SENTINEL-1 BASED SOIL MOISTURE AND PRECIPITATION TREND

ASSESSMENT FOR FLOOD ANALYSIS IN MALINAO, ALBAY

JAN XAVIER ABAINZA

PAUL JUSTIN LUDOVICE

ZYROLIE SUÁREZ

A SPECIAL PROBLEM SUBMITTED TO THE FACULTY OF THE

DEPARTMENT OF PHYSICS, COLLEGE OF SCIENCE,
BICOL UNIVERSITY, LEGAZPI CITY
IN PARTIAL FULLFILLMENT OF THE
REQUIREMENTS FOR THE
DEGREE OF

BACHELOR OF SCIENCE
(METEOROLOGY)

MAY 2021

I
 Republic of the Philippines
Bicol University
College of Science
Legazpi

RECOMMENDATION FOR ORAL EXAMINATION

The research paper hereto attached entitled “Flood Analysis of

Malinao, Albay by Soil Moisture Property and Precipitation Trend
Assessment Using Sentinel – 1,” prepared and submitted by JAN XAVIER
ABAINZA, PAUL JUSTIN LUDOVICE, and ZYROLIE SUÁREZ, in partial
fulfilments for the degree of Bachelor of Science in Meteorology, is hereby
submitted for consideration.

SUMMARY OF RECOMMENDATION

Name of JAN XAVIER ABAINZA, PAUL JUSTIN LUDOVICE,

Student: ZYROLIE SUÁREZ
Name of JEROME A. AZUL
Adviser:
Title of the Flood Analysis of Malinao, Albay by Soil Moisture
Study:
Property and Precipitation Trend Assessment Using
Sentinel -1
Date of
Defense:
Venue:

Proposal  Final 

Recommendation Panelist Page

Incorporated

THESIS COMMITTEE

II
 JEROME A. AZUL
Adviser
Date: _______________

Member Member
Date: _______________ Date: _______________

Chairman
Date: _______________

Republic of the Philippines

Bicol University

III
 College of Science
Legazpi

APPROVAL SHEET

Upon the recommendation of the oral Examination Committee, this

research paper “Flood Analysis of Malinao, Albay by Soil Moisture Property
and Precipitation Trend Assessment Using Sentinel - 1” prepared and
submitted by JAN XAVIER ABAINZA, PAUL JUSTIN LUDOVICE, ZYROLIE
SUÁREZ, is hereby approved in partial fulfilment of the requirements in
Undergraduate Thesis 1, is hereby recommended for proposal defense.

JEROME A. AZUL
Research Adviser

IV
 TABLE OF CONTENTS

TITLE PAGE I

RECOMMENDATION FOR ORAL DEFENSE II

THESIS COMMITTEE III

APPROVAL SHEET IV

LIST OF FIGURES AND TABLES VII

CHAPTER I. INTRODUCTION 1

1.1 Background of the Study 1

1.2 Objectives of the Study 4

1.3 Scope and Limitations of the Study 5

1.4 Significance of the Study 6

CHAPTER II. REVIEW OF RELATED LITERATURE 9

AND STUDIES

2.1 Flooding 9

2.2 Flood Mapping 9

2.3 Soil & Soil Moisture 10

2.3.1Soil Moisture Feedback & Impacts 11

2.3.2 Impacts on Temperature & Precipitation 12

2.4 Soil Classification 13

2.5 Evapotranspiration 15

2.6 Precipitation 17

2.7 Remote Sensing & Geographic Information System 22

2.8 Satellite 23

2.9 Remote Sensing for Soil Moisture 25

2.10 Synthesis of the State-of-the-Art 26

2.11 Gap Bridged by the Study 28

2.12 Definition of Terms 28

V
CHAPTER III. METHODOLOGY 31

3.1 Research Design 31

3.2 Theoretical Framework 31

3.3 Conceptual Framework 32

3.4 Sources of Data 33

3.4.1 Soil Moisture Data 33

3.4.2 Soil Type Data 34

3.4.3 Precipitation Data 34

3.5 Instrumentation 34

3.6 Data Gathering Procedure 35

3.7 Validation 37

3.8 Calculation 37

3.9 Statistical Methods 39

REFERENCES 43

VI
LIST OF FIGURES

Figure 1: Flood Mapping Framework 10

Figure 2: Processes leading to soil moisture–temperature coupling 12

Figure 3: Processes leading to soil moisture–precipitation

coupling and soil moisture-precipitation feedback 12

Figure 4: Precipitation of the slope 17

Figure 5: The vertical distribution of soil water storage on the slope 18

Figure 6: Average soil water storage of the slopes 19

Figure 7: A sample 8-day composite of daily precipitation data from

TRMM on March 31, 2015 to April 7, 2015 20

Figure 8: A sample 8-day composite of daily soil moisture data from

SMAP from March 31, 2015 to April 7, 2015 21

Figure 9: Precipitation vs Soil moisture correlation coefficients with

the significant P values (< 0.05) of the 8-day composites
spanning March 31, 2015 to June 23, 2016 21

Figure 10: Bar plot correlation strength by percentage 22

Figure 11: Theoretical Framework 32

Figure 12: Conceptual Framework 33

LIST OF TABLES

Table 1: Soil Type classification according to USDA 14

VII
 CHAPTER I

INTRODUCTION

1.1. BACKGROUND OF THE STUDY

Floods have always been one of the root causes of human fatalities, and

destruction to buildings and environments which can instantaneously, and

severely affect and compromise economic growth and livelihood (European

Parliament of 2007). It also affects a nation’s ability to sustain, especially if

floods are catastrophically devastating such that it can sometimes be surprising.

Flooding is accountable for 40% of all-natural weather disasters worldwide and it

is also the cause of almost half of human casualties due to this kind of natural

disaster (Noji, 1991; Ohl & Tapsell 2000).

Flooding is caused by several different factors. One of them, and the

most important factor is practically rainfall patterns such as intensity, volume, and

timing. Other several factors include drainage basin conditions, wetness,

urbanization, presence of embankments, reservoirs, and dams (Ahlmer et al

2018). A tropical country such as the Philippines, the eastward portion of the

country, which is facing the Pacific Ocean, suffered severely from heavy rainfalls

and resulting floods.

When rain falls on a catchment, the amount of rainwater that can reach

the waterways depends on the catchment’s characteristics, the size, shape, and

especially the land use. Some rainfall is actually captured by soil and vegetation,

but the remainder enters the waterways as a flow. The characteristics of the river,

the vegetation around the rivers, the presence of structures that surround or

adjacent to the waterway all affect the level of water in a specific area. The

topographical dimensions of a certain area in relation to heavy rainfall is one of

the simplest analogies to create when taking flooding in consideration.

Floods occur when the amount of water flowing from a catchment

already exceeds the capacity of the drains, creeks and rivers. The occurrence of

flood can start with just a rainfall, and can be triggered by several other factors.

1
Alteration in evapotranspiration rates changes the contents in the soil moisture

which then changes several factors such as infiltration, groundwater recharge, and

runoff rations (Ahlmer et al 2018, Nigel et al 2001). Generally, the more rain that

falls in a particular area over a set period of time, the lower the proportion that

can seep into the ground, or stored on the surface, and the greater the intensity of

the rainfall, the greater the potential for runoffs. How long the rain occurs and,

how long the area is covered by rain, are also important in flood risk mapping and

assessment. Natural and artificial storages like farm dams and rainwater tanks

have a similar effect in reducing runoff in comparison to vegetation.

Floods generate huge threats in both the microscopic and macroscopic

scale. From the huge fatalities of humans from drowning to the surplus of water

that can damage properties and assets essential to humans. It also leads to the

destruction of infrastructures from houses, roads, essential buildings such as

markets, hospitals, and it also eradicates crops which are crucial to the trade

industry, basic survival needs of humans, as well as the economy.

Terrain characteristics such as roughness can be a vital factor in

occurrence of flooding. Dense vegetation and obstacles especially heavy

structures slow down water flow. Swamps, ponds, and lakes have the capacity to

store floodwater and release it slowly, and artificial structures like detection

basins or dams can also store water, and reduce the peak of downstream flows.

Steeper catchments also make the runoff move faster.

The Philippines, a third world country, is visited by an average of twenty

cyclones per year and has an area that includes the parts of the Pacific Ocean, the

Philippine archipelago and the Philippine sea. The Philippines is the most exposed

country in the world to tropical storms according to Time Magazine (2013). Bicol,

a region in the Philippines situated in the eastern portion of the country, has been

accustomed to these events, specifically it is frequently visited by an average of 2-

3 typhoons per year.

This study will focus on the municipality of Malinao, which is located

northeast of Mt. Mayon and situated between Mt. Malinao and the Lagonoy Gulf.

