Space Technologies for the Benefit of Human Society and Earth

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Author: Phillip Olla

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Space Technologies for the Benefit of Human Society and Earth

Phillip Olla Editor

Space Technologies for the Benefit of Human Society and Earth

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Editor Dr. Phillip Olla Madonna University School of Business Dept. Computer Information Systems 36600 Schoolcraft Rd. Livonia MI 48150 USA [email protected]

ISBN 978-1-4020-9572-6

e-ISBN 978-1-4020-9573-3

DOI 10.1007/978-1-4020-9573-3 Library of Congress Control Number: 2009920274 c Springer Science+Business Media B.V. 2009 No part of this work may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Printed on acid-free paper 9 8 7 6 5 4 3 2 1 springer.com

Preface: The Role of Space Technology in Society

Challenges Faced by the Planet In today’s global society, it appears that economic prosperity is the most important human goal; however, the foremost goal of the human race should be to sustain a livable biosphere. Our prime objective must be to implement a coordinated and concerted effort to improve sustainable development activities over the next decade. The planet is facing some fundamental challenges, which are expected to become more devastating over the next couple of decades. The problems that must be addressed extend over a spectrum of environmental, technological, and humanitarian domains. One of the most topical issues is the dilemma of global warming, which comprises such problems as carbon dioxide and methane build-up, and the disappearing ice caps. The Intergovernmental Panel on Climate Change has concluded that human activities are causing global warming with probable temperature rises of 1.8◦ C and 4◦ C (3.2–7.2◦ F) by the end of the century. Sea levels are also likely to rise by 28–43 cm. Another serious problem is the shortage of food. Josette Sheeran, Executive Director of the UN’s World Food Program, recently announced that food reserves are at a 30 year low, and the WFP has started to ration food. The high food prices have led to riots in over 30 countries around the globe in 2008. The cause for the shortage is still not clear but possible factors are high energy and grain prices, the impact of climate change and the growing demand for biofuels, this problem is unlikely to be resolved in the near future. The next set of challenges stems from global pollution and includes issues such as the destruction of the rain forests, desertification, reduction of arable land, and over reliance on dwindling petro-chemical energy sources. Another series of problems relates to humanitarian issues that are compounded by the spiraling growth of the human population. Foremost is the inappropriate distribution of natural and agricultural resources to manage the growing population; about 1 billion people, one fifth of the world’s population, live on less than $1 a day. Unfortunately, this is also reflected in the lack of universal access to information technology, global education and health care; this is referred to as the digital divide. The most promising suite of applications that can address these challenges and probably our only real hope for changing the way we treat the planet use space technology.

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Overview of Space Technology It has been over 50 years since the first satellite was sent into orbit, and the impact of space technology can be felt in many aspects in our day to day life. In addition to the convenience of knowing exactly where we are on the planet via GPS satellites; or deciding what to pack for a trip based on forecasts from weather satellites; watching CNN in a remote village via broadcasting satellites; there are now some crucial environmental uses of Space technologies in the areas of natural resources management and environmental monitoring. Remotely sensed data reveals an unparallel view of the Earth for systems that require synoptic or periodic observations such as inventory control, surveying, agriculture, business, mineralogy, hydrography, geology, land mass cover, land utilization and environment monitoring. The advancement of remote sensing has made remote sensed data more affordable and available to merge with a variety of data sources to create mash-ups. The amalgamation of these data sources into disciplines such as agriculture, urban planning, web applications, cartography, geodetic reference systems, and global navigation satellite systems, are an important advancement of space applications and space science.

Space Technology and Millennium Development Goals (MDGs) The MDGs are a set of time-bound, measurable goals and targets that are global as well as country-specific for combating poverty, hunger, diseases, illiteracy, environmental degradation and discrimination against women. There have been a variety of applications that have demonstrated that ICT-based systems and services such as e-commerce, distance education, telemedicine and e-governance have improved the quality of life, reduced poverty and empowered people by reducing transaction costs, integrated global and local markets and enhanced the potential value of human capital. It has been established by various studies that ICTs can play an important role in attaining the United Nations’ MDGs by 2015. Integrating space technology with existing ICT infrastructure has the potential to provide further benefits to society, this book presents a collection of chapters from around the globe that highlight the importance and benefits of space applications to society. Space applications have the potential to make a major contribution in global policies, technological infrastructures, economies, along with social and cultural development. Although, the impact of space technology is ingrained in society providing a host of important established services such as communication, radio, television, weather forecasting, and navigation, there are a growing number of emerging applications such as emerging broadband services, agricultural, land and sea monitoring, and telemedicine. These emerging space applications can potentially provide enormous opportunities to reduce social and economic inequalities; support sustainable rural wealth creation by overcoming barriers of geographic isolation, along with providing access to information and in communication services at affordable costs.

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As a result of the innovation occurring ICT integrated with Space technology have the potential to fuel the global economy and reduce global poverty. Article 19 of the Universal Declaration of Human Rights suggests that approximately 1.2 billion people are experiencing extreme poverty, The UN considers this to be one the worst human rights violation in the world. If national and international policies are implemented to reap the benefits from the emerging Space applications that address crop and soil management, water and costal resources, and disaster monitoring and mitigation there is a good chance that some of the MDGs will be addressed. The UN office of Outer Space Affaires (Programme on Space Applications) has implemented a new natural resources management and environmental monitoring programme. This initiative was created to assist developing countries utilize space-based solutions to address environmental monitoring and natural resources management issues. The contribution of space science and technology for the support and implementation of sustainable development actions was also identified during the World Summit on Sustainable Development (WSSD) in 2002.

Synopsis of Book Chapter Sections This book is a compilation of work undertaken by authors from 15 countries including USA, UK, Spain, Italy, Germany, Netherland, France, Germany, Russia, India, Australia, Canada, Tunisia, Azerbaijan and Turkey. The authors are from a variety of disciplines and backgrounds such as space scientists, agricultural scientists, medical doctors, professors, policy analysts, engineers, botanists, and computer specialist. The authors represent a diverse group of organizations such as the European Space Agency (ESA), Indian Space Research Organization (ISRO), Chinese Space Institute, Academic Institutions, African Development Bank and a wide variety of research institutions. The book is divided into the following four sections: 1. Improving global resource management and protection of terrestrial, coastal and marine resources. 2. Innovative Tele-heath applications and communication systems. 3. Disaster monitoring, mitigation and damage assessment. 4. Space technologies for the benefit of society. The first section improving global resource management and protection of terrestrial, coastal and marine resources focuses on the efforts to sustain critical natural resources such as water. The chapter “Soil Moisture and Ocean Salinity (SMOS) Earth’s Water Monitoring Mission” by McMullan et al discusses the Soil Moisture and Ocean Salinity SMOS project. This chapter presents techniques used to develop soil moisture and ocean salinity maps from space, these two geophysical parameters are of key importance to sustainable development. They are critical for improving climatological forecasting, increasing the understanding of the water cycle,

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providing new approaches to acquiring knowledge regarding the phenomenon of climate change and monitoring the planet’s fresh water reserves. The chapter “India’s Earth Observation Pyramid for Holistic Development” in this section contributed by V. Jayaraman et al. provides a detailed overview of India’s in-orbit Earth Observation constellation of operational satellites used for a variety of purposes including land & water resources management, cartography applications, and oceanography & atmospheric science and management requirements along with the disaster management support programme. Chapter “Shifting Paradigms in Water Management” contributed by Paxina Chileshe provides an analyses of the application of space technology in informing water management and explores the use of technology with respect to meeting agriculture and domestic water demands. Chapter “Operational Oceanography and the Sentinel-3 System” was written by Miguel Aguirre et al. and provides an overview of the operational oceanography field, and describes how the advent of satellite oceanography has accelerated the development of robust numerical ocean forecasting capabilities. The last chapter in this section was contributed by Zeynalova et al. and discusses how space technology can be used for oil spill detection; an example from the Caspian sea is also provided. The second section contains five chapters that discuss Innovative Tele-heath applications and Digital Communication Systems. Tele-health and telemedicine use satellite communications technologies to connect medical experts and patients in remote regions or disaster areas. Chapter “From Orbit to OR: Space Solutions for Terrestrial Challenges in Medicine” written by Shawna Pandya discusses explores the use of space technologies in the context of their applicability to medicine on Earth, the chapter presents medical spinoffs in the context of three categories: diagnostics & imaging, treatment & management and safety. Chapter “Bridging Health Divide Between Rural and Urban Areas – Satellite Based Telemedicine Networks in India” written by Satyamurthy L.S et al provides an insight into how Telemedicine networks are working in India, providing a connection between rural & urban areas. This is followed by a chapter that discusses telemedicine from a completely different perspective. Chapter “Temos – Telemedical Support for Travellers And Expatriates” written by Markus Lindlar et al, describes the globally active TEMOS project (TElemedicine for the MObile Society). TEMOS mainly focuses on optimizing health care and medical treatment for travellers and expatriates worldwide. Chapters “Convergence of Internet and Space Technology and Using Inflatable Antennas for Portable Satellite-Based Personal Communications Systems” are technical chapters that discuss innovative communications approaches, chapter “Convergence of Internet and Space Technology” was written by Jin-Chang Guo and discusses the new phenomenon of convergence of Space technology and the Internet. The chapter summarize research from the China Academy of Space Technology and discusses satellite communication network architecture, satellite communication network protocol, and some key technologies for the satellite communication. Chapter “Using Inflatable Antennas for Portable Satellite-Based Personal Communications Systems” puts forward an interesting concept for developing personal communication using inflatable antennas. Chapter “Using Inflatable Antennas for Portable Satellite-Based Personal Communications Systems” was written by

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Naomi Mathers and discusses how Satellite-based personal communications systems can be an effective means to connect mobile personnel with a central support network in disaster management situations, the approach involves the use the network of orbiting satellites to make broadband communication possible when there is no local infrastructure on the ground or the infrastructure has been damaged. The third section of this books covers disaster monitoring, mitigation and damage assessment. Chapter “Spaceborne Tsunami Warning System” written by Peter Brouwer et al presents a conceptual design for a Space-borne Tsunami Warning System (STWS). This project was initiated in reaction to the devastating tsunami in the Indian Ocean on December 26, 2004. The tsunami global early warning system uses reflections of a Global Navigation Satellite System (GNSS). Chapter “GEONETCast Americas – A GEOSS Environmental Data Dissemination System Using Commercial Satellites” was written by Richard Fulton, Paul Seymour, and Linda Moodie and describes the GEONETCast network. The GEONETCast system provides near-real-time, environmental data dissemination in support of the Global Earth Observation System of Systems (GEOSS). It is a contribution from the United States National Oceanic and Atmospheric Administration (NOAA). Chapter “Remote Sensing Satellites for Fire Fighting Applications” was written by Jes´us Gonzalo et al. and discusses how remote Sensing Satellites can be used to provide vital information to assist with fire fighting. The article provides detailed technical information on how small forest fires can be detected and observed from space using infrared sensors, providing more accurate geometry than terrestrial observers. Chapter “Remote Sensing and Gis Techniques for Natural Disaster Monitoring” provides a brief examination of disasters discussing the causes, economic impact on society, and highlights the importance of prevention and awareness techniques. This chapter was written by Luca Martino et al and provides an overview of the remote sensing principles and aims to illustrate how the sheer scale of the catastrophe means that Earth Observation (EO) is vital both for damage assessment and for co-ordinating emergency activities. The final chapter in this section investigates Earth Observation Products for drought risk reduction and was written by Sanjay K Srivastava et al. This chapter discusses various efforts to promote principles of risk management by encouraging development of drought early warning systems; preparedness plans; mitigation policies and programmes that reduce drought impacts. This chapter describes how the use of EO enabled products and services have made an impact whenever they have been used strategically. The final section discusses the importance of space technology to society. The first chapter in this section (Chapter “Caring for the Planet: Using Space Technology to Sustain a Livable Biosphere”) written by Phillip Olla provides an overview of some of the challenges being faced and discusses how space technology can be used to address these problems. This chapter discusses the various space infrastructures along with the upgrades planned, the chapter also discusses the various information technology challenges being faced by society implementing new applications that rely on data generated from space infrastructure. Chapter “Humanitarian Aids Using Satellite Technology” was written by Mattia Stasolla and Paolo Gamba

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and discusses how remote sensing data can be used in the Darfur region of Sudan for monitoring of informal settlements for humanitarian aids. The chapter descries how using remote sensing data provides the capability to perform semi-automated procedures to analyze data that will assist administrations and Non Governmental Organizations (NGO). Chapter “National Development Through Space: India as a Model” discusses how India’s experience in space can be applied as a model to developing countries that aim to achieve growth from a space program. The chapter written by Ian A. Christensen, Jason W. Hay, Angela D. Peura describes the relationship between science and technology investment and national development providing specific detail on the example of India’s experience in space. This chapter identifies a set of elements that have enabled the success of India’s space efforts. These elements are then used as key attributes to a model that can be applied in other developing countries. Chapter “Space Based Societal Applications” written by Bhaskaranarayana and P. K. Jain describes the potential of satellite communication technologies for societal applications like tele-education, tele-medicine, disaster management, and Village Resources Centers, and initiatives taken by Indian Space Research Organization (ISRO) in implementing these applications in India. Chapter “Space for Energy: The Role of Space-based Capabilities for Managing Energy Resources on Earth” was written by Ozgur Gurtuna and discusses the concept of Knowledge Management (KM). This chapter discusses how space operations face the challenge of preserving and sharing knowledge. At the ESA Space Operations Centre, ESOC, KM is considered a strategic issue for maintaining and strengthening the leadership in spacecraft operations and ground systems infrastructure in an expanding international context. Chapter “Sharing Brains: Knowledge Management Project for ESA Space Operations” was written by Mugellesi Dow et al., and describes the important role of space based capabilities for managing energy resources on Earth, the chapter provides and overview of the current energy problem and examines some of the possible ways that space-based capabilities can be used to address the challenges and create new opportunities. Livonia MI

Phillip Olla

Contents

Part I Improving Global Resource Management and Protection of Terrestrial, Coastal and Marine Resources SMOS – Earth’s Water Monitoring Mission . . . . . . . . . . . . . . . . . . . . . . . . . . K.D. McMullan, M. Mart´ın-Neira, A. Hahne and A. Borges

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India’s EO Pyramid for Holistic Development . . . . . . . . . . . . . . . . . . . . . . . . . 37 V. Jayaraman, Sanjay K. Srivastava and D. Gowrisankar Shifting Paradigms in Water Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 Paxina Chileshe Operational Oceanography and the Sentinel-3 System . . . . . . . . . . . . . . . . . 75 Miguel Aguirre, Yvan Baillion, Bruno Berruti and Mark Drinkwater Advanced Space Technology for Oil Spill Detection . . . . . . . . . . . . . . . . . . . . 99 Maral H. Zeynalova, Rustam B. Rustamov and Saida E. Salahova

Part II Innovative Tele-Heath Applications and Communication Systems From Orbit to OR: Space Solutions for Terrestrial Challenges in Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 S. Pandya Bridging Health Divide Between Rural and Urban Areas – Satellite Based Telemedicine Networks in India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 A. Bhaskaranarayana, L.S. Satyamurthy, Murthy L.N. Remilla, K. Sethuraman and Hanumantha Rayappa xi

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TEMOS – Telemedicine for the Mobile Society Telemedical Support for Travellers and Expatriates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 Markus Lindlar, Claudia Mika and Rupert Gerzer Convergence of Internet and Space Technology . . . . . . . . . . . . . . . . . . . . . . . . 201 Jin-Chang Guo Using Inflatable Antennas for Portable Satellite-Based Personal Communications Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 Naomi Mathers Part III Disaster Monitoring, Mitigation and Damage Assessment Space-Borne Tsunami Warning System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 Peter A.I. Brouwer, Mark Visser, Ramses A. Molijn, Hermes M. Jara Oru´e, Bart J.A. van Marwijk, Tjerk C.K. Bermon and Hans van der Marel GEONETCast Americas – A GEOSS Environmental Data Dissemination System Using Commercial Satellites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Richard Fulton, Paul Seymour and Linda Moodie Space Technology for Disaster Monitoring, Mitigation and Damage Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305 Jes´us Gonzalo, Gonzalo Mart´ın-de-Mercado and Fernando Valcarce Remote Sensing and GIS Techniques for Natural Disaster Monitoring . . . 331 Luca Martino, Carlo Ulivieri, Munzer Jahjah and Emanuele Loret EO Products for Drought Risk Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383 Sanjay K. Srivastava, S. Bandyopadhyay, D. Gowrisankar, N.K. Shrivastava, V.S. Hegde and V. Jayaraman Part IV Space Technologies for the Benefit of Society The Diffusion of Information Communication and Space Technology Applications into society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413 Phillip Olla Humanitarian Aids Using Satellite Technology . . . . . . . . . . . . . . . . . . . . . . . . . 431 Mattia Stasolla and Paolo Gamba

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National Development Through Space: India as a Model . . . . . . . . . . . . . . . . 453 Ian A. Christensen, Jason W. Hay and Angela D. Peura Space Based Societal Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483 A. Bhaskaranarayana and P.K. Jain Space for Energy: The Role of Space-Based Capabilities for Managing Energy Resources on Earth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509 Ozgur Gurtuna Sharing Brains: Knowledge Management Project for ESA Space Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525 R. Mugellesi Dow, M. Merri, S. Pallaschke, M. Belingheri and G. Armuzzi Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549

About the Authors

M. Aguirre is Senior Mission Engineer in the Science, Applications and Future Technologies Departments. He was in charge of the definition phase of Sentinel-3 and he presently continues working on new space mission ideas for Earth observation. e-mail: [email protected] G. Armuzzi is HR Transformation and Knowledge Management responsible in Mercer, Italy. Before the leading consultancy company in learning processes, for which he has been working since 1985, and has become partner in 1996, after obtaining a degree in Business Administration at Bocconi University in Milan. He is an expert in the analysis and improvement of high intensity Knowledge organisations and processes (the so-called “brain processes”), in HR process reengineering and e-learning. He has developed specific competencies in the area of Knowledge Management, operating on knowledge sharing systems connected to intranet portals for technicians and developing integrated KM systems for professionals. In e-learning he has developed a specific methodology to integrate e-learning into an overall process of learning strategy which enables aspects of organisation, learning, technology and economic return to be defined before the activation of investment. He has a wide experience as project leader on HR reengineering and KM projects in several companies like Abbott Chemicals, Bayer, Q8 (Oil Company) Riello (Heating Company) Sole 24 Ore (Finance newspaper) and GSK. He is currently leading a consultancy contract on Knowledge management with the Operations Centre of the European Space Agency. Y. Baillion was in charge of the definition phase of Sentinel-3 in Thales and is presently the Project manager of the Sentinel-3 satellite project in Thales. Bhaskaranarayana A. had joined DRDO, Govt. of India and worked in “Electronics and Radar Development Establishment” after graduation from I.I.T. Madras in 1965. He joined Indian Space Research Organisation (ISRO) in 1972 and was associated with the development of India’s first satellite, “Aryabhatta”. There after, he worked on Telecommand, Telemetry and Communication payloads developed xv

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for India’s first remote sensing satellite IRS-1A. He served ISRO in different capacities like Associate Director of Satellite Communication Programme Office; Director, Frequency Management Office etc. Currently he is working as Director, Satellite Communication Programme Office and the Scientific Secretary of ISRO. Bhaskaranarayana has been instrumental in running several societal space application programmes like Telemedicine, Tele-education, Disaster Management, Search & Rescue, Village Resource Centres, etc. He is a fellow of the IETE and a member of the Astronautic Society of India. At present he is a member of the IETE Council. He has received several awards from ISRO and other agencies for his contribution in the field of space technology. M. Belingheri is an Italian (aged 53, married, two daughters) who lives in the Netherlands. He holds a telecommunication diploma and an MBA. He has worked in Italy from 1974 in the telecommunication sector with Marconi as telecom engineer and in the energy sector with Ansaldo as project controller. He moved to the Netherlands in 1987 joining the European Space Agency in the Human Spaceflight sector and as since contributed to the projects related to the International Space Station in the domain of planning and scheduling, cost and financial control. He became Head of the Project Control in 1996. He started the ISS commercialisation activities at ESA in 1999: in 2001 he has been nominated Head of the Commercialisation Division, the ESA entity charged of developing the ISS commercialisation programme. Mr. Belingheri is currently Head of the Management Support Office; he is responsible of the ISS Operations Programme control which includes project control, risk management, knowledge management, continuous improvement and performance assessment. Tjerk C.K. Bermon received the BEng. degree in mechanical engineering from the Hogeschool van Utrecht, The Netherlands, 2003. Hereafter he continued to finish his MSc. degree in Earth and Planetary Observation technology within the Department of Earth Observation and Space systems (DEOS) at Delft University of Technology, The Netherlands, 2008. B. Berruti works in the Earth Observation Projects Department and he is the Project manager of the Sentinel-3 project in ESA. Dr. S. Bandyopadhyay received MSc and Ph. D. degree in Agricultural Physics from Indian Agricultural Research Institute (IARI), New Delhi, in 1992 and 1995, respectively. He joined Indian Council of Agricultural Research in 1995 and was associated with soil and water conservation studies. Subsequently, he joined Indian Space Research Organization in 1998. He has worked with crop simulation modeling in rice agro-ecosystem, environmental impact assessment and microwave remote sensing application in soil moisture retrieval as well as crop growth monitoring.

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Presently, he is working in water resource management and crop risk insurance studies. He has published over 30 papers in Journals and Symposia. Andr´es Borges graduated in Electrical Engineering from the Universisty Polithecnic of Valencia, Spain in 1989. For the next two years, he worked as a Software Engineer at the European Space Agency specialising in software development for space robotics. In 1992 he joined EADS CASA Espacio of Madrid, Spain and during the next 6 years worked in several space projects as a Software and System Engineer. In 1998 he was appointed as Project Manager of the MIRAS Demonstrator Project, a technology development for SMOS and he continued as Project Manager throughout the development phases of the SMOS payload, MIRAS. He has completed his university background in Business Administration (UNED, Spain) and received an MBA from the Instituto de Empresa, Spain. Peter A.I. Brouwer received his B.S. in Aerospace Engineering at Delft University of Technology and his M.S. in Earth and Planetary Observation within the Department of Earth Observation and Space systems (DEOS) at Delft University of Technology. In 2006 he started a company which amongst others will work on GPS tracking for the transport industry. Paxina Chileshe started her career in the mining industry on the Copperbelt Province of Zambia where she worked as a Senior Assistant Metallurgical Engineer after obtaining her Bachelors degree in Chemical Engineering. In 2007 she completed a PhD in water politics. Her PhD research focused on community water management and her thesis was entitled “A Multi-scalar Analysis of Shifting Paradigms in Water Management. A case study of Zambia”. She currently works for the African Development Bank, which she joined on the Young Professionals Programme. Ian A. Christensen is a Program Analyst at Futron Corporation in Bethesda, MD. He holds a Master’s Degree in International Science and Technology Policy, with a concentration in Space Policy from the Elliott School of International Affairs at the George Washington University. Ian also holds Bachelor’s degrees in Biochemistry and Political Science, from the University of Nebraska-Lincoln. R. Mugellesi Dow is member of the Planning and Management Support Office at the European Space Operations Centre (ESOC) of the European Space Agency in Darmstadt, Germany. She received her degree in Mathematics followed by a degree in Automatic computation from the University of Pisa, Italy. She worked over 20 years as Flight Dynamics Engineer in the ESOC Flight Dynamics Division where she was involved in orbit manoeuvre optimization, mission planning and Flight Dynamics operations of ESA satellites during the pre-launch mission preparation phase, the launch and early orbit phase as well as during the routine

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phase of the mission. She received in 2004 the Master in Business Administration with major in International Business from the Schiller International University in Heidelberg, Germany. Her current research interests lie in the area of knowledge management, risk management, competence assessment and organizational strategy. M. Drinkwater is the head of the Mission Science Division of the Science, Applications and Future Technologies Department. He was in charge of the definition of the operational service and mission requirements aspects of Sentinel-3. Richard Fulton is a meteorologist and the Special Projects Manager in the Office of Systems Development in NOAA’s Satellite and Information Service (NESDIS). He has managed the GEONETCast Americas development project since the project first started in early 2006. He has worked for NOAA within several organizations for 15 years, focusing primarily on project management, environmental remote sensing, and research and development of rainfall estimation techniques using operational Doppler weather radars. Prior to NOAA, he worked at the National Aeronautics and Space Administration for seven years on environmental microwave remote sensing research from space-based platforms and ground-based weather radars. Paolo Gamba is Associate Professor at the Department of Electronics, University of Pavia, where he heads the Remote Sensing Group. His main research topic is urban remote sensing. Since 2001 he has been the promoter and Technical Chair of the series of URBAN workshops, and published more than 40 papers on peer reviewed journals as well as two book chapter and numerous conference papers on this subject. P. Gamba is a Senior Member of IEEE, a member of IAPR, ASPRS, EGU, AGU and AIT. He is currently Associate Editor of the IEEE Geoscience and Remote Sensing Letters. Prof. Dr. med. Rupert Gerzer is chairman of the Institute of Aerospace Medicine of the German Aerospace Center (DLR) in Cologne as well as of the Institute of Aerospace Medicine at the Technical University of Aachen. After studying medicine at the University of Munich, Professor Gerzer was postdoctoral fellow at the Institute of Pharmacology of the University of Heidelberg. From 1981 to 1983 he worked as a visiting scientist and research instructor at the Dept. of Pharmacology and Howard Hughes Medical Institute at the Vanderbilt University in Nashville, TN, USA. Subsequently he worked as a resident in internal medicine and clinical pharmacology at the University of Munich. In 1992 he took office in the DLR Institute of Aerospace Medicine in Cologne. Professor Gerzer is trustee of the International Academy of Astronautics and was president of the German Society of Aviation and Space Medicine from 1991 to 2001. He is president of the German Association for Travel Medicine as well as of the University Council of the

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Bonn-Rhein-Sieg University of Applied Sciences. Since 2008, he is editor-in chief of Acta Astronautica. Dr. D. Gowrisankar is a Ph D (Agriculture & Soil Science) from Indian Agricultural Research Institute (IARI), New Delhi, India has been working with Indian Space Research Organisation (ISRO), since 1999, as scientist in the field of remote sensing applications for agriculture and natural resources management. He is presently working on developing EO projects for crop risk assessment, nationalwise soil carbon pool assessment, etc. He has got more than 20 paper published. Prof. Jin-Chang Guo, Chief Researcher, R&D Dept., China Academy of Space Technology. He is working on the design phase of space communication and remote sensing system. Presently, he is in charge of a project on the common satellite bus for remote sensing applications. He has published over 30 papers in Journal and Symposia. ´ Gonzalo graduated in Aeronautical Engineering and obtained his PhD in Jesus Infrared Remote Sensing. He joined INSA in 1993, becoming head of Remote Sensing Department in 2001. In this period, he led the development of the FUEGOSAT constellation for forest fire detection and monitoring. From 2005 he is full professor at University of Le´on, Spain, heading the laboratory of Aerospace Research and involved in R&D programmes related to remote sensing from space and unmanned air vehicles. Ozgur Gurtuna is the founder and president of Turquoise Technology Solutions Inc., a Canadian company providing services in the energy, environment and aerospace sectors. He is active in both professional and academic domains, and has a keen interest in developing innovative solutions by merging multiple technology areas. He obtained his Ph.D in Operations Research from the joint Ph.D. program in Montreal (this program is administered by four Canadian universities: Concordia, HEC, McGill and UQAM). His areas of expertise include space applications for the energy sector, emerging technology markets and quantitative analysis in decision making (covering areas such as optimization, simulation and mathematical modeling). He is also a part-time faculty member at the International Space University, lecturing on topics related to the business and management aspects of space activities. Achim Hahne graduated in Atmospheric Chemistry at the Nuclear Research Centre in J¨ulich, Germany and obtained his Ph.D. in Material Science at Aachen Technical University. In 1983 he joined the European Space Agency. After initial positions in the Space Science and the Technical Directorates he transferred to the Earth Observation Programmes Directorate where he worked on the ERS 1/2, ENVISAT and METOP Projects. He is the SMOS Project Manager since 2002.

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Jason Hay is a Research Analyