kpc and a height scale on the disc of about 200 pc. Their chemical properties trace those of the environment in which they formed and the metallicity is in the range -0.5<[Fe/H]<+0.5 dex. Through photometry and spectroscopy it is possible to study relatively easily the properties of the OCs and estimate their age, distance, and chemistry. For these reasons they are considered primary tracers of the chemical properties and chemical evolution of the Galactic disc. The main subject of this thesis is the comprehensive study of several OCs. The research embraces two different projects: the Bologna Open Cluster Chemical Evolution project (BOCCE) and the Gaia-ESO Survey. The first is a long-term programme, aiming at studying the chemical evolution of the Milky Way disc by means of a homogeneous sample of OCs. The latter is a large public spectroscopy survey, conducted with the high-resolution spectrograph FLAMES@VLT and targeting about 10^5 stars in different part of the Galaxy and 10^4 stars in about 100 OCs. The common ground between the two projects is the study of the properties of the OCs as tracers of the disc's characteristics. The impressive scientific outcome of the Gaia-ESO Survey and the unique framework of homogeneity of the BOCCE project can propose, especially once combined together, a much more accurate description of the properties of the OCs. In turn, this will give fundamental constraints for the interpretation of the properties of the Galactic disc.

Numerical study of homogeneous and heterogeneous crystal nucleation in colloidal systems

Im Rahmen dieser Arbeit wurden Computersimulationen von Keimbildungs- und Kris\-tallisationsprozessen in rnkolloidalen Systemen durchgef\"uhrt. rnEine Kombination von Monte-Carlo-Simulationsmethoden und der Forward-Flux-Sampling-Technik wurde rnimplementiert, um die homogene und heterogene Nukleation von Kristallen monodisperser Hart\-kugeln zu untersuchen. rnIm m\"a\ss{ig} unterk\"uhlten Bulk-Hartkugelsystem sagen wir die homogenen Nukleationsraten voraus und rnvergleichen die Resultate mit anderen theoretischen Ergebnissen und experimentellen Daten. rnWeiterhin analysieren wir die kristallinen Cluster in den Keimbildungs- und Wachstumszonen, rnwobei sich herausstellt, dass kristalline Cluster sich in unterschiedlichen Formen im System bilden. rnKleine Cluster sind eher l\"anglich in eine beliebige Richtung ausgedehnt, w\"ahrend gr\"o\ss{ere} rnCluster kompakter und von ellipsoidaler Gestalt sind. rn rnIm n\"achsten Teil untersuchen wir die heterogene Keimbildung an strukturierten bcc (100)-W\"anden. rnDie 2d-Analyse der kristallinen Schichten an der Wand zeigt, dass die Struktur der rnWand eine entscheidende Rolle in der Kristallisation von Hartkugelkolloiden spielt. rnWir sagen zudem die heterogenen Kristallbildungsraten bei verschiedenen \"Ubers\"attigungsgraden voraus. rnDurch Analyse der gr\"o\ss{ten} Cluster an der Wand sch\"atzen wir zus\"atzlich den Kontaktwinkel rnzwischen Kristallcluster und Wand ab. rnEs stellt sich heraus, dass wir in solchen Systemen weit von der Benetzungsregion rnentfernt sind und der Kristallisationsprozess durch heterogene Nukleation stattfindet. rn rnIm letzten Teil der Arbeit betrachten wir die Kristallisation von Lennard-Jones-Kolloidsystemen rnzwischen zwei ebenen W\"anden. rnUm die Erstarrungsprozesse f\"ur ein solches System zu untersuchen, haben wir eine Analyse des rnOrdnungsparameters f\"ur die Bindung-Ausrichtung in den Schichten durchgef\"urt. rnDie Ergebnisse zeigen, dass innerhalb einer Schicht keine hexatische Ordnung besteht, rnwelche auf einen Kosterlitz-Thouless-Schmelzvorgang hinweisen w\"urde. rnDie Hysterese in den Erhitzungs-Gefrier\-kurven zeigt dar\"uber hinaus, dass der Kristallisationsprozess rneinen aktivierten Prozess darstellt.

The synthesis of maleic anhydride: study of a new process and improvement of the industrial catalyst

Maleic anhydride is an important chemical intermediate mainly produced by the selective oxidation of n-butane, an industrial process catalyzed by vanadyl pyrophosphate-based materials, (VO)2P2O7. The first topic was investigated in collaboration with a company specialized in the production of organic anhydrides (Polynt SpA), with the aim of improving the performance of the process for the selective oxidation of n-butane to maleic anhydride, comparing the behavior of an industrial vanadyl pyrophosphate catalysts when utilized either in the industrial plant or in lab-scale reactor. The study was focused on how the catalyst characteristics and reactivity are affected by the reaction conditions and how the addition of a dopant can enhance the catalytic performance. Moreover, the ageing of the catalyst was studied, in order to correlate the deactivation process with the modifications occurring in the catalyst. The second topic was produced within the Seventh Framework (FP7) European Project “EuroBioRef”. The study was focused on a new route for the synthesis of maleic anhydride starting from an alternative reactant produced by fermentation of biomass:“bio-1-butanol”. In this field, the different possible catalytic configurations were investigated: the process was divided into two main reactions, the dehydration of 1-butanol to butenes and the selective oxidation of butenes to maleic anhydride. The features needed to catalyze the two steps were analyzed and different materials were proposed as catalysts, namely Keggin-type polyoxometalates, VOPO4∙2H2O and (VO)2P2O7. The reactivity of 1-butanol was tested under different conditions, in order to optimize the performance and understand the nature of the interaction between the alcohol and the catalyst surface. Then, the key intermediates in the mechanism of 1-butanol oxidehydration to MA were studied, with the aim of understanding the possible reaction mechanism. Lastly, the reactivity of the chemically sourced 1-butanol was compared with that one of different types of bio-butanols produced by biomass fermentation.

Complessi carbenici N-eterociclici di rutenio: catalizzatori omogenei in reazioni di idrogenazione e deidrogenazione

Il presente lavoro di tesi si inserisce in un progetto di ricerca volto alla sintesi di nuovi complessi di metalli di transizione per lo sviluppo di catalizzatori bifunzionali metallo-legante da impiegare in reazioni di catalisi omogenea, in particolare in reazioni redox quali idrogenazione e deidrogenazione attraverso il trasferimento di idrogeno. Il mio progetto ha riguardato la messa a punto della sintesi di complessi di Ru(0) che combinano leganti ciclopentadienonici e carbeni N-eterociclici e la sintesi dei corrispondenti complessi cationici per protonazione. Inoltre, è stato sintetizzato e caratterizzato un nuovo complesso cationico attraverso la metilazione del corrispettivo complesso neutro. I complessi sintetizzati sono stati utilizzati come precursori di catalizzatori nella riduzione tramite trasferimento di idrogeno del 4-fluoroacetofenone, valutandone l’attività catalitica in relazione a leganti, additivi e controioni. Allo scopo di delineare qualche ipotesi sul meccanismo di reazione sono stati effettuati diversi studi sulla reattività dei complessi impiegati in catalisi, in particolare usando la piridina come agente di “trapping”. Infine, è stato condotto uno studio preliminare dell’attività catalitica dei complessi sintetizzati nell’ossidazione di benzilalcol a benzaldeide. The present work is part of a research project that involves the study of new ruthenium-based transition metal complexes in order to develop new metal-ligand bifunctional catalysts to employ in homogeneous catalytic systems, in particular in redox reactions such as hydrogenation and dehydrogenation through hydrogen transfer. My project is focused on the optimization of the synthesis of Ru(0) complexes that combines different ligands as tetraphenylcyclopentadienone and N-heterocyclic carbenes and the synthesis of the corresponding cationic complexes by protonation. Furthermore, it is reported the synthesis and characterization of a new cationic complex obtained by methylation of the corresponding neutral complex. All the prepared complexes were employed as catalyst precursors in the transfer hydrogenation of 4-fluoroacetophenone and their performances were investigated in relation to the type of ligands, additives and counterions. The reactivity of these ruthenium complexes was also investigated with the aim of delineate some hypothesis on the reaction mechanism, in particular employing pyridine as a trapping agent. Finally, preliminary studies on the oxidation of benzyl alcohol have been carried out.