2
This gulf is not the only body of water that is close to Malinao. At the very centre

of the municipality lies the infamous Comun River which became the geopolitical

boundaries of some barangays in the municipality. It has a land area of 107.50

square kilometres (41.51 sq. mi) constituting 4.17% of the 2,575.77-square-

kilometre- (994.51 sq. mi) total area of Albay consisting 29 barangays and has a

population of forty-five thousand three hundred and one as of April 2021 (PSA,

year). The land area of Malinao is divided into the following categories: Public

land which is estimated to be around 72.60 hectares (0.726 square kilometres),

residential areas are 985.76 hectares (9.8567 sq. km.), irrigable land and irrigated

lands are 2,250 hectares (22.5 sq. km.) and 1,873 hectares (18.73 sq. km.)

respectively, forest accumulates 1,569.30 hectares (15.69 sq. km.) while the

Timberland accumulates 21 hectares (.21 sq. km.). In terms of vegetation and

landscape, watersheds expand over 870.00 hectares (8.7 sq. km.) while

mangroves/swamps are estimated to be 63.30 hectares (0.633 sq. km.) and

grasslands/shrubs/pastures constitutes15.00 hectares (37.1 acres) of the total land

area.

Agriculture is estimated to be 5,750.34 hectares in which it is divided

into major crops and products produced by the municipality. The major

agricultural products are wheat, which takes up almost the land area then majority

of the agricultural land irrigated having 3,709.44 hectares (9,166.2 acres) and

Rainfed: 635.35 hectares (1,570.0 acres), Abaca: 1,260 hectares (3,100 acres) and

Coconut: 186 hectares (460 acres). The other crops are fruits: 36.29 hectares (89.7

acres), Fruit vegetable: 21.869 hectares (54.04 acres), Sugarcane: 10 hectares (25

acres), Vegetable (leafy): 5.193 hectares (12.83 acres), Sweet potato: 4.85

hectares (12.0 acres), Cassava: 3.77 hectares (9.3 acres), Gabi: 1.50 hectares (3.7

acres).

Malinao has its own share of devastating floods. Back in 2012 the

tropical storm Wukong or locally known as Typhoon “Quinta” brought

devastating flash floods to the area affecting multiple barangays including

barangay Balsa where floods were from knee to waist deep rendering road

3
networks impassable for vehicles (Inquirer, 2012). In December 2016, Typhoon

Nock-ten, locally known as “Nina” also affected Malinao leaving multiple

casualties and broken infrastructures and crops (Voa News, 2016). This was also

the in 2020 as two typhoons named Rolly and Ulysses struck Malinao and the

province of Albay resulting to flooding, casualties, and over a month of no

electrical power. The latest flooding commenced this April, 2021 where typhoon

Bising partly hit the Bicol region including Malinao causing the displacement of

hundreds of families and exactly nine thousand five hundred sixty-two people

were evacuated from their homes amidst the still raging pandemic. Barangays

which are mostly affected from flooding are the ones near Comun river

specifically the barangays of Awang, Balading, Balza, Bariw, Baybay, Cabuturan,

Jonop, Matalioni, Payahan, Tagoytoy, Tuliw.

One of the most helpful tools in controlling and preventing such heavy

loss and damage due to flooding is flood mapping. These flood maps can be

categorized into three different subsets specifically the flood hazard maps, flood

vulnerability maps, and flood risk maps (Baldassarre et al 2009, e.g Merz et al

2007). Flood mapping basically uses geoprocessing tools for certain areas with

risk zones and flood-prone area markers. Flood maps can be easily read, and has

easy access to charts and data which expedites the ability of maps to distinguish

areas that are at risk of flooding, and also helps in prioritizing mitigation and

response efforts in order to decrease fatalities (Bapulu & Sinha, 2005). These

maps are constructed with Geographic Information System (GIS) software,

wherein transmitted data from remote sensing satellites and aircraft are being

interpreted and manipulated into flood maps or any other desired output.

1.2 OBJECTIVES OF THE STUDY

This study aims to improve the validity and accuracy of data in forecasting

flood using surface soil moisture retrieval approach as well as generating flood

hazard maps using GIS. This study also aims to provide awareness to

communities affected by the calamity, by providing analysis between

4
precipitation trends, the elevation of areas and their specific soil thresholds. Its

purpose is to answer the following sub-problems:

1. How does soil threshold correspond into events of flooding?

In terms of:

a. The depth of soil.

b. The porosity of soil.

c. Different soil types.

2. How soil moisture content varies with the rate of changes in

precipitation?

3. What are the relationships between soil moisture content, and

amount of precipitation in an area considering the elevation of

that area?

1.3 SCOPE AND LIMITATIONS OF THE STUDY

This study focuses in generating flood risk maps, precipitation trend chart,

and an elevation map which determines flood prone areas. It will use a remote

sensing technology to create maps based on soil moisture contents and soil

thresholds as well as flood distribution rates in areas of Malinao, Albay,

specifically in, the barangays of Awang, Balading, Balza, Bariw, Baybay,

Cabuturan, Jonop, Matalioni, Payahan, Tagoytoy, Tuliw. Focusing on the rural

areas of this region will be the most favourable choice for the researchers since

remote sensing for soil moisture is more effective in this particular area compared

to urban areas where the presence of paved surfaces such as dense buildings and

housings, roads, etc. is evident. Nevertheless, both rural and urban areas will be

included in the construction of the three classifications of flood maps for the

reason that these areas are connected via rivers. Huge amount of runoffs may

reach these urban areas and lead to an increased risk and vulnerability to floods,

and elevation of the areas can be one of the root causes of flooding in urban areas.

These particular barangays in Malinao, Albay were chosen by the researchers for

two main reasons; (1) high vulnerability of the area to flooding which greatly

5
impacts the economy, communities as well as small government sectors, (2) the

accessibility of the area of interest for the researchers to gather data with medium

flexibility.

The data to be used in this study comes from the Sentinel -1 satellite

mission from the Copernicus Programme as it offers data for surface soil moisture

and is available for the user community. (The European Space Agency). The

researchers will only consider a few soil types, namely, loam, sand, clay, and silt.

This is because there are a lot of varieties in soil types and with the researchers

only have limited resources of equipment to use for retrieving samples, including

the time frame. For soil depth, the information will be based on the reflectance in

which the penetrated depth by the Sentinel satellite offers. The measurement of

other parameters such as evapotranspiration and wind data will not be included in

the study for the reason that the researchers lack equipment for measurement.

This gathering of data will span in the months of June to November considering

the event of the rainy season, including previous data that occurred during an

event of flooding on the same area of interest. These will hold the basis of the

study about the land-atmosphere relationship as well as evapotranspiration.

1.4 SIGNIFICANCE OF THE STUDY

As floods can happen anytime, it can greatly impact the large to small

scale economies as well as the communities. This leads for further investigation

of the phenomena and sets an objective for the researchers to further study in

improving forecasting flood patterns by remote sensing using the soil moisture

retrieval approach as well as generating flood hazard maps to reduce and mitigate

future catastrophic events, that may lead to an economical gain and alleviate

economic losses.

The outcome of this study will help not only the people, but the whole

community as well as the sustainability of the environment since the output of the

study can educate the people. This can also decrease human casualties in the near

future, providing confidence to the residence of living in a safe area.

6
 This can also help the agriculture sector. The prior identification of where

to put up rice fields and adjusting their planting and harvesting periods based on

the results of this study can be achieved.

This can also help urban planners in their future projects. This can be a

decision support tool in renovating and reinforcing community-driven

infrastructures. By identifying flood risk zones, urban planners can use this as a

guide in future projects.

This study can also act as an early warning indicator for engineers and

architects who will construct establishments in Malinao, Albay. The product of

this study will help them identify the best areas for construction of infrastructures.

This study can also help the weather monitoring departments, in predicting

weather patterns and determining the immensity of floods in Malinao, Albay.

This study may be able to help the Department of Science and Technology

in the realizations and pursuit of related researches that will efficiently help solve

problems and derive new concepts that are adequately related to flooding

problems.

The study can also help the Department of Public Works and Highways in

identifying weak spots or hotspots of flood prone areas and where the dikes or

canals should be constructed to help in reducing flood prone areas and organizing

water flowing systems.

This study can also help the Department of Environment and Natural

Resources in identifying illegal entities, and corporations with a working site in

the flood prone areas or near the flood prone areas that make other areas more

flood-prone and can contribute to further incidence of flooding. It can also help

them in restoration of barren lands that can be a flood prone area.

The product of this study can also help the National and Local

Government Units in the area, for better response in rescue operation, provided

with the knowledge of flood prone areas that can help in planning and prior

7
execution for quick deployments of workforce. This can also help them in

reviewing other certain factors that can lead to flooding, like clogged drainage

and sewage lines, by implementing proper waste disposal, and massive clean-up

drives.

This study will be helpful to future researchers who are interested in this

research topic. It will serve as their guide and reference to further develop new

ideas to explore more or improve the study.

This can also help atmospheric science students, meteorology students, or

other related fields in regards to precipitation and soil threshold concentrations,

this study can guide and be helpful to the students who might work on the same or

related research study.

