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Environmental Modelling & Software 17 (2002) 287–294

www.elsevier.com/locate/envsoft

Examining GIS decision utility for natural hazard risk modelling


*
A. Zerger
Centre for GIS and Modelling, Department of Geomatics, The University of Melbourne, Parkville, Melbourne, Vic. 3010, Australia

Received 24 April 2001; received in revised form 15 August 2001; accepted 3 September 2001

Abstract

The research examines the incompatibility between resolution and scale of spatial data in a spatial modelling environment and
the resolution and scale of human spatial decision-making. This incompatibility is rarely considered when a geographic information
systems (GIS) is applied to natural hazard risk assessment. However, the ultimate success of a risk management project should be
assessed in the context of improved decision-making. Decision utility is an emerging theme in GIS literature that focuses on
cognitive issues of GIS and human interactions. The research presents a technique for flood risk modelling using GIS and digital
elevation models to map relative risk in urban communities. The study is based on Cairns located in far northern Australia. The
risk model accounts for uncertainties inherent in the elevation data by adapting an existing error simulation technique. Techniques
for making spatial model assumptions and model error explicit to flood risk managers are introduced and evaluated for risk manage-
ment decision-making.  2002 Elsevier Science Ltd. All rights reserved.

Keywords: Natural hazards; Geographic information systems; Decision utility

1. Introduction ever, GIS spatial analysis techniques may introduce


problems unique to the technology during the data inte-
Our knowledge of hazard phenomena and the pro- gration and analysis process (Rejeski, 1993). Problems
cesses that drive them are imperfect. It is therefore include the degree of uncertainty that can be associated
necessary to develop appropriate models (process, spa- with model results owing to the choice of the model
tial and temporal) to fill the gap. The synthesis of data used, and the role of error in the input data and how it
and the mapping of the relationships between the hazard effects the outcomes of the risk assessment. These fac-
phenomena and the elements at risk require the use of tors contribute to the overall uncertainty in the results
tools such as geographic information systems (GIS). of risk models. Because the objective of natural hazard
There are advantages in developing a fusion between the risk assessment is to reduce uncertainty, this should be
philosophy of risk management and the strength of GIS extended to the GIS and spatial analysis process as well
as a decision support tool. However, the ultimate success (Rejeski, 1993; Emmi and Horton, 1995; Murillo and
of such an approach should be assessed in the context Hunter, 1996; Zerger, 1998).
of improved decision-making. This paper first examines existing approaches to
Coppock (1995) notes that there are grounds for assessing model decision utility with a particular empha-
believing that GIS has an important function to play sis on GIS and spatial modelling. A GIS-based sensi-
because natural hazards are a multi-dimensional tivity analysis technique for modelling the uncertainty in
phenomena which have a spatial component. Examples storm surge inundation risk for Cairns, Australia is then
include cartographic approaches for mapping the physi- described. The technique accounts for storm surge inun-
cal hazard, integrative hazard modelling and spatial dation model and database uncertainty. These spatial
decision support systems (de Silva et al., 1993) and dis- measures of uncertainty are included in the final hazard
aster response planning (Zografos et al., 1994). How- risk assessment. The objective is to develop a technique
which communicates uncertainty and has practical utility
for emergency management decision-makers in Cairns.
* Fax: +61-3-934-2916. The final stage of the research examines the decision
E-mail address: a.zerger@unimelb.edu.au (A. Zerger). utility of these techniques and map outputs for practical

1364-8152/02/$ - see front matter  2002 Elsevier Science Ltd. All rights reserved.
PII: S 1 3 6 4 - 8 1 5 2 ( 0 1 ) 0 0 0 7 1 - 8
288 A. Zerger / Environmental Modelling & Software 17 (2002) 287–294

