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Final-project-flood-management

Research Proposal · February 2021

DOI: 10.13140/RG.2.2.25830.34885

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 DATA acquisition systems for Flood
Management Optical and SAR (January 2021)
Motasem E. A. Alfaloji, Geomatics Department, Istanbul Technical University, alfaloji20@itu.edu.tr
Abstract— The recording of hydrological
parameter of floods has been a challenge for
decades. With the presence of remote
sensing. The data acquisition for flood
management became much easier and
convenient. The enhancement in remote
sensing has evolved from Optical sensors to
radar, which eliminated the climate and
clouds effect. This paper will focus on the
data acquisition in flood management
specially in Optical and microwave remote
sensing by going through each type and
explain the concept behind each one of them.
This paper also inclusome supporting case
studies about flood management in remote
sensing.
Keywords: Flood, remote sensing, Optical,
SAR, data acquisition.
I. INTRODUCTION
A flood is the overflow of water that inundate into
a land that is usually dry. Floods are one of the
most frequent and widespread natural disasters [1].
There are five kinds of floods (River Floods, Coastal
Flood, Storm Surge, Inland Flooding, Flash Flood)
[2]. Over the past 100 years, no other natural disaster
in the USA has caused more death and destruction
than floods. They can happen any place, any day,
and anytime. As people cluster around coastal
regions and flood plains, our growing population
will confront the awesome power of water. For
thousands of years, farmers have depended on
seasonal floods by letting the water irrigated to their
props and fertilize their lands. Today, excess water
is channelled into reservoirs and power
hydroelectric dams, but when water levels rise
suddenly far more than the ground can absorb a
flood occurs. Floods occurs in many ways such as,
heavy rainfall, thawing snow fall, Dam break,
breaching of embankment, drainage congestion, and
storm surge. Floods can also occur as a result of
natural hazard, for example hurricanes or extreme
precipitation events. Moreover, Floods can be
1
human driven such as flooded rice fields assessing
and monitoring.
Remote sensing offers a Near Real-Time Flood
Inundation Mapping [3]. Whenever there is a flood,
the information about how much area is inundated
and what is the extent of the flood is needed
immediately by using the satellite information and
images. Also, remote sensing provides Flood
Damage Assessment which will measure the
damage of the flood [4], for example the damage of
the agriculture areas or buildings or roads. Remote
sensing can give Flood Hazard Zone Mapping and
Vulnerability Analysis. Flood Hazard Zone
Mapping is basically carried out by having the
history of floods in specific area, so a map will
result and show which regions are more vulnerable
to floods. Finally, Remote sensing is used also for
inputs for Flood Modelling and Forecasting [5].
This paper will include 3 three parts. First will be
the development of remote sensing in flood
delineation by using Microwave, second, the
development of remote sensing for floods by using
Optical remote sensing. Third part will include
sample studies around remote sensing using optical
and microwave sensors.
II. MICROWAVE REMOTE SENSING FOR FLOOD
MANAGEMENT
Cloud cover is one of the main challenges in
dealing with floods, especially when it happens in a
bad weather conditions [6,7,8]. The main
advantages of microwave radars are that their radar
signals can penetrate through the cloud cover, so
with the use of microwave, cloud cover is not a
problem. When it comes to flood management,
Synthetic Aperture Radar (SAR) is the most
preferable microwave radar due to its ability to
differentiate between water and other objects. The
Flood definition from a radar perspective is the
presence of water surface underneath a vegetation
canopy regardless of whether it is forest or
agriculture, that means that underneath the
vegetation canopy there is standing water above the
soil surface as shown Figure 1. In agricultural or
herbaceous areas the leaves or stems of the plants
visibly emerge above the water surface. Radar can
also detect flooding when or where there is no
standing vegetation (Open Water).
Fig. 1. Floods Events
A. SAR Signal Scattering Over Inundated Regions
When SAR system transmits a radio pulse, some
energy might be reflected towards the SAR. This
energy is what SAR measures, and it is called Radar
Backscatter. There is specular scattering and that
occurs when there is a smooth surface such as calm
open water surface and the signal scatters away from
the satellite and this results in open water appearing
very dark in the image. The second type of scattering
is rough surface scattering which results when there
is some level of roughness on the surface causing the
signal to scatter in different directions but mostly