8
 CHAPTER II

REVIEW OF THE RELATED LITERATURE AND STUDIES

This chapter presents a discussion on the views and concepts which are

relevant to this study brought about by different authors from different

universities all over the world. The related literature and studies herein presented

will give the researchers sufficient information and background needed for the

development of this study.

2.1 FLOODING

Flooding is known to be one of the most notably universal climatic

meteorological hazards that poses huge threats to human lives, assets, livelihood,

infrastructures as well as economic growth. According to the study of Parker

(2000) the definition of a flood refers to an excess accumulation of water across a

land surface; an event whereby water rises or flows over land but is not normally

submerged. Flood is divided into three categories: flood risks, flood vulnerability

and flood hazards. Flood risk is defined as the probability of floods with a given

intensity and a given loss will occur in a certain area within a specified period.

Flood vulnerability is the probability of potentially damaging flood situations in a

given area within a specified period, and flood hazards are the susceptibility of an

area to be flooded (B. Merz and Annegret Thieken 2007).

2.2 FLOOD MAPPING

Flood Mapping is the process of making flood maps through the use of

different statistical data, tools, surveys as well as different parameters. It is a

crucial component in identifying flood prone areas. It creates easily-read, rapidly-

accessible charts and maps which facilitate the identification of areas at risk of

9
flooding and also helps prioritize mitigation and response efforts (Bapulu &

Sinha, 2005). It is also designed to increase the awareness of the likelihood of

flooding among the public, local authorities and other organizations.

According to the study of B. Merz and Annegret Thieken, flood maps are

classified into three categories. Flood hazard maps show the intensity of floods

and their associated exceedance probability. Flood vulnerability maps on the other

hand illustrate the consequences of floods on economy, society and the natural

environment. Flood risk maps show the spatial distribution of the risk, which, for

natural disasters, can be defined as the probability that a given event will occur

multiplied by its consequences.

Creating a flood map is not an easy process, it requires tedious research

data collection, careful and accurate planning. The theoretical framework

presented by the Government of Canada and in collaboration with Natural

Resources Canada (2018) presents a step-by-step process in creating a flood map.

The framework is presented below (Figure 1).

Figure 1: Flood Mapping Framework

2.3 SOIL & SOIL MOISTURE

Soil plays a significant role in sustaining life on the planet. Affecting not

only the environment but also partaking in the growth of life. Almost all of the

food source of humanity comes from the soil, infrastructure, homes and essential

buildings are also affiliated with soil. Soil also affects the weather and climate

through various concepts such as soil moisture.

10
 Soil moisture is defined as (Schoonover et. al, 2015) the amount of water

contained in a certain amount of soil. Soil moisture is reliant to different soil

characteristics such as soil texture, structure, organic matter content and

arrangement of soil pores or porosity. Soil structure is the description of how

individual soil particles (sand, silt, and clay) are arranged into soil aggregates

(also called peds) and reflects both physical and chemical weathering. Organic

matter has a high degree of microporosity, which allows it to retain more water.

Thus, the higher the amount of organic matter generally has higher water holding

capacity. Soil compaction also impacts water holding capacity since soil

compaction weakens soil structure and collapses pores, thereby decreasing the

soil’s ability to hold water.

Changes in soil moisture shows the straightforward severity of flood:

excessive soil moisture condition preceding a severe precipitation will lead to

large volume of runoff, thus more vast flooding associated with precipitation (Ho-

Hagemann et al 2015).

2.3.1 SOIL MOISTURE FEEDBACKS & IMPACTS

Soil moisture content has a lot of impacts, one being on climates. Soil

climate interactions are one of the most significant interactions. Importance of soil

moisture on near surface climate is being related to changes in air temperature

which then leads to precipitation, whenever soil moisture limits the total energy

used by latent heat flux, more energy is available for sensible heating thus

inducing an increase of near surface air temperature. (Seneviratne et. al., 2006).

This shows significant impact on near surface air temperature and shows

relevance in occurrence of extreme hot temperatures and heat waves (Zhang et. al,

2009).

In the study of WW Verstraeten, el. al 2007, a direct link was observed

between soil water status, gross primary productivity of vegetation, and soil

respiration. Soil moisture content is also applied as a flood condition predictor,

when soils become completely saturated and under saturated conditions, soil

cannot retain surpluses or precipitation, and a flooding risk may be present. Soil

11
moisture content estimates also help to predict evaporation rates, run-offs, and

soil erosions. (Fen-Li Z, 2006.)

The soil moisture content is also directly linked to the soil water potential

or soil suction. A decreasing soil moisture content causes the soil suction to

increase and the remaining soil moisture becomes less accessible for the uptake of

plant roots leading to a reduction of evapotranspiration.

2.3.2 IMPACTS ON TEMPERATURE & PRECIPITATION

The relationship of soil moisture, evapotranspiration, and temperature

according to the study of (Seneviratne et. al., 2006) affects precipitation which in

turn affects climate interactions.

Soil moisture affects the near surface climate and is also related to the

changes in air temperature. Soil moisture limits the total energy used by latent

heat flux only then more energy is available for sensible heating, inducing an

increase of near-surface air temperature.

Figure 2: Processes leading to soil Figure. 3 Processes leading to

moisture–temperature coupling. soil moisture–precipitation
(et. al Seneviratne 2010) coupling and soil moisture-
precipitation feedback (et. al.
Seneviratne 2010)

Figure 2 exhibits the main interactions leading to soil moisture–

temperature coupling and soil moisture–temperature feedback. The feedback loop

depicted in the figure indicates the possible outcome and impact of a negative soil

moisture anomaly for the positive anomaly of temperature, arbitrated through a

12
negative anomaly caused by evapotranspiration. Positive arrows (red) indicate

processes that lead to drying/warming phase and the blue arrows denote potential

negative feedbacks (the hatched blue arrow indicates the tendency for enhanced

temperature which leads to more evaporation, while the filled blue arrow indicates

the influence of evapotranspiration on soil moisture content. Relationship (A)

refers to the relationship of soil moisture and evapotranspiration, this indicates the

effect of the negative anomaly of soil moisture for the linked negative anomaly of

evapotranspiration. Relationship (B) relates to the connection between

evapotranspiration and sensible heat flux, which results to a huge impact in air

temperature because of the decrease in evapotranspiration and an increase in

sensible heat flux, thus an increase in air temperature is the result. And

relationship (C) relates to a potential positive feedback (induced by a chain of two

negative feedbacks) leading to an increase temperature and this increased

temperature leads to a higher vapor pressure deficit and evaporative demand,

resulting to a potential increase in evapotranspiration despite the dry conditions,

and can possibly lead to a further decrease in soil moisture. (Seneviratne et. al.

2010)

In Figure 3, precipitation is now included in the loop. A simple

representation of the relationship of processes that contribute to soil moisture–

precipitation coupling and soil moisture–precipitation feedback is depicted. (A)

the relationship between soil moisture anomalies and subsequent

evapotranspiration anomalies; (B) the relationship between evapotranspiration

anomalies and subsequent precipitation anomalies; (C) the relationship between

precipitation and subsequent soil moisture anomalies.

2.4 SOIL CLASSIFICATIONS

There are many soil classifications existing, and it is categorized based on

their morphological properties or as well as chemical properties but the most

notably used classification system is the soil taxonomy system that was made by

the United States Department of Agriculture (USDA) according to the Soil

Survey Staff of 1999. The system uses morphogenetic classification relating to the

13
development of normal organic form. The system uses both quantitative factors as

well as soil genesis themes and assumptions to guide soil groupings.

Type Description Type Description

Entisols Little, if any Inceptisols Beginning of
horizon horizon
development development
Aridisols Soils located in Mollisols Soft, grassland
arid climates soils
Alfisols Deciduous forest Spodosols Acidic coniferous
soil soils
Ultisols Extensively Oxisols Extremely
weathered soils weathered
tropical soils
Gelisols Soils containing Histosols Soils formed in
permafrost organic material
Andisols Soil formed in Vertisols Shrinking and
volcanic swelling clay
materials soils

Table 1: Soil Type classification according to USDA

According to the USDA soil Taxonomy of 1999, Entisols are considered

to be the newest formed soil order out of all the soil orders. This soil is found

abundantly on steep slopes with severe erosion on floodplains that receive alluvial

deposits. Inceptisols are considered to have a notably weak profile, commonly

found along major rivers and streams due to its weak profile. Besides having a

weak profile, Inceptisols are usually moist or atleast moist for 90 days making it

suitable for plant growth. Alfisols are formed in deciduous forests, basically

found in humid climates of the world. Spodosols, known to originate from coarse

textured, acidic parent materials formed under forest vegetations, especially

coniferous forests and is also known to have acidic resins. Mollisols are referred

to as the prairie soils as these soils are commonly known to exist under grassy

prairies and also characterized by their organic matter content and dark color.