risk management decision-making in Cairns. Issues, techniques. The study focused on assessing an individ-
including user perceptions, cognitive responses and ual’s spatial knowledge acquisition, rather than assessing
decision utility, are expected to receive greater attention cartographic representations. Similarly, Wood (1995)
as GIS shifts from its technological focus, to a broader used quantitative techniques such as eye movement
geographic information science and decision support tracking to assess whether map readers notice map gen-
emphasis. It is also expected that information systems eralisation. The objective of the research was to examine
managers will question the overall benefits of GIS whether reducing the amount of detail in a map will
implementation for risk management. The recurring reduce the amount of processing required to perform a
question in this research and in a broader sense is likely map analysis task.
to be: Does the model improve decision-making and to The interaction of a decision-maker with decision aids
what extent? using process tracing methods to understand the interac-
tion between tasks, decision-makers and information
technology in the spatial domain is discussed by Todd
2. Assessing cognitive responses in spatial sciences (1995). Such techniques are the domain of decision, cog-
nitive sciences and psychology. Tracing methods include
The success of a modelling initiative should be studying computer logs, information display boards,
assessed in the context of improved decision-making. tracing eye movements and verbal protocols. Two
However, few GIS studies have examined the conse- approaches nested within the verbal protocol tracing
quences of spatial modelling on decision-making. method are relevant to this research. The first is struc-
Nyerges (1995) suggests the reason is that few GIS prac- tured elicitation which is analogous to the structured
titioners know how to study people. This is a concern for interview. In this model the subject is asked specific
natural hazard risk management because the objective of questions about the decision-making process. The
GIS modelling is to improve the accuracy and effective- second is neutral-probing, which is analogous to
ness of decision-making for improved public safety. unstructured interviewing. In this model, the subject is
Hearnshaw (1995, p.196) summarises the importance of encouraged to ‘think aloud’ and observations are
user interaction studies for GIS below. recorded. As with structured interview techniques, the
structured tracing method is more suited to quantitative
Human–computer interaction comprises phenomena analysis and comparison across subjects (Todd, 1995).
and a discipline which takes those phenomena as its Regardless of the approach chosen, the objective of the
scope. The phenomena involve systems consisting of sampling is to obtain information-rich responses.
people — both as individuals and as social organis- Schweizer and Goodchild (1992) assessed the ability
ations; computers — both stand-alone and as net- of shades of grey to represent spatial uncertainty in chor-
works; and their interaction. Since the systems are opleth maps. The study is unique because it examines
physical and informational, so too are their interac- the utility of presenting uncertainty information to map
tions. The discipline is concerned to support the readers. Results indicate that representing spatial uncer-
optimisation of the interactions between humans and tainty presents significant challenges to cartographers
computers to perform work more effectively. The because map readers need to be familiar with the
concern, then, is not with the interactions in isolation. uncertainty/colour association through repeated use.
Humans use computers to do work and also have per- Similarly Hernandez (1995) notes that novice users will
formance requirements for the work which is carried have different spatial concepts than expert users (also
out. Interactions and their optimisation, then, need to see Nyerges (1995) for a detailed treatment of user needs
be developed in the context of work and performance. and GIS). Schweizer and Goodchild (1992, p. 696)
note that:
The transformation of GIS to a decision support tool
creates new challenges that inevitably include human Maps do not customarily display quality information
interaction issues. Traditional empirical user perception and the introduction of such a variable can be confus-
studies have focused on the cartographic representation ing to map readers. Verbal communication with parti-
of analogue maps. The studies have addressed carto- cipants indicated the mapping of data quality is an
graphic issues such as colour, shade, hue, map generalis- unfamiliar concept and selections were made arbi-
ation, map symbols and other cognitive variables. Mon- trarily or according to individual biases. This suggests
monier (in Rejeski, 1993) notes that because mapped education of users may improve the effectiveness of
messages can be manipulated, a considerable amount of displaying data quality.
care must be given to the design of cartographic presen-
tations. Thorndyke and Stasz (1980) assessed knowledge Few studies have examined the consequences of car-
acquisition from maps by people who had both training tography for improved decision-making. Crossland et al.
and no training in map use, using quantitative statistical (1993) note that ‘no studies have been identified which
A. Zerger / Environmental Modelling & Software 17 (2002) 287–294 289