Experimental and modeling study of the filtration and oxidation characteristics of a diesel oxidation catalyst and a catalyzed particulate filter

A diesel oxidation catalyst (DOC) with a catalyzed diesel particulate filter (CPF) is an effective exhaust aftertreatment device that reduces particulate emissions from diesel engines, and properly designed DOC-CPF systems provide passive regeneration of the filter by the oxidation of PM via thermal and NO2/temperature-assisted means under various vehicle duty cycles. However, controlling the backpressure on engines caused by the addition of the CPF to the exhaust system requires a good understanding of the filtration and oxidation processes taking place inside the filter as the deposition and oxidation of solid particulate matter (PM) change as functions of loading time. In order to understand the solid PM loading characteristics in the CPF, an experimental and modeling study was conducted using emissions data measured from the exhaust of a John Deere 6.8 liter, turbocharged and after-cooled engine with a low-pressure loop EGR system and a DOC-CPF system (or a CCRT® - Catalyzed Continuously Regenerating Trap®, as named by Johnson Matthey) in the exhaust system. A series of experiments were conducted to evaluate the performance of the DOC-only, CPF-only and DOC-CPF configurations at two engine speeds (2200 and 1650 rpm) and various loads on the engine ranging from 5 to 100% of maximum torque at both speeds. Pressure drop across the DOC and CPF, mass deposited in the CPF at the end of loading, upstream and downstream gaseous and particulate emissions, and particle size distributions were measured at different times during the experiments to characterize the pressure drop and filtration efficiency of the DOCCPF system as functions of loading time. Pressure drop characteristics measured experimentally across the DOC-CPF system showed a distinct deep-bed filtration region characterized by a non-linear pressure drop rise, followed by a transition region, and then by a cake-filtration region with steadily increasing pressure drop with loading time at engine load cases with CPF inlet temperatures less than 325 °C. At the engine load cases with CPF inlet temperatures greater than 360 °C, the deep-bed filtration region had a steep rise in pressure drop followed by a decrease in pressure drop (due to wall PM oxidation) in the cake filtration region. Filtration efficiencies observed during PM cake filtration were greater than 90% in all engine load cases. Two computer models, i.e., the MTU 1-D DOC model and the MTU 1-D 2-layer CPF model were developed and/or improved from existing models as part of this research and calibrated using the data obtained from these experiments. The 1-D DOC model employs a three-way catalytic reaction scheme for CO, HC and NO oxidation, and is used to predict CO, HC, NO and NO2 concentrations downstream of the DOC. Calibration results from the 1-D DOC model to experimental data at 2200 and 1650 rpm are presented. The 1-D 2-layer CPF model uses a ‘2-filters in series approach’ for filtration, PM deposition and oxidation in the PM cake and substrate wall via thermal (O2) and NO2/temperature-assisted mechanisms, and production of NO2 as the exhaust gas mixture passes through the CPF catalyst washcoat. Calibration results from the 1-D 2-layer CPF model to experimental data at 2200 rpm are presented. Comparisons of filtration and oxidation behavior of the CPF at sample load-cases in both configurations are also presented. The input parameters and selected results are also compared with a similar research work with an earlier version of the CCRT®, to compare and explain differences in the fundamental behavior of the CCRT® used in these two research studies. An analysis of the results from the calibrated CPF model suggests that pressure drop across the CPF depends mainly on PM loading and oxidation in the substrate wall, and also that the substrate wall initiates PM filtration and helps in forming a PM cake layer on the wall. After formation of the PM cake layer of about 1-2 µm on the wall, the PM cake becomes the primary filter and performs 98-99% of PM filtration. In all load cases, most of PM mass deposited was in the PM cake layer, and PM oxidation in the PM cake layer accounted for 95-99% of total PM mass oxidized during loading. Overall PM oxidation efficiency of the DOC-CPF device increased with increasing CPF inlet temperatures and NO2 flow rates, and was higher in the CCRT® configuration compared to the CPF-only configuration due to higher CPF inlet NO2 concentrations. Filtration efficiencies greater than 90% were observed within 90-100 minutes of loading time (starting with a clean filter) in all load cases, due to the fact that the PM cake on the substrate wall forms a very efficient filter. A good strategy for maintaining high filtration efficiency and low pressure drop of the device while performing active regeneration would be to clean the PM cake filter partially (i.e., by retaining a cake layer of 1-2 µm thickness on the substrate wall) and to completely oxidize the PM deposited in the substrate wall. The data presented support this strategy.