Gelisols on the other hand are also considered young soil in regard to geologic

time scales but in terms of where it is found, they are basically common under

cold temperatures or cold regions. Aridisols which is commonly associated with

semi-arid to arid regions which has a low mean annual rainfall and due to this

14
lack of moisture it affects both soil weathering and soil development process. This

type of soil is commonly found in deserts. Ultisols are different, they can be found

in warm and humid areas, they have high amounts of clay mineral weathering and

translocation that leads to a sub-surface accumulation of clays, and they are more

acidic than alfisols. Andisols is a soil once grouped in the inceptisols. They are

new orders of soil developed in volcanic regions. Oxisols, referred to as the most

highly weathered, are oxidized soil hence the name. Oxisols are formed natively

in wetter environments although in some cases they can be found in drier regions.

Vertisols are soils that lack profile development due to mixing processes. During

the presence of dry conditions soils tend to crack. Histosols are a type of soil

which are believed to be the only organic soil order in the classification system.

2.5 EVAPOTRANSPIRATION

Evapotranspiration is the process where originating water from sources is

transferred from the soil compartment or vegetation layer to the atmosphere. It

includes evaporation from surface, water bodies, land surfaces, soil, sublimations

of snow and ice, and plant transpirations as well as canopy water interceptions.

Evaporation describes the movement of water to the air from sources like ground

and water. Transpiration accounts for the movement water as vapor from plants.

The Potential Evapotranspiration (PET) is a representation of environmental

demand and evapotranspiration rate of a crop, or a certain height with adequate

water in a soil profile. It reflects the available energy to evaporate the water, and

can also reflect the wind available to transport the water vapor from the ground to

the atmosphere. An allocation of evapotranspiration into plant transpiration, soil

evaporation and intercepted water evaporation is generally accepted. (Schelde K,

1996, Ladekarl U.L, 1998).

Different land uses significantly affect evapotranspiration especially the

amount of water leaving a basin. Factors that affect evapotranspiration include a

vegetation’s maturity, soil cover percentage, solar radiation, humidity,

temperature, and wind. (Jasechko, Scott, et. al, April 2013)

15
 Water yields are generally higher in rainforests compared to cleared land,

as evapotranspiration increases the humidity within a forest, which a portion of it

returns quickly as precipitation experienced as rain. Vegetation density also

reduces the ground level’s temperature, reducing losses due to surface

evaporation and reduces wind speed, reducing the loss of airborne moisture.

Resulting effects can be an increase in surface stream flows and a higher ground

water table. Rainforest clearings lead to desertification as this will cause the

ground level’s temperature to increase, vegetation cover will be lost, and soil

moisture will be reduced by the wind, therefore soils are easily eroded by high

wind and rainfall events.

Unirrigated areas have an actual evapotranspiration that is usually no

greater than the precipitation, but it does have some buffering in time depending

on the ability of the soil to hold water. It is somehow less since water is usually

lost due to percolation and surface runoff. An exception goes to areas with high

water tables, where capillary action can cause the water from the groundwater to

rise through the soil matrix to the surface. A higher potential evapotranspiration

than the actual precipitation will make the soil dry out, plus, evapotranspiration

should never be greater than the potential evapotranspiration but it can be lower if

there is not enough water to be evaporated.

The amount of water that will be evaporated and transpired by a specific

crop or ecosystem is the potential evapotranspiration. The potential

evapotranspiration is a demand that incorporates the available energy for

evaporation and the ability of the atmosphere to transport the moisture away from

the land surface. Potential evapotranspiration is higher in the summer season, less

cloudy days, and areas closer to the equator. Higher levels of solar radiation

provide energy for potential evapotranspiration. Wind is also able to transport

evaporated moisture from the ground, and this allows more evaporation to take

place. It is expressed in terms of water depth, and is usually measured indirectly

from other factors, but this depends on the surface type, like water bodies, soil

types, and vegetation.

16
 The significance of evapotranspiration and soil moisture content provides

several processes that are an essential tool for water assessment and dynamics of

terrestrial ecosystems. The estimation of evapotranspiration and soil moisture

content is an issue in several applications including food security, land

management systems, pollution and fire detections, nutrient flows, and other

balance modelling. Soil moisture content is a status condition which is connected

to the process of evapotranspiration since soil moisture content is related to

moistures contained in the upper 1 – 2 metres of soil moisture, which can

potentially evaporate. (Vinnikov K.Y et. al, 1999). According to Moran M.S, et.

al, Canadian Journal of Remote Sensing, variations in soil moisture content have a

strong impact on surface energy dynamics, regional runoffs, and vegetation

productivity.

2.6 PRECIPITATION

Precipitation is the product of condensation of water vapor that falls from

the clouds under gravitational pull. It occurs when a portion of the atmosphere

becomes saturated with water vapor, and water condenses and precipitates.

("Precipitation". Glossary of Meteorology. American Meteorological Society.

2009).

In the study of Yong Zhang et. al (2009), a data of soil moisture based on

2 months, the dynamics and distribution patterns of soil moisture caused by

rainfall were studied using the water balance principle. Figure 4 showed the

precipitation of the slope, in relation to the response of slope moisture particularly

to a typical strong rainfall.

17
 Figure 4: Precipitation of the slope

Figure 5 showed the soil moisture characteristics and an active layer is

located in the 0-30 centimetres. When the heavy rainfall occurred on both samples

without vegetation cover or with vegetation cover, the soil moisture in the surface

depth of 0-30 centimetres responded rapidly. There was more water infiltration in

samples with vegetation cover than samples without cover. 30 centimetres and

below of the soil in the middle and lower slope contains more soil water storage

in samples without vegetation cover, and the soil water storage had changes in

30–60-centimetre layer of samples, which was the transition layer. In samples of

60-75 centimetres the soil water storage belonged to the stable layers and

remained constant.

Figure 5: The vertical distribution of soil water storage on the

slope with A, C and E are upper, middle, and lower slope
samples without vegetation cover, and B, D, and F are upper,
middle, and lower slope samples with vegetation cover.

Soil moisture had a gradually increasing trend from the upper to the lower

slope as shown in Figure 6. Soil water storage has changed in samples without

vegetation cover with the lowest slope having the highest soil water storage. The

18
soil water storage in samples with vegetation cover fluctuated with time having a

standard deviation from the average storage of the samples with vegetation cover

bigger than the number of samples with vegetation cover.

Figure 6: Average soil water storage of the slopes

The study of Robin Sehler, et. al., entitled Investigating Relationship

Between Soil Moisture and Precipitation Globally Using Remote Sensing

Observations which was published in January 11, 2020, utilized NASA’s

(National Aeronautics and Space Administration) remote sensing products of soil

moisture and precipitation particularly the SMAP (Soil Moisture Active Passive

and TRMM (Tropical Rainfall Measuring Mission), which provided near-global

coverage that investigates the co-variation of precipitation and soil moisture

regionally. The information on land cover and climate regimes provide insight on

the correlation strength of soil moisture and precipitation.

The amount of water in the top soil influences the heat exchanged between

the land and the atmosphere which includes important hydrologic processes like

precipitation, river discharge, flood and drought. Soil moisture is used to forecast

weather, predict climate change, estimate yields in agriculture and provide early

warnings for floods and drought because of its influence. (Entekhabi et al., 2010)

19
 This interplay of soil moisture and precipitation strongly affects the

terrestrial water and energy cycles. The patterns in spatial and temporal aspects of

soil moisture depend on the variability of precipitation, evapotranspiration, and

runoff. (Famiglietti and Rodell 2013; McCabe and Wolock 2013).

Previous researches identified some physical mechanisms which caused

positive correlations between soil moisture and precipitation. These studies

support the hypothesis that wetter soil provides abundant moisture to the

atmosphere, increasing the humidity, therefore increasing precipitation rates. In an

energy-balance point of view, a wetter soil decreases the surface albedo which

allows for an increase in the net terrestrial and solar radiation, an increase in

moisture convergence, which can also enhance precipitation, and these

hypotheses support the theory that higher risks of floods in wet regions and higher

risks of droughts in dry areas. (Findell and Eltahir 1997; Eltahir 1998; Zheng and

Eltahir 1998)

Recent studies suggest the opposite, and in certain localities, soil moisture

and precipitation are negatively correlated. More precipitation is observed in dry

soil regions because of the strong convective system which indicates an increase

in flood risk in dry areas. The soil moisture and precipitation interaction is

strongly affected by the local climate and environment. (Boé 2013; Ford et al.

2015a; Ford et al. 2015b). These imply that environmental factors like land cover,

and climate, plays a significant role in how soil moisture interacts with

precipitation. (Cook et al. 2006; Guillod et al. 2015; Yang et al. 2018)

The result of the study of Robin Sehler et. al., shows figures 7 and 8

containing an 8-day sample composite obtained from TMPA and SMAP daily

products which spanned from March 31, 2015 to April 7, 2015. The figures show

the pattern where regions with the highest levels of precipitation generally occur

where regions experience the highest soil moisture levels. The relationship

between the two figures indicates elevated precipitation is associated with

elevated soil moisture levels.