address cognitive style as it relates to decision-making decision is a better decision and that there is indeed a
related to spatial problems, particularly those correct decision (see also Crossland et al., 1993). For
addressable by a geographic information system’. This storm surge hazard risk management none of these
theme is examined by Crossland et al. (1993) who sug- assumptions are necessarily applicable.
gest that we are seeing a fundamental shift in focus from
visual thinking in the private realm, to visual communi-
cation in the public realm. Cognitive cartographic-stud- 3. Study site and surge risk modelling
ies have focused on private realm visual thinking. The
proposed extension of cognitive studies into decision- A storm surge is the term used to describe an anomal-
making assessment represents visual communication in ous elevation of ocean water typically some 50 km
the public realm. across generated by the action of a cyclone and the coas-
A feature of formal cartographic training is a treat- tal bathymetry. Loss of life in Australia from storm surge
ment of cognitive issues associated with map production. inundation has been minimal in comparison to events
The emphasis on cognitive user-interaction issues is elsewhere. Modelling surge inundation in urban areas
commonly lacking in formal GIS training. A GIS expert vulnerable to storm surge is an important component of
is typically knowledgeable with software, spatial data risk management for the following reasons:
and spatial modelling issues rather than human percep-
tion issues. This is reflected in a general lack of consider- 앫 emergency management evacuation planning,
ation of human interaction issues in GIS development. 앫 developing urban zoning that accounts for storm surge
The only example of cognitive research applied to natu- inundation and hence risk,
ral hazard risk management that could be identified was 앫 as an educational tool to inform citizens of the risks
the study by Dymon and Winter (1993) that examined present in their community,
map design criteria in risk maps. The study firstly exam- 앫 identifying risk for possibly establishing insurance
ined visual representation and found that a majority of premiums,
maps lacked scale bars, north points and other key carto- 앫 developing building codes to minimise the impacts
graphic features. The study then established a decision of surge,
model based on a series of questions a family, or an 앫 cost-benefit analysis for developing mitigation stra-
individual, will use in making emergency evacuation tegies,
decisions. The study found that the most important carto- 앫 managing post-disaster recovery.
graphic element needed is a clear map hierarchy. The
hierarchy refers to the immediate operative needs of the Cairns is located in far northern Australia and has a
map user. A clear map hierarchy is one that allows users population of approximately 100,000. This coastal area
to obtain all relevant information with a quick glance. has been labelled ‘The New California’ with growth
In this research, map users are emergency managers in rates that place it in the top 10 fastest growing urban
Cairns and the analogy of a clear map hierarchy is used areas in the developed world (Skinner et al., 1993). The
to test the efficacy of uncertainty-based risk maps for linear nature of the coastal range in Cairns combined
Cairns. with the desire for beach frontages restricts urbanisation
Crossland (1992) presents a quantitative technique for to a North–South corridor (Fig. 1). This leads to a greater
assessing whether people make better decisions using
GIS. Crossland compared the use of paper maps and a
GIS display to assess the time taken to make a decision
and the error rate of the decisions. The scenario was
hypothetical (a utility company site location problem)
and tested the responses of 110 subjects. The study con-
cluded that GIS did improve the response time and pro-
vided more accurate solutions. This research differs from
Crossland’s study in two ways. First, the study popu-
lation in Crossland’s study had no prior experience with
the objective of the decision task. Second, the objective
in this research is to assess the utility of presenting
uncertainty results, rather than to compare computer-
based displays with map-based displays. Ives (1982, p.
8) similarly addresses some of the deficiencies of such
quantitative cognitive studies and proposes a different
research agenda focusing on decision utility. There are
also assumptions in Crossland’s research that a faster Fig. 1. Cairns study site in far northern Australia.
290 A. Zerger / Environmental Modelling & Software 17 (2002) 287–294