away from the satellite for example, water surface
that has some level of roughness caused by either
short floating vegetation, wind, or heavy rain. Rough
surface scattering areas will appear dark but not as
dark as an open water surface that is completely
smooth. The rougher the surface the larger signal
scattered back to the satellite and the brighter that
pixel will appear on the image. The other signal
interaction is volume scattering and that occur when
the signal is scattered multiple times in multiple
directions within a volume or medium for example,
in the case of vegetation the signal can scatter from
multiple components such as a branch, stems,
leaves, trunks or the soil. The final backscatter
mechanism is called double bounce and this result
when two smooth surfaces create a right angle that
deflects the incoming radar signal off both surfaces
causing most of the energy to be returned to the
sensor. These areas appear very bright in the image
and are commonly seen when there is flooded
vegetation because of the interaction between the
smooth water surface and vertical structure of the
vegetation such as a trunk. Double bounce scattering
is also characteristic of urban areas. Figure 2 show
the mechanism of SAR signal scattering.
2
Fig. 2. SAR Signal Scattering mechanism
Figure 3 shows an example of the SAR signal
scattering over an area of inundated vegetation and
open water. The image is an L-band (HH Polarized)
image from the Japanese PALSAR sensor over an
area near Manaus Brazil. The very bright white areas
are flooded vegetation and the dark areas are open
water so that river that’s running through the middle
is dark because open water is a smooth surface and
causes specular scattering. All the very bright areas
throughout the image are flooded vegetation because
of double bounce. There is some areas you cant see
specular scattering from the river because the river
is either very small or it is covered by vegetation
however, you can still see its extent through flooded
vegetation because the signal is penetrating through
the canopy and double bounce effect occur. This
level of detail on flooded vegetation is a unique
attribute of radar.
B. Satellite Parameters that Influence the SAR
signal
1) Wavelength
Generally, the greater the wavelength the greater
the capability of the SAR signal to penetrate through
the vegetation canopy all the way to the surface.
Table 1 lists commonly used bands and radar and
their wavelength range. SAR is operating at X-band
are generally operating at a wavelength of around
3cm, at C-band at a wavelength of around 5cm, and
L-band at a wavelength of 24cm. There have been
several studies that have concluded that L-band is
suited to detect inundation beneath a forest canopy
and should be the preferred wavelength for this
purpose [9,10,11]. However, that capability of L-
band and other bands can be reduced or even non-
existent depending on the gaps in the canopy or
specially on the density of vegetation. In comparison
to L-band, the ability of shorter wavelengths (C-
band and X-band) to penetrate vegetation canopy is
reduced. The penetration of C-band is limited in
comparison to L-band. Studies have shown an
increase in C-band Backscatter for flooded
vegetation during leaf-on conditions and especially
during leaf-off conditions [12,13]. C-band is useful
if the vegetation is low and works particularly well
in agricultural regions or in areas of low biomass. X-
band sensors such as TERRASAR-x have even more
limited penetration through dense vegetation and
because of high interference with leaves where
backscatter is dominated by volume scattering.
However there have been some studies have shown
the potential of X-band to identify flooded
vegetation for sparse vegetation or leaf-off
conditions where the transmissivity of the signal
through the canopy is increased due to gaps in the
canopy [14]. Some studies have demonstrated the
ability of X-band to map flooded vegetation and
wetlands and flooded marshland and in olive groves
[15]. In conclusion, L-band is better suited for dense
vegetation, but shorter wavelength might give
reasonable results especially if there are many gaps
in the vegetation.
Table 1
Radar bands and their wavelength and frequencies
water. The river through the middles of the images
as well as some open water bodies north and south
of the river are clearly seen. However, note the
difference in polarization on inundated vegetation or
the very bright areas dominated by double bouncing.
The HH polarization is the most useful one for
distinguishing flooded from non-flooded vegetation.
VV shows flooded vegetation to a lesser extent and
even lesser by HV polarization. In general, HH
penetrates deeper into the vegetation canopy than
VV and when striking the water surface is more
strongly reflected in comparison to the VV
polarization. HV is more sensitive to volume
scattering, because of its depolarizing
characteristics.

2) Polarization
Polarization refers to the plane of propagation of
the electric field of the signal, which can be in the
horizontal plane or in the vertical plane. Irrespective
of wavelength, radar signals can be transmitted Fig. 3. PALSAR images over Pacaya-Samiria in Peru.
and/or receive in different modes of polarization,
and there can be four combinations of both transmit Figure 4 shows an example of an RGB image
and receive polarization: containing different polarization. False colour
• HH: Horizontal Transmit, Horizontal images are an ideal way to visualize the information
Receive. content of different polarization through colour
• HV: Horizontal Transmit, Vertical combination. False colour images give the
Receive. information content that is unique to each
• VH: Vertical Transmit, Horizontal polarization or combination of polarizations. In the
Receive. figure, HH in the red channel, HV in the green
channel, and VV in the blue channel. The pink areas
• VV: Vertical Transmit, Vertical Receive.
in the image are those were flooded vegetation is
Penetration depth is influenced by polarization. In
present.
Forests, HH tends to penetrate deeper into the
canopy because it tends to be less attenuated than
VV, so HH is a better polarization to detect flooded
vegetation especially in areas where there is a high
biomass (L-band areas). HV is more sensitive to
volume scattering and it is a good indicator of
vegetation cover in general. Figure 3 shows an
example of multi-polarization images from a
PALSAR over a part of the Pacaya-Samiria natural
reserve in Peru, which is a wetland ecosystem.
Theses L-band images at HH, HV, and VV
polarization. The very bright areas are where double
bounce dominates, and this is where there is
inundated vegetation. The very dark areas are open
Fig. 4. RGB image over Pacaya-Samiria in Peru

3
3) Incidence Angle
Incidence angle is the angle between the direction
of the incident wave and the Earth’s surface. Plain
large angels will be more sensitive to surface
roughness and will penetrate less into the medium as
opposed to small angels. Incidence angels will result
in high backscatter and backscatter will decrease
with increasing incidence angles. In general, the
slopes facing towards the radar will have small local
incidence angles causing relatively strong
backscattering to the sensor. These areas will appear
very bright. Figure 5 shows the effect of incidence
angle variation. On the left is a sentinel-1 VV image
and on the right is the incidence angle variation for
the same image. The radar is right looking. As we
move across the swath from near to far range, the
image becomes increasingly darker. If the same
forest is measured at different incidence angles, the
measured back scatter will be different even if there
has been no physical change in the forest. Every
surface feature will have a backscatter value that is
a function of incidence angle.

Fig. 5. Incidence Angle Variation

SAR datasets have improved significantly in the including floods. Table 2 shows NISAR Hydrology
past couple of years. Figure 6 shows the current and and subsurface Reservoir Applications.
future SAR datasets. It started with SeaSAT in 1978,
which unfortunately just flew for a couple of Table 2
NISAR Hydrology and Subsurface Reservoir Applications
months, and then there is JERS-1 which is a
Japanese L-band satellite (1992-1998). Currently
there are several SAR satellites in orbit such as
TanDEM-x which is a C-band satellite from the
German Aerospace Centre, and Radarsat-2, which is
C-band from the Canadian Space Agency, and
others. There is also future satellites coming up.
NISAR, which is NASA Indian Space Agency L-
band and S-band satellite, is going to be launched on
beginning 2022. Also, Biomass, which is a European
Space Agency P-band sensor, is going to be
launched in the same time.

III. NASA-ISRO SAR MISSION

NISAR Indian Space Agency Satellite will launch
in early 2022 operating at L-band and S-band [16].
It will have different modes of data acquisition, and
the spatial resolution will be between 3 and 10m
depending on the mode they will provide. It will IV. OPTICAL REMOTE SENSING FOR FLOOD
have repeated observations (12 days), and these MANAGEMENT
observations will allow for applications such as
Optical Remote Sensing is a passive form of
ecosystems hazards and disaster monitoring
remote sensing, so the sensor that records the

4
information does not emit the radiation itself (the
source of radiation for passive remote sensing is the
sun emission) [17] as shown in Figure 6.
Fig. 6. Optical Remote Sensing Principle.
Planck’s Law describes the technical theories of
Optical remote sensing Figure 7. Planck’s Law
shows the relationship between the emissivity (the
amount of energy emitted by an object), the
temperature of that object, and the wavelength of the
radiation that is emitted. The diagram has spectral
radians emittance on the y-axis, and the amount of
energy emitted wavelength of the radiation on the X-
axis. The black lines illustrate the temperature of the
body that is emitting the radiation. The sun with an
extremely high surface temperature of 6,000 K emits
a maximum radiation with a maximum wavelength
of around 0.5 μm, whereas the surface temperature
with a maximum temperature with the surface
temperature around 300 K emits radiation with ah
maximum wavelength of a round 10 μm (thermal
infrared) as shown in Figure 7.
Fig. 7. Planck's LAW.
Optical Satellites uses the visible, near infrared
and shot-wave infrared sensors to create images of
the earth’s surface by detecting the solar radiation
reflected from the ground. At the beginning, Landsat
Multi Spectral Scanner (MSS) data were introduced
with 80m resolution. These data were used in several
flood studies which concluded that band 7 (0.8-1.1
5
μm) were best suited for differentiate water and wet
soil from dry surface because it has strong
absorption of water in the near infrared region of the
spectrum [18]. On early 1980s, Landsat Thematic
Mapper (TM) was introduced with a spatial
resolution of 30m, and it became the main data
source for monitoring floods and boundary of
inundation delineation. Band 4 of Landsat TM
showed to be helpful in distinguishing between dry
surfaces and water same as the MSS band 7,
however it was difficult to use it in developed areas
because it reflects little amount of energy from the
asphalt. This will make it appear as black as water in
the image, so it will be very confusing to detect
water in these areas. This problem was solved by
Wang et al. [19] using both Landsat TM band 7 and
NIR (band 4) to distinguish the inundated areas.
SPOT multi spectral imageries along with the DEM
were also helpful for flood delineation by following
the same theory that water has extremely low
reflectance in the near infrared region of the spectra.
Advanced Very High-Resolution Radiometer
(AVHRR) data with their coarse resolution
imageries were found useful for regional floods [22].
The main advantage of AVHRR data is that although
it has a coarse resolution, it has a high temporal
resolution which aloe to monitor the progress of a
flood in near real-time. Normalized Difference
Vegetation Index (NDVI) is used to detect water
more effectively from the near infrared band to
monitor reiver inundation from the IVHRR images.
NDVI value changes when a surface is inundated.
Figure 8 shows different optical satellites and their
bands capability. The main challenge for optical
remote sensing is atmospheric conditions, cloud
cover, and satellite angle. Optical sensors give bad
results in cloudy conditions, and bad atmospheric
conditions.
Fig. 8. Optical satellites
In recent years, using a combined approach
between Optical and microwave remote sensing is
more helpful for flood mapping and gives better
results. In some applications this approach gives a
better strategies of flood management. For example,
in mountains when the slops are positioned
vertically to the radar beam it appear bright and all
other areas appear shaded or dark, and because of
this combining SAR images with Landsat TM will
solve this obstacle for more accurate delineation of atmospheric interference effects and the spatial
water [23]. resolution, it was used for the surface water
mapping. A rainfall mask was applied to mask off
the effects from the data. The remained data got
V. SAMPLE STUDIES composed into the monthly intervals images by
1) Monitoring flood inundation using Passive using the shortest Tb to collect the most water. From
Microwave and Optical remote sensing in support the MODIS a 16-day MOD43B scene was selected
of Hydrological Modelling [22] (cloud-free) to distinguish a number of rules for the
This study showed two applications using remote non-water/mixed water pixels on the TRMM data.
sensing in flood inundation mapping with the Then a couple of variation processes got done for the
support of hydrologic models. The first study was MODIS and TRMM images.
done to map the monthly flood extent in the lower
Mekong Basin, which is located in Cambodia and
Vietnam, The second study was for the near-real
time mapping for the inundation in the lower
Condamine-Balonne catchment, which is located in
South Queensland. The data that have been used in
this study can be listed as follows:
• Passive microwave: TRMM (Tropical
Rainfall Measuring Mission’s) Microwave Imager
(TMI) the Advanced Microwave Scanning
Radiometer for EOS (AMSR-E).
• Optical Remote sensing: MODIS
(MODerate resolution Imaging Spectroradiometer).
This study also showed that AVHRR and MODIS
are the best suited for global scale flood monitoring,
because of their high temporal resolution (daily/sub-
daily intervals). The MODIS sensor also have a high
spatial resolution (250m – 1km) with two times
overpass through almost every part of the world per
day.
Case study 1: The Lower Mekong River Fig. 9. Lower Mekong River.
Figure 9 shows the location of the study area
(Lower Mekong River), which is a frequent flood Results
area. Floods occurs in six-month period (May-
Figure 10 shows the resulted images from the
October). The study used monthly intervals remote
MODIS. It is clearly seen that the images show an
sensing imageries due to the coverage of clouds and
increase in inundation on the area through the time.
the slow nature of flood. The MODIS imagery have
The fully flooded areas is showed in grey or white
been used are the 8-day Surface Reflectance with a
colour in the images. Since June is dry season for the
500m pixel size from 2000 to 2002. To map the
study area, the inundation one June was almost
extent of the water in the MODIS images, OWI
negligible. The study also showed that future work
(Optical Water Index) was used. Since the TRMM
on validation should be conducted since the areas
satellite was still operating. A data with 10km x
with mixed pixels was excluded in the OWI
10km from 1998 to 2001 was projected in a
threshold because of vegetation, the discolouration
geometric way (Level 1B11 Tb swath data). Since
of water, or the soil on the shoreline.
the Tb at 37 GHz gives the needed balance with the

6
Fig. 10. Flood extent through the wet season in 2001 using MODIS.
Case study 2: The Condamine-Balonne River
The Condamine-Balonne river is located in the
Southeast of Queensland in Australia (Figure 11).
The main reason of floods in this area is the
upstream rainfall. Water in this area is extracted
from the river and get stored for the purpose of
irrigation. The floodplain covers almost 3800
kilometres square. The study data was from MODIS
500m reflectance daily daytime imagery
(MOD09A1). The OWL (Optical Water Likelihood)
was used, which is based on a function result values
from zero to one corresponding to the likelihood of
water existence.to eliminate the presence of cloud
cover in the imagery, accompanying MODIS quality
band information was applied to remove the cloud
pixels. Excluding the null pixels, each pixel had a
value between 0 to 100 to show the percentage of
water in each pixel.
Fig. 11 Study Area (Condamine-Balonne)
7
The daily couple MODIS imaging for everyday
were combined so that the clouds pixels are replaced
from other imageries. AMSR-E microwave data
were used for a better spatial resolution and a better
swath width. Also, the rain mask is applied as the
first case study. To reduce the effect of the 37 GHz
PR image, the desert correction was conducted
which uses 18 GHz vertical minus horizontal value.
Similarly, to the first study, MODIS image was used
to enhance the relationship between the PR
corrected and the water proportion in each pixel.
This case study used one MODIS images with a
same time as the AMSR-E image. The final AMSR-
E water image was a combination of all the images.
Results:
The results are used in the Deltares Flood Early
Warning System software as a source for flood
extent to compare it with the hydrological models.
This case study also needs a validation analysis. The
results illustrated that there is some relation between
the volume of the flood from the Queensland
department of Natural Resources, Mines and Water
and the flood extent map for the lower Balonne
floodplain as shown in Figure 12.
Fig. 12. Pink: Measured flood volume, Blue: flood extent map
using remote sensing.
 Figure 13 shows the combined image from the
MODIS and AMSR-E water images so that the
MODIS data is used if there is a cloud cover pixel.
Fig. 13. Flood map, light blue shows small amount of water in
the pixel, darker blue means larger amount.
In conclusion, both studies used both optical and
microwave remote sensing imagery for the purpose
of mapping flood. microwave remote sensing helped
for the reduction of cloud cover effect which was a
side effect of the optical remote sensing. Optical
remove sensing gave a better spatial and temporal
resolution to fit the size and duration of the flood
occurrence. The Mekong river case study was on
excessively big area with a huge seasonal flood that
continue for six months, while the Condamine-
Balonne had a shorter flood duration and covering
less area. Both studies used MODIS for its great
spatial resolution, and the microwave imagery were
used for eliminating the cloud cover problem.
2) Sentinel-1 SAR Images for Flood Monitoring in
the Ebro River [23]
This study showed how useful is to use Sentinel-
1 SAR images for the purpose of flood mapping in a
flood which happened in April 2018 in the Ebro river
in Spain. With the use of robust processing which
gives near real-time extension of the flood to result
the map. These maps were extremely useful for risk
mitigation.
Study Area:
The Ebro river have one of the biggest
hydrographic basins in the Iberian Peninsula. It runs
across seven autonomous communities. The area is
known for its variability of topography, climate,
geologies, and water balance. This study shed a light
on the middle of the Ebro basin as shown in Figure
14. The area is full of irrigated fields with different
kind of crops such as corn and rice. The banks of the
river are prevalent with permanent crops. The study
area has a good history of floods
(1643,1775,1871,1961). Also, it has a couple of
recent floods in 2003, 2015 and 2018. This history
of floods resulted in changing in the dynamics of the
river. The main reason of the floods was heavy
rainfall.
8
Fig.14. The study area (Ebro river).
Data used:
• Sentinel-1 Sar Images for both before and
after the flood, which had a 6-day temporal
resolution (Table 3). Every image had a 250 km
covering range, and a 5 x 20 m spatial resolution
(Level-1 Ground Range Detected). Incidence angles
were between 29° and 46°. The used polarization
was VV and VH. Also, the used band was C-band.
• Earth Observation (EO) data resources
• Gauging stations data for the purpose to
emphasis the adequacy of the Sentinel-1 images.
Table 3
Sentinel-1 SAR images used in the study
The methodology for this study is summarized in
Figure 15. After selecting the study area, the correct
orbit file application is done. Radiometric
calibration is then conducted. Speckle reduction
process is used in this study then finally the
geometric correction is done by using doppler
terrain correction and the (DEM)-SRTM-3Sec.
Results:
since this study used two different polarization
(VV and VH). A RGB Composition images was
resulted from these two different polarizations. As
shown in Figure 15, black colour represents stable
water surface on both dates, and the white colour
shows the urban and industrial areas because of the
high intensity values captured. The blue colour is the
areas which has intermediate intensity values. the
flood surface is represented with the red colour. Pink
colour means areas with high humidity.

Fig. 15. RGB composition images a) in VV b) in VH.
In Conclusion, this study can conclude that SAR
images are enormously powerful tool for flood
mapping and monitoring. By producing 2 RGB
composition images from two different set of
polarization based on the different between the
before and after images of the flood. The study also
concluded that both microwave and optical remote
sensing will increase their precision and temporal
resolution in the future, and it will be more helpful
for the flood mapping and management.
VI. CONCLUSION
This paper focused on the use of remote sensing
for flood management and showed some significant
facts. Both Optical and microwave remote sensing
sensors have their own pros and cons in regarding
flood management. For the optical remote sensing,
cloud cover was the main issue for this purpose,
however optical remote sensing can be extremely
helpful because of their high temporal resolution
such as MODIS and their ability for flood
monitoring for global scale. The main advantages
for the Microwave sensors specially SAR data are its
ability to penetrate the clouds. Most of the
researchers have chosen the radar data as their
favourite option when it comes to flood
management. This paper had two research for flood
management. The research had two case studies for
flood mapping. both studies used both optical and
9
microwave remote sensing imagery for the purpose
of mapping flood. microwave remote sensing helped
for the reduction of cloud cover effect which was a
side effect of the optical remote sensing. Optical
remove sensing gave a better spatial and temporal
resolution to fit the size and duration of the flood
occurrence. The Mekong river case study was on
excessively big area with a huge seasonal flood that
continue for six months, while the Condamine-
Balonne had a shorter flood duration and covering
less area. Both studies used MODIS for its great
spatial resolution, and the microwave imagery were
used for eliminating the cloud cover problem. The
second research concluded that SAR images are
enormously powerful tool for flood mapping and
monitoring. By producing 2 RGB composition
images from two different set of polarization based
on the different between the before and after images
of the flood. The study also concluded that both
microwave and optical remote sensing will increase
their precision and temporal resolution in the future,
and it will be more helpful for the flood mapping and
management.
ACKNOWLEDGMENT
I would like to express my special gratitude to
Prof.Dr. Elif Sertel and Prof.Dr. Filiz Bektaş Balçık
who gave me the golden opportunity to do this
research.
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