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 Figure 7: A sample 8-day composite of daily precipitation data from
TRMM on March 31, 2015 to April 7, 2015

Figure 8: A sample 8-day composite of daily soil moisture data from

SMAP from March 31, 2015 to April 7, 2015

Figure 9 shows Pearson's correlation coefficient for 8-day composites of

the TMPA precipitation and SMAP soil moisture data sets for the same period.

The figure presented a pattern of moderate to very strong positive correlations

occurring in every continent. Asia is one of the continents which have the

strongest correlations. There are certain regions where there are large negative

correlations particularly river basins like the Amazon and Congo. This is due to

the hydraulic redistribution. It is documented that Amazon trees with long roots

perform hydraulic redistribution from deep to shallow soil, in order to survive

during the dry season. (Harper et. al, 2010).

21
 Figure 9: Precipitation vs Soil moisture correlation coefficients with

the significant P values (< 0.05) of the 8-day composites spanning

March 31, 2015 to June 23, 2016

Figure 10 shows the percentages of varying correlation strengths, where

precipitation and soil moisture mostly correlate moderately to very strong. The

correlations are mostly positive in addition to the prevalence of moderate to very

strong. As precipitation increases, soil moisture increases and as precipitation

decreases, soil moisture also decreases. The general trend of the moderate to

strong correlation and the positive correlation direction supports the hypothesis

that precipitation leads to an increase in soil moisture.

Figure 10: Bar plot correlation strength by percentage

The results show that most have a moderate to strong positive correlation

of soil moisture and precipitation data. Soil moisture and precipitation have the

strongest correlations in regions of limited vegetation in relation to land cover,

forests and densely vegetated regions have weaker correlations. Remotely sensed

soil moisture data are less reliable in dense vegetation, but the results confirm that

dry, and less vegetated climates show a highly linear relationship between soil

moisture and precipitation.

2.7 REMOTE SENSING & GEOGRAPHIC INFORMATION SYSTEM

(GIS)

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 Remote sensing and Geographic Information System (GIS) are very

practical equipment to use, especially in assessing flood risks as well as in

management. The collected data overtime, shows improvement in the near real-

time monitoring of flood disasters, for early warnings as well as rapid damage

appraisals as Darko (2017) have stated. She also said that remote sensing is the

science, technology and art of gathering information on a desired area of interest

that can be used for multiple purposes as it covers a significant range in an area at

short lead times, hence, can be used for delineating flood plains, mapping of flood

prone areas, sensitive land use and planning, flood forecasting, precipitation

mapping, and evacuation and damage assessment. These data come from vast

amounts of satellites that offer as much as large synoptic views that are viable for

several applications (Lillesand et al 2008).

The Geographic Information System (GIS) in total is a computer-based

system whereas remotely sensed data is inputted, managed, analysed, and large

sizes of flood risk assessment and management data are manipulated. GIS offers a

vast range of tools for representing flood affected areas and determining flood

prone areas (Darko 2017). Although it is not merely suited for some cases as

Abante (2018) has stated as it is proven as effective with the use of these

technologies. However, the process of geospatial information modelling to create

an identical scale of the area of interest is tedious, costly and is being neglected.

Nevertheless, it is resorted into carrying out based analyses of land use patterns in

planning with the aid of several information from previous topographic, tax,

thematic maps that is digitized and converted into a shapefile used in GIS and

serve as the baseline to plan and deliver the problems that both the urban and rural

settlements are facing, and these are the particularly mentioned, the diminished

agricultural crops found within the alluvial plains which lies at the exact region of

the flood prone area (Abante et al 2018, Doxiadis 1970). In the past years, remote

sensing technology and GIS applications play a key role in monitoring floods. It

has a total of two phases: (1) remote sensing and GIS can be used for warnings as

well as monitoring an upcoming disaster and construction of disaster-prone maps

for awareness. The second (2) phase uses the remote sensing and GIS in assessing

23
post disaster effects, such as impacts and severity of damage due the occurred

event, and an application on search and rescue operations (Darko 2018).

2.8 SATELLITE

There are a lot of satellites orbiting around the Earth. Typically, a satellite

orbits the Earth geo-synchronously, or sun-synchronously with different altitudes

and purposes. Nonetheless, satellites are used for remote sensing and uniquely

several satellites are built solely for the purpose of soil moisture. A satellite has a

built-in sensor that can be categorized into two, specifically active and passive

sensors. Passive sensors operate where it can detect outgoing electromagnetic

radiation from a source with the use of an illumination of the sun. Active sensors

emit its own illumination and detect outgoing electromagnetic radiation, and it is

therefore independent from other sources of energy. It can also operate both at

night and day (UTILIS 2020). Passive and active microwave sensors are both

identified to be effective in providing temporal and spatial retrieval of data in soil

moisture (Ahlmer et al 2018, Barrett and Petropoulos 2012). Accordingly,

microwave instruments that operated lower than the relaxation frequency of water

molecules hold confidence in account of the magnitude of di-electric constant

among wet and dry soil at frequencies of 9 GHz near 0° C and 17 GHz at 20°C.

The intensity of the radar backscattering coefficient is greatly influenced by the

magnitude of the soil’s dielectric constant; thus, it is known to increase

monotonically as soil moisture content is increased (Hornáček et al 2012, Engman

and Chauhan 1995, Fung et al 1992, Ulaby et al 1986). The measurement of soil

moisture is obtained from spaceborne microwave radiometers and scatterometers

at spatial scales ranging from 25 – 50 kilometres, these are the MetOp ASCAT,

AMSR-E, Windsat, and SMOS. Hornáček et al (2012) stated that currently, the

active microwave sensor instrument offers the sub-antenna footprint resolution in

terms of range and discrimination in Doppler may provide finer spatial resolution

measurements. The retrieval for soil moisture using the active microwave data is

being undermined by influences from geometric and dielectric characteristics of

the surface of the Earth on the backscattered signals (Hornáček et al 2012, Raney

24
1998). As simplifying assumptions impacts the ability of the retrieval model to

accurately distinguish the process of the physical measurement makes it generally

improbable, it is not acceptable to resort into reasoning that predicting soil

moisture retrieval approach will best suit the context of Sentinel-1 mission

(Hornáček et al 2012).

A study of Domeneghetti et al (2019), Huang et al, introduced a new

approach which is an automated extraction of algorithms in surface water extent

from the Sentinel – 1 satellite radar imagery to prove it is skillful in distinguishing

heterogenous or variable wetlands. In order to accurately characterize between

different types of surface soil moisture, the utilization of Sentinel – 2 satellite

optical imagery was executed for the reason that it is quick in response, automated

data-driven thresholding method for inundation mapping (Kordelas et al 2018). In

another study of Chaabani et al (2018), an investigation was performed and the

values were added to the bistatic TDX/TSX Interferometric Synthetic Radar

(InSAR) coherence and a backscatter of Synthetic Aperture Radar for the context

of inundation mapping and compared the values to the dynamics of LISFLOOD-

FP flood model simulation.

The study of Hornáček et al (2012) was to test the skillfulness of the

model in terms of detection with the use of Global Monitoring (GM) mode that is

equipped on the ASAR on board the Envisat’s platform, along with the context of

Synthetic Aperture Radar (SAR), with their adoption to the TU Wein method that

was manufactured for the scatterometer of the ERS at spatial resolution of 50

kilometres, thus, it is to change the approach in detections. Their study proposed

the Near Real-Time Surface Soil Moisture (NRT SSM) algorithms for retrieval on

Sentinel – 1 in IW mode is an adoption to the TU Wein method as stated above,

which later proves having identical results. The Global Monitoring (GM) mode

outstands the modes offered by ASAR in terms of the balance between

radiometric, spatial and temporal resolutions, along with the aid of the methods

for change in detection-driven Surface Soil Moisture (SSM) retrieval but with a

set of requirement for a systematic global Near Real-Time Surface Soil Moisture

25
retrieval services common to operational users are the, high temporal resolution,

the availability of surface soil moisture data in long terms, the availability of the

surface soil moisture time series able for user calibrations, familiar spatio-

temporal error characterization, as well as open and easy access of the users

(Hornáček et al 2012, Pathe et al 2009).

2.9 REMOTE SENSING FOR SOIL MOISTURE

Surface soil moisture (SSM) plays a key parameter in the global waters,

energy and carbon are being retrieved by the use of remote sensing satellites. The

contents of soil moisture vary with the volume of the soil as these components can

be identified vertically and horizontally. This will be the basis of the measurement

methods, as the case in remote sensing, only copious amounts of approaches offer

a depth of few centimetres (Seneviratne et al 2010). Kerr et al (2010) stated that

the ratio between the volume of the water and soil is frequently used in remote

sensing of soil moisture. The spatial and temporal variables of soil moisture are

influenced by the soil types, topography, as well as the atmospheric variables, and

these parameters affects the soil moisture in contrast with the precipitation, e.g.,

the threshold of the soil, several land characteristics like soil depth, underlying

bedrocks, slope, and elevations (Ahlmer et al 2018, Kalantari et al 2014, Barrett

and Petropoulos 2012, SMAP 2017). Near the Earth’s surface, the backscatter of

the soil moisture content varies because the emissivity of a bare soil surface

changes depending on the saturation of the soil (Wagner et al 2013, Schmugge et

al 1986). These methods provide the greater advantage as it offers estimates of

soil moisture over large areas on a global scale. Several setbacks come in to play

(Ahlmer et al 2018) as coarse spatial, temporal resolution, and limitation in the

depth that are penetrated can be an obstacle in applications for hydrology and

cloud cover possibly disrupts the sensing for soil moisture and will set a limitation

for applications in terms of the associated flood events and precipitation. The

study of Hirschi et al (2014), focusing on the anomalies rather than the soil

moisture data reduces the effect of local influences, and may provide accurately

26
spatial signals measurements for soil moisture variations (Mittelbach, Seneviratne

2012).

2.10 SYNTHESIS OF THE STATE-OF-THE-ART

The insights of the given literature reviews, will enable the researchers

with the groundworks of this study and provide supplemental views and concepts

needed for the theoretical and conceptual frameworks of this study. To achieve

accurate forecasting of flood, the people now study different approaches in the art

of surface soil moisture retrieval.

The researchers discovered some similarities and differences between the

studies reviewed. Climate change, as people have different insights about it, will

most likely increase the number of extreme events of long to short term rainfall as

time goes by that it will have an outcome of flooding caused by drainage basin

conditions and huge number of runoffs in the affected urban and rural areas stated

by Ahlmer et al (2018). Samarasinghe et al (2010) studied about the analysis of

flood risk and the applications of Remote Sensing and Geographic Information

System (GIS), and Ahlmer et al (2018) studied about the application of soil

moisture remote sensing in identifying flood prone areas. They showed several

factors that contribute to the increasing damages and risk caused by floods, one of

these is population skyrocketing these past few years that modifies floodplains of

the river system and the lack of human response being present.

The study of Ahlmer et al (2018), Berthet et al (2009), Brocca et al (2008),

and Crow et al (2005) concluded that the difference between the minor and major

flooding effects are caused by the initial soil moisture conditions. Massari et al

(2018) supported their conclusion that an occurring rainfall event during wet and

dry conditions show huge differences in terms of hydrologic response that

determines when a devastating flood event will occur. Massari et al (2018),

Renzullo et al (2014), Lopez et al (2016) then stated that an observation of soil

moisture represents a crucial information for the improvement of predictions for

hydrologically small and large river basins.

27
 The studies of Zhang et. al. (2009), Seneviratne et. al. (2006), Lakshmi

et.al. (2004), Laachrate et. al. (2018), Berthet et. al. (2009) and Ahlmer et. al.

(2017) focus on the concept that soil moisture, through the help of different

parameters has a major role in impacting climate whether it be an indicator,

monitoring for weather extremes or a driving factor of it.

Dwelling on the parameters of soil moisture, the studies conducted by

Kalantari et. al. (2014) and Petropoulos et. al. (2013) is centered more on the

response of soil moisture parameters in examples of (soil texture, classifications)

to the precipitation trend and how it correlates to flooding. Contrarily, the studies

of Famiglietti and Rodell 2013, McCabe and Wolock 2013 state that soil moisture

patterns in terms of temporal and spatial aspects are dependent on the variability

of precipitation, evapotranspiration, and runoff.

2.11 GAPS BRIDGED BY THE STUDY

The aforementioned review of related literature and studies expresses

extensive perspective on the view of monitoring flood prone areas and making

flood maps with the help of the Geographic Information System (GIS) and a

satellite. The current study will also delve into the mentioned processes. It is

however different in terms of field validation such that all the related studies were

based on remote sensing procedures. In consideration, field validation may be

more reliable in terms of having a more solid data rather than the data being

remotely sensed.

The study will also separate itself from other studies in a way that the

process in making the flood maps in this study uses unique parameters like

utilization of soil type classifications of the USDA as well as correlation.

Moreover, among the cited studies, one was similar to this study in terms

of processing parameters which includes precipitation trend, as well as the exact

area of interest except for only two parameters, it doesn’t base the concept from

28
soil moisture as a parameter and the elaboration of soil classifications weren’t

present in other studies. These are the gaps that this study hopes to bridge.

2.12 DEFINITION OF TERMS

For clarities in discussion, presentation and analysis of the data and

information gathered, the following terms are defined conceptually and

operationally.

Basins. In terms of this study basins are the areas where sides are higher

than the bottom area. It is where water runoffs accumulate.

Catchment. Catchment is referred to as an area from which the surface or

water runoff is placed. It is commonly known as watershed area, drainage area,

drainage basin or simply basin. It may be a certain type of place that has the

ability to hold a body of water whether it may be a small amount or large in

quantities.

Communities. The study defines communities as the group of people

living in the same place sharing the same weather phenomenon and experiencing

the same climate.

Elevation. In the study elevation pertains to the measurement of a place

above sea level in terms of kilometres or other forms of measurements.

Evapotranspiration. It is the sum of the land evaporation and the amount

of transpiration that takes place in objects such as vegetations.

Flood Pattern. It refers to the frequency of a flooding event that occurs in

a certain area of interest.

Flood Hazards. Hazards that are connected to flooding. It can be divided

into primary hazards that occur due to contact with water or secondary effects that

occur because of the flooding, such as disruption of services, health related

impacts such as famine and disease, and tertiary effects such as fluctuations in the

disposition of river channels.

29
 Flood Hazard Maps. Maps associated with the three mapping

frameworks; the flood hazard maps which depicts the hazardous effect of

flooding. Vulnerability maps which are considered to be the assessment of how

vulnerable an area is to flooding and flood risks show the spatial distribution of

the risk, which, for natural disasters, can be defined as the probability that a given

event will occur multiplied by its consequences.

Geographic Information System. National Geographic Dictionary

defines GIS as a computer system of capturing, storing, checking, and displaying

data related to positions on Earth’s surface.

Porosity. The study defines porosity or commonly known as void

fraction, as a measurement of the void spaces in a specific material.

Precipitation. In meteorological terms, precipitation is any product by

condensation of atmospheric water vapor that falls to the ground under

gravitational pull from clouds.

Remote Sensing. USGS (United States Geological Survey) defines

remote sensing as the process of detecting and monitoring physical characteristics

of an area by measuring its reflected and emitted radiation at a distance (typically

from a satellite or aircraft).

River. One of the types of bodies of water which separate a certain land

from land and can be also defined as a large natural stream of water flowing in a

channel to the sea. It is also considered as a type of catchment as it can hold

water.

Satellite. Satellite is an artificial body composed of different payloads for

remote sensing, placed in orbit around the earth or moon or another planet in

order to collect, process, analyse information and for communication.

Soil Moisture. Refers to the amount of water contained in a certain

amount of soil. Soil moisture is reliant to different soil characteristics such as soil

30
texture, structure, organic matter content and arrangement of soil pores or

porosity.

Soil Threshold. are specific values of SWC (Soil Water Content)

indicating water availability for plant consumption.

Soil Types. It is the classification of soil in accordance to a certain

parameter whether it may be according to chemical composition, organic and etc.

CHAPTER III

METHODOLOGY

This chapter presents in detail the research design and methodology that

will be utilized by the researchers in gathering data so as to answer the specific

problems that were stated in the first chapter. The frameworks, sources of data,

instrumentation, data gathering procedure, calculations, and statistical analysis are

also explained.

3.1 RESEARCH DESIGN

The research design to be used is a quantitative research. Under the

quantitative research method, the study will use a quasi-experimental research

method and will establish a relationship of soil moisture data as well as other

flooding parameters. In terms of data processing, data manipulation, interpretation

31
as well as data statistics, quantitative method is used to achieve a more quantified

yet viable research in order for the researchers to justify their data. The study will

also use a descriptive method to seek how to describe soil moisture data and other

flooding parameters, in preparation for identifying flood prone areas using soil

moisture data in order to make new flood maps.

3.2 THEORETICAL FRAMEWORK

As precipitation occurs over a short or long period of time in a specific

area with respect to the underlying topographical conditions, it is undoubtedly that

a flood will occur. As Ahlmer et al (2018) have stated, floods depend on several

factors, and one of the leading contributing factors is the patterns of precipitation.

Flood may occur due to the saturation of soil. The soil types will also be a

dependent factor as different soil types have different characteristics

(compactness, porosity, etc.) that may modify the soil moisture content. As these

conditions are met, the possibility of runoffs from drainage systems, river basins,

embankments, reservoirs, and dams increase which in turn, flows to low-lying

ground and causes flooding. These low-lying grounds or floodplains, can be in

rural and urban areas. The communities, infrastructure, and the economy in the

affected area are most likely to be impacted. As the livelihood of the people are

affected along with the integrity of the buildings and housings, Tague and Band

(2001), Wemple et al (2001) stated that road infrastructure alters the response to

hydrology and with consequences to drainage pattern and landscape, moreover,

the affected agriculture land may lead to an economic crisis. The planning for the

strategic recovery and coping mechanism on areas under the state of calamity is

crucial. Flood forecasting, early warning and conducting awareness programs to

the community may lessen the vulnerability risk. Baldassarre et al (2010),

USACE (1996), Apel et al (2006, 2009) stated that the increase in socio-economic

relevance of flood studies founded that several methods for stimulating

hydrologic behavior resulted to different approaches on mapping flood risk

hazards effective on disaster mitigation, disaster risk and vulnerability

assessment, and for land use planning.

32
3.3 CONCEPTUAL FRAMEWORK

In making effective and reliable flood maps, different parameters must be

considered, parameters that must align or correlate properly in order to obtain a

well-engineered flood mapping system that can be utilized and can be properly

introduced as a legitimate warning platform.

To achieve that certain goal, soil moisture data originating in the form of

raw data from the satellite will be utilized, and will be processed along with the

already processed parameters such as the precipitation trend and the soil

classification. Soil classification and precipitation values are extracted from FAO

(Food and Agriculture Organization) and PAGASA (Philippine Atmospheric,

Geophysical, and Astronomical Services Administration) respectively. Similar to

any other flood maps, raw data, in this case soil moisture data is compulsorily

need to be processed. The data will be automatically processed by a processing

software. In this instance, correlation of the parameters is then taken into analysis

statistically and conceptually. Then with the help of a GIS software, the procedure

of making flood maps shall be carried out thoroughly.

Factors, parameters, contexts and situations embedded in flood map

processes and practices as well as concepts and inputs from the review and related

works, consequently, the analysis in the context of rigorous assessment are taken

33
and will be considered as important inputs in the design and development of this

conceptual paradigm.

3.4 SOURCES OF DATA

3.4.1 SOIL MOISTURE DATA

The researchers will extract soil moisture data from the SENTINEL-1

satellite; a European satellite made by European Union's Copernicus programme

as the satellite is open-source. The satellite is sun synchronous, has a revisit

period of 12 days and carries a C-band Synthetic Aperture Radar which provide

images in all light and weather conditions including soil moisture data. It is also

one of the newer satellites (2014 launch period) that offers soil moisture data and

is still up to date.

3.4.2 SOIL TYPE DATA

The gathering of soil type data will be extracted by the researchers from

Food and Agricultural Organization of United Nations-Philippines (FAO), a

specialized agency of the United Nations for food, nutrition, agriculture, fisheries

and forestry that provides map data for soil and has a wide variety of soil-based

parameter maps. Researchers decided to collect soil type data from FAO since it

provides a specific soil map data for the area of interest.

34
 3.4.3 PRECIPITATION DATA

Data for precipitation will be collected through the Philippine

Atmospheric, Geophysical and Astronomical Services Administration

(PAGASA). It is the most reliable organization when it comes to precipitation

data, as it is the national weather bureau of the country, and it is also considered

to be an open-source data.

3.5 INSTRUMENTATION

The researchers will make use of the SENTINEL-1 satellite to collect data

for surface soil moisture. This particular satellite orbits the Earth sun-

synchronously at an altitude of 693 kilometres and has an onboard instrument of

Synthetic Aperture Radar (SAR) operating at C-band (4-6 GHz) with supports of

VV-VH simultaneous cross-polarization receive channels, which is great for

penetrating vegetation, cloud cover, and penetrating a depth of 5 centimetres

below the ground for retrieving soil moisture data. Data will be collected through

computers with installed software required for interpretation, manipulation,

construction, and translation of data. Examples of these software are SNAP which

is a dedicated software built to interpret data coming from SENTINEL-1 satellite,

QGIS for manipulating soil moisture data and constructing flood maps, Microsoft

Excel and Python with included libraries for the translation of data.

3.6 DATA GATHERING PROCEDURE

The surface soil moisture retrieval approach will be applied in this region

particularly in 1st district of Albay, the municipality of Malinao and will be

conducted within the time period of June to November. During these months are

the viable periods for the study because this is the period where the rainy season

occurs in the Philippines. Flood maps through the use of remote sensing are

widely used in this region and to improve predictions, the approach in soil

moisture retrieval may provide better understanding of flood patterns in Bicol

Region.

35
 The researchers will access all data from SENTINEL-1 satellite,

particularly surface soil moisture from the Copernicus Open Hub, and by creating

an open access account free for all communities. After creating an open access

account, the researchers will navigate for the chosen barangays in Malinao, Albay

in the open hub and use the polygon tool that is built-in in the website to select the

area of interest. Through the advanced search, by inputting the sensing period,

from the beginning to the end as well as the product type, the Single Look

Complex (SLC), a link will be provided by the website to be able to download the

data. Henceforth, the researchers will gather only the available data offered that

will fit to their study. After achieving the data, the researchers will download and

install the software tool called Satellite Navigation and Positioning (SNAP) that is

used to work with SENTINEL data. This software should be compatible for the

specifications of the computer used to interpret data. The researchers will then use

SNAP to open and explore the Sentinel data via the Product Panel Explorer for

relevant information related to the SENTINEL data along with attaining a subset

of the specific area for pre-processing calibration and interpretation of the pixel

values into a more distinguish values backscatter coefficient, and speckle filtering

to obtain a higher quality of image by reducing the noise of the image. This will

lead to determining the illustration of surface soil moisture, and a refining method

of the result will be done using a supervised classification method. A post-

processing will be done by the researchers for geometric correction as images

from the SENTINEL-1 satellite only provide the geometry of the area of interest.

Hence, it lacks geographic coordinates which will be required to apply a

coordinate system to view it in a Geographic Information System (GIS).

Afterwards, an installation of the QGIS software is required for the researchers to

construct the data turning it into a map. After the post-processing, the researchers

will then export the output into a GeoTIFF file to serve as a layer mask when

applied into QGIS itself. The process stated above, is not solely for soil moisture,

but also for other parameters that the researcher’s study requires. For the soil

types, the researchers will access information from the Food and Agriculture

Organization (FAO) and it is an open access website that offers different soil

36
types including each municipality in the Philippines, specifically in the barangays

of Malinao, Albay. The information provided will contribute to the researchers in

constructing flood maps. For the precipitation data, the researchers will send a

request letter for the precipitation trend on the area of interest to the Philippine

Atmospheric, Geophysical and Astronomical Services Administration (PAGASA)

that will be used for the correlation of threshold parameters and acquired soil

moisture data. After achieving all the required parameters, the researchers will

make use of the QGIS in constructing the 3 classification of maps: flood hazard

map, flood vulnerability map, and flood risk map. They will use all the given

parameters such as soil moisture, elevation, soil types, and precipitation to

identify the area’s characteristics and correlate all parameters for further

forecasting, and analysing flood events. In accordance with the 3 classifications of

maps, after processing all data, the researchers will then identify areas with high

risk of flooding under extreme conditions, areas with dense infrastructure and

housings that are vulnerable to flood, and for the risks in land use of flood prone

areas.

The researchers will make use of a programming language for statistical

analysis including its formulas, and for generating different statistical plots

presenting the samples that will be processed in the Python programming

language including MatPlotLib, Numpy, Pandas, and Seaborn as its libraries for

data visualization and manipulation of different parameters and values gathered.

These will serve as the basis for the researchers for translating the data to

showcase the output for the reader’s information.

3.7 VALIDATION

The researchers will undergo a bi-monthly survey in the 13 barangays of

Malinao, Albay to make use of a specific equipment for measuring soil moisture.

The soil moisture meter has a 7-inch-long probe that can puncture the ground, and

it will be utilized for verification purposes as the SENTINEL-1 satellite operating

at C-band can only penetrate at around 5 centimetres below the ground. Thus, it

maybe not sufficient for collecting data of soil properties. The mixed acquisition

37
of soil moisture data from a satellite and an on-site verification using a device will

be further analysed as to which data can prove a significant effect on the study.

3.8 CALCULATIONS

The magnitude of the soil’s dielectric constant strongly influences the

radar backscattering coefficient’s intensity, and is known to grow monotonically

with increasing soil moisture content. (A. Fung et. al, 1992, F. Ulaby et. al, 1986).

The TU Wien backscatter model shows backscatter measurements σ 0 (θ, t)

[dB], where θ [deg] and t are the local incidence angle and time which the

measurement was acquired in terms of empirical model parameters. The surface

soil water saturation degree ms(t) ε [0, 1] gives the volume of water which is

present in the soil relative to the volume of soil’s pores. (D. Hillel, 1982). The TU

Wien backscatter model was decomposed according to:

σ0 (θ, t) = σ0dry (30) + β (θ – 30) + Sms (t) (1)

σ0dry (30) [dB] constitutes to the dry reference at the local incidence angle

of 30 degrees, S [dB] is the sensitivity of the local incidence to changes in the

surface soil moisture and β [dB/deg] is the slope. The dry reference is assumed to

correspond with the wilting point of the soil, and the slope accounts for the

incidence angle dependency of backscatter measurements, and it is estimated

from the slope of the best fitted line in a least squares sense to a long time series

of DEM-geocoded backscatter measurements with the σ0 in dB plotted as the

function of local incidence. This dependency is approximately linear in the

incidence angle ranges of 20 degrees to 40 degrees based on ASAR GM mode.

(C. Pathe et. al, 2009). A backscatter measurement is normalized to the reference

angle of 30 degrees, according to:

σ0 (30, t) = σ0 (θ, t) - β (θ – 30) (2)

Substituting the degree of surface soil water saturation as the unknown,

the equation becomes:

Ms (t) = σ0 (30, t) - σ0dry (30) (3)

S

38
 Normalization carried out in (2) is already rendered and it is neither

possible in general nor necessary. Let the (σ0) be the set of characteristic local

incidence angles (θchar) available at the location corresponding to the backscatter

measurement. A local incidence angle at which the backscatter measurement

acquired corresponds to a characteristic local incidence angle. The proposed

adaptation of TU Wien backscatter model presented in (1) to the context of the

Sentinel-1 mission is given:

σ0 (θ, t) = σ0dry (θchar) + Sms(t) (4)

θ is understood to correspond to θchar, accordingly surface soil water

saturation ms (t) for Sentinel-1 is retrieved from:

ms (t) = σ0 (θ, t) - σ0dry (θchar) (5)

S

The sensitivity S is estimated to changes in surface soil moisture by the

observed dynamic range σ0wet (θchar) - σ0dry(θchar) of the backscatter measurements at

the location, considering where σ0wet (θchar) is the wet reference at the characteristic

angle. Same with the dry reference, the wet reference is also assumed to

correspond closely with the soil saturation point.

The respective references with respect to θchar can be obtained and stored

per global grid point at 1 kilometre resolution according to:

σ0wet (θchar) = 1/ Nwet Σ(Nwet)(i=N-Nwet) σ0i (θchar) (6)

σ0dry (θchar) = 1/ Ndry Σ(Ndry)(i=Ndry) σ0i (θchar) (7)

N are the available measurements at the grid point and sorted in ascending

order. Nwet and Ndry are derived according to the statistical methods of (C. Pathe et.

al. 2009).

The retrieval error is determined by using the noise of the Sentinel-1 SAR

instrument in IW mode and the uncertainties of the model parameters. The noise

of Sentinel-1 IW mode is denoted by GRD σ0 measurements by Δ σ0 and errors of

the model parameters σ0dry and σ0wet by

Δ σ0dry and Δ σ0wet. The retrieval error for the soil moisture content Δ ms and ms can

also be estimated by Gaussian error propagation with respect to equation (5).

Δ m2s ~ (Δ σ0 / S)2 + ((ms - 1) Δ σ0dry / S)2 + (ms Δ σ0wet / S)2 (8)

39
 Δ σ0 is set to the anticipated radiometric resolution of IW mode at 1

kilometre. Errors Δ σ0dry and Δ σ0wet are assumed to be 5% of the observed

dynamic range S of backscatter measurements given Δ σ0 for wet and dry

reference is 0.05 S, following (C. Pathe et. al, 2009), the maximum retrieval error

is given:

Δ ms max ~ (((Δ σ0) / S)2 + 0.0025) ** 0.5

For Sentinel-1 the model is subject to refinement, and its adaptation to

Envisat ASAR GM mode has already been useful for predicting root mean square

errors and correlation between SSM data and soil moisture data which were

simulated by hydrological models. (M. Doubkova et. al., 2011).

3.9 STATISTICAL METHODS

The researchers adapted both quota and purposive sampling for choosing

the barangays as their area of interests in the municipality of Malinao. The quota

was based on the 25-year Flood Hazard Map of Malinao, Albay published on June

13, 2017 on the LiDAR Portal for Archiving and Distribution of the Department

of Science and Technology UP-DREAM and Phil-LiDAR Programme. The

purposive sampling of this population included to be researched lies on the flood

hazard map to include those barangays near the high hazard red zone and within

the medium hazard orange zone.

The range of values can be calculated depending on the soil moisture

value per soil type.

R = Hv – Lv

Hv being the highest value and Lv the lowest value in the data set per soil

type. The range can be misleading sometimes especially if there are extremely

high or low values that were recorded. This can be backed-up by the standard

deviation if the range seem a little bit too far especially if most of the values are

1-2 decimal places offset from the calculated range.

The mean of the soil moisture values per soil type can be calculated by the

summation of values divided by the number of experimental soil moisture values.

40
This is true to the SENTINEL-1 data and the soil moisture values accumulated

from the soil meter.

µ = Σx / N

µ is the mean and Σx is the summation of all x values (soil moisture

content) in the data set, N being the number of soil moisture values in the data set.

The standard deviation shows the shape of the distribution of the data set,

especially how close the individual data values are from the mean value. The

spread of the data distribution can properly define the distribution of the values

rather than the range alone if the range tends to be far off from the values. The

variance can measure the variability of the values, and tell the degree of the

spread in the data set. This can also tell how large the variability or how small it is

in relation to the mean.

σ2 = Σ (x-µ)2 / N-1

SD = σ

σ2 is the variance, and it is the summation of squared differences of the

actual value from the mean divided by the number of values -1 since it is a sample

of values from the whole population included in the area of interest. This is a

correction especially if the data is only a sample. The standard deviation is just

the square root of the variance.

An Analysis of Variance (ANOVA) will be used to test and find out if the

experiment values are significant. This can be utilized if there is a possibility that

the researchers can reject the null hypothesis or accept an alternate hypothesis.

This will test the groups if there’s a variability or difference between the values if

the values are deemed independent and dependent. A repeated measures two-way

ANOVA will be adapted, to analyse the variances of soil moisture thresholds,

between the soil moisture content from the SENTINEL-1 and the soil meter, as

well as the precipitation trend with rainfall values. This will calculate the main

effect and interaction effect between the values.

A t-test will also be used to determine if there are significant differences

between the means of the variables, which can be related in certain features,

especially the soil moisture content from both the SENTINEL-1 and the soil

41
meter as if they came from the same population of values in relation to the area of

interest. A t-test takes the samples of soil moisture content from two different

sources, and assumes that the means of the two data set are equal as the null

hypothesis. If the null can be rejected, it will indicate that the data readings are

strong are not due to chances. The outcome of the t-test produces a t-value and

degrees of freedom, with the t-value compared against a value from the t-

distribution table, which is available in one-tail and two-tail. A large t-score

indicates that the groups are different, and a small t-score indicates that the groups

are similar. The degrees of freedom refer to the value that has the freedom to vary

and it is essential in analysing the importance and validity of the null hypothesis.

Different t-test can be performed depending on the similarity of the values.

Correlated T-Test

The correlated test is performed if the samples typically consist of

matched pairs of similar units, or if there are cases of repeated measures, in this

case, both soil moisture contents, but from different sources.

T = (µ1 - µ2) / (SD / sqrt(n))

µ1 and µ2 are the means from two different groups, SD is the standard

deviation of the differences of the two data sets, n being the sample size, and n-1

is the degrees of freedom.

Equal Variance T-Test

The equal variance t-test will be utilized if the variance from the two soil

moisture values with different sources are similar or equal.

T = (µ1 - µ2) / ((n1 – 1) (σ21) + (n2 – 1) (σ22) / n1 + n2 – 2) x sqrt (1/n1 + 1/n2)

µ1 and µ2 are the means from two different groups, σ21 and σ22 are the

variances of each sample set, and n is the sample size of the two sets, n1 + n2 – 2

being the degrees of freedom.

Regression analysis can also be used for the estimation of relationships

between the dependent variables and a set of independent variables. In this case,

the thresholds, the soil moisture content from two different sources, and the

precipitation values from the trend. This can be utilized to assess the strength of

42
relationship between the variables and several variations including linear, multiple

linear, or nonlinear are still subject for analysis and changes.

Simple Linear Regression

Y = a + bX + ε

Y is the dependent variable, a is the intercept, b is the slope and X will be

the independent or explanatory variable, ε will be considered as the residual or

error.

Multiple Linear Regression

Y = a + bX1 + cX2 + dX3 + ε

Y is the dependent variable, a is the intercept, b, c, and d, are slopes with

X1, X2, and X3 being the independent variables and ε is the residual.

The percentage error of different soil moisture values will be included to

further show the error between an experimental measured value from the data

sets. This will calculate both the percentage errors of soil moisture content from

SENTINEL-1 and the soil moisture from the soil meter. The theoretical value is

still subjected for further research and analysis to calculate the proper percentage

error.

% error = (|E – T| / |T|) x 100%

The E is the experimental values acquired from the sources, specifically

the soil moisture contents from the two different data sets, T is the theoretical

value which is considered to be the mean of each different data set, but this is still

subject for consultation and further research.

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