probability of massive losses from storm surge. In from field work and the flatwater surge inundation
addition, Cairns is amongst the most remote regional model.
coastal centres in Australia which magnifies the conse-
quences of any cyclone disaster. Although the incidence
of major cyclones in Australia is relatively uncommon, 4. Modelling uncertainty
events such as cyclone Tracy and Justin remind residents
and policy makers alike that a risk exists. Uncertainty, in contrast to error, assumes that no prior
The key to developing emergency response strategies knowledge of the accuracy of the data exists. Few
for storm surge in Cairns is to identify spatially where examples of GIS applications to natural hazards risk
the risk will be greatest. A key indicator of surge risk is assessment consider data or model accuracy, or com-
the buildings and roads that may be inundated. Detailed municate the inherent uncertainties in data and models
building databases were developed for Cairns from field in the final risk assessment. Commonly, model and data
work and council databases. Fig. 1 shows the distribution uncertainty estimates are esoteric concepts which have
of the road network, and hence urbanisation in Cairns. little practical use to risk managers. These may include
Approximately 25,000 buildings were integrated in a measures such as root mean square errors, probability
vector Arc/Info (ESRI, 1997) spatial database. This surfaces and classification error matrices.
included attribute information such as building floor Three possible sources of error are present in the
heights, building addresses and the number of stories of Cairns risk model including the vertical error in the
each building. DEM, error in the floor heights and the error in the storm
Until recently an overland storm surge model for surge model. The accuracy of the elevation model is a
Cairns did not exist. To establish a model, a flatwater function of the scale and accuracy of input topographic
sensitivity analysis approach was used. Inundations are data and the ANUDEM interpolation process. DEM
modelled by systematically increasing the inundation error is the focus of the uncertainty modelling method-
level based on a digital elevation model (DEM) and ology in this research. As a first step a measure of DEM
assessing the resulting building and road flooding from error has been derived from high accuracy permanent
50 to 1500 cm above the Australian Height Datum survey markers in Cairns. A detailed DEM error assess-
(AHD) in increments of 50 cm. Sensitivity analysis is ment found that 90% of the DEM was correct to within
particularly valuable for hazard risk assessment because ±200 cm (root mean square error).
The concern with these errors is the implications for
risk predictions for low magnitude and high frequency
앫 The relative importance of input parameters can be
inundation events in Cairns. Significant increases in the
assessed (floor heights, DEM accuracy and
number of buildings inundated over floor level are
resolution).
observed at increments less than the vertical accuracy of
앫 Risk managers can identify emergency management
the DEM. A critical question is: how much faith can
‘hot-spots’. These are regions that have a relatively
be placed in the inundation results when the model is
high risk in the study domain.
dependent on DEM accuracy? One outcome is that our
앫 It can identify probable maximum risks where the tra-
confidence in surge estimates must be questioned under
ditional approach considers probable maximum haz-
particular low magnitude scenarios. These events are
ard (in this case storm surge hazard). This paper con-
important in Cairns due to their relatively higher fre-
tends that probable risk is a more appropriate
quency of occurrence.
construct for risk management.
Openshaw (1989) noted that the problem is not as
앫 Sensitivity analysis can identify ‘cold-spots’. These
much the existence of uncertainty, but rather that the
are regions that can be used as evacuation safe areas.
traditional response has been to ignore it on the grounds
앫 It can identify and define emergency management
that methods to handle it do not exist. Goodchild et al.
‘catchments’ or regions within the study domain that
(1992) note that with the existence of uncertainty in
have a similar risk in the context of evacuation plan-
models and spatial data there are three options to deal
ning and decision-making.
with it: (a) omit all reference to it, (b) attach some form
앫 It can identify the robustness of risk analysis to errors,
of description to the output, and (c) show samples from
scales and uncertainties in GIS data and models.
the range of maps or outputs possible. The first option
is unacceptable for hazard risk management and evacu-
The model is implemented using the ARC/INFO GIS ation planning and the second may not adequately com-
and the ARC/INFO Macro Language (AML). Inundation municate this complex concept to risk managers. Exam-
is a function of the ground elevation at each building ining the third option is preferable because “it would
derived from a 20 m cell resolution DEM constructed appear to have the greatest potential benefit in both com-
for Cairns using ANUDEM (Hutchinson, 1998) surface municating uncertainty and at the same time educating
interpolation algorithms, building floor heights derived the user community to the significance of the issue”
A. Zerger / Environmental Modelling & Software 17 (2002) 287–294 291

(Hunter et al., 1994). The third option is adapted for risk model and data and model assumptions are made
modelling storm surge inundation uncertainty and risk explicit to end-users. In other words, spatial uncertainty
in Cairns. can be visualised in the final risk maps. And second, the
techniques provide an indication of the relative risk of
4.1. Grid cell model of uncertainty inundation. Prioritising evacuation zones based on these
results may lead to more informed emergency manage-
A variety of methods exist for handling uncertainty in ment decision-making. The following discussion exam-
spatial data including methods such as analytical error ines the practical decision utility of these results for risk
propagation models and empirical stochastic approaches. management in Cairns.
The research adapts the grid cell model of uncertainty
(GCUM) (Hunter et al., 1994) which has been used pre-
viously to determine the uncertainty of slope and aspect 6. Assessing GIS decision utility
estimates derived from spatial databases, for estimating
the influence of uncertainty on wildfire mapping using Computer and paper maps are powerful tools for com-
remotely sensed imagery and for landslide suscepti- municating risk analysis and assessment results and to
bility mapping. aid decision-making. A responsibility exists for GIS risk
The GCUM applies noise to a source DEM to simu- practitioners to ensure that model assumptions have been
late the error present in the data by randomly perturbing presented and that the cartographic representation is con-
the elevation values to create new realisations of the ducive to improved decision-making. Decision utility is
DEM. This realisation is then used in the model and new an emerging theme in GIS literature that focuses on cog-
risk results are derived. The realisations must be both nitive issues of GIS and human interactions (Rejeski,
stochastic, yet sufficiently spatially correlated to truly 1993). It recognises that a fundamental objective of GIS
represent the spatial dependencies inherent in elevation. modelling is to reduce the uncertainty inherent in spatial
This is achieved by constraining the random pertur- decision-making. It is therefore critical that GIS design
bations by a spatial autocorrelation index (Cliff and should be assessed in the context of improved
Ord, 1981) decision-making.
Because the essence of evacuation planning is the
rapid spatial movement of people, goods and services,
5. Inundation risk modelling results maps are one of the best media to depict this (Dymon
and Winter, 1993). This paper contends that in GIS-
The output provided by the model is a probability of based natural hazard risk assessment (and other spatial
over floor flooding for each building in the range 0– modelling for that matter), an incompatibility exists
100% for each inundation scenario. Continuous risk between the resolution and scale of spatial data in GIS
probability maps can be re-classified into binary maps and the resolution and scale of human spatial decision-
of risk by selecting a threshold value below which making. Rajeski (1993, p. 323) highlights this incom-
flooding is not likely. This should be avoided because patibility:
valuable information would be lost and such represen-
tations reinforce the perception of risk as an absolute. There can be no doubt that increasing the believability
Results from the model of building and road network and honesty of GIS products will increase their utility
inundation for Cairns are firstly stored as attributes in for decision-makers. However, developing a close fit
the databases and as digital animations at between map analysis and policy goals is of such
http://www.geom.unimelb.edu.au/zerger/maps.html. Sample critical importance that it requires a considerable level
inundation results are shown in Fig. 2 for four inun- of effort and foresight on the part of the analysts and
dation scenarios. map makers. When maps fail to have impact, it often
Results confirm that the greatest changes in risk occur has little to do with model nuances or data gaps, but
at relatively low inundation (⬍400 cm above AHD). more to do with a lack of fit between cartography and
Although probable maximum storm surges decision reality.
(approximately 600 cm above AHD) may have dramatic
consequences, results show that these would not be sig- In this research, decision-making is concerned with
nificantly greater than consequences for relatively low evacuation planning by emergency managers. Few stud-
inundations. The animations also highlight the impor- ies have attempted to integrate decision-scale and resol-
tance of critical threshold inundations in the study ution into GIS-based risk modelling and fewer have
domain. assessed the utility of uncertainty-based cartographic
The inclusion of uncertainty estimates into inundation representations. Semi-structured interviews were
risk models has perceived advantages over binary maps presented to key emergency management stakeholders
of risk. First, it includes measures of uncertainty into the to determine the utility of uncertainty-based risk maps
292 A. Zerger / Environmental Modelling & Software 17 (2002) 287–294

Fig. 2. Risk model results for 2, 3, 4 and 5 m inundation in Cairns showing the probability of flooding for each building derived from uncertainty
model (relative risk).

for evacuation planning and decision support (15 stake- ation is not as critical as first contended. Also, risk
holders in total). Stakeholders included Cairns City managers will prioritise on the basis of vulnerability.
Council risk managers, Queensland Department of They will target hospitals and other groups that can-
Emergency Services policy staff and Queensland Police not self-evacuate, rather than on the basis of the raw
Service officers. hazard zones.
앫 Risk managers commonly assume a worst-case scen-
6.1. Results of decision utility assessment ario. At high inundations (⬎6 m AHD) the maps
effectively become binary maps of risk because the
The aim of the interview process was to determine coastal regions are topographically homogenous and
the utility of uncertainty-based risk maps for evacuation any delineation of relative risk is ignored.
planning and decision support. The overwhelming con- 앫 Risk managers currently evacuate entire regions
clusion was that for practical storm surge evacuation rather than individual buildings. The resolution of the
planning, the maps provide too much spatial detail to be database is too fine for evacuation planning.
practical. However, this conclusion should be considered 앫 Although risk management hot-spots have been ident-
in the context of the functional purpose of the maps i.e. ified in the maps, risk managers prefer to identify ‘risk
risk mapping for storm surge emergency management catchments’. Catchments are areas that have similar
evacuation planning. For other functional purposes risk estimates and require similar risk treatments
including urban planning, riverine flood evacuation and (evacuation instructions).
mitigation cost-benefit analysis the conclusions will dif- 앫 There is a resistance to provide uncertainty-based
fer. In general, risk managers concluded that storm surge maps to the public because they imply policy uncer-
evacuation decision-making operates at a coarser spatial tainty and may result in individual decision ambi-
resolution than the uncertainty-based GIS risk mapping. guity. This is a major problem when evacuation
In addition: orders are issued.

앫 Risk managers already account for a range of other Responses also highlight the common incompatibility
uncertainties when delineating evacuation zones such between scientific modelling objectives and practical
as the uncertainty inherent in Bureau of Meteorology decision-making. Coarser resolution and less accurate
forecasts. These were noted to overwhelm the uncer- spatial data may be adequate for evacuation decision-
tainties inherent in inundation models and hence the making. If user considerations are assessed early in the
modelling of spatial uncertainty is somewhat redun- risk modelling process, GIS practitioners can minimise
dant. data capture, avoid unnecessary levels of complexity in
앫 Because the risk management objective in Cairns is the spatial modelling and generally improve the utility
to encourage self-evacuation, prioritisation of evacu- of the risk modelling for decision-making. A decision
A. Zerger / Environmental Modelling & Software 17 (2002) 287–294 293

utility assessment should be a key step in future appli- considerations are assessed early in the risk modelling
cations of GIS to hazard risk management. process, GIS practitioners can minimise data capture,
Although it was concluded that uncertainty-based risk avoid unnecessary levels of complexity in the spatial
maps are too detailed for evacuation planning, these rep- modelling and generally improve the utility of risk mod-
resentations of relative risk are nevertheless useful for elling for decision-making.
other hazard risk management activities. Most respon-
dents identified the suitability of this approach for slow-
onset riverine flooding. Risk managers working on pol- Acknowledgements
icy formulation suggested the methodology would be
important for assessing mitigation strategies where a This research was funded by the Australian National
sensitivity analysis is required. The uncertainty method- Committee for the IDNDR and was made possible with
ology is more appropriate for planning, preparedness and the assistance of Cairns City Council and the Tropical
assessing mitigation options, than for hazard event Cyclone Coastal Impacts Program. Thanks are extended
response. to Dr Gary Hunter, The University of Melbourne for
A unique behavioural interpretation of the maps was making the Grid Cell Uncertainty Model available and
observed with all risk managers. Most had little or no to Dingle Smith (CRES-ANU) for his ongoing and sig-
experience with root mean square error estimates (as cal- nificant contribution to the research. The author
culated for DEMs) and few had practical GIS experi- acknowledges the contribution of an anonymous
ence. Describing the concept of spatial uncertainty CSIRO reviewer.
proved challenging and describing the uncertainty mod-
elling technique was difficult. However, when risk man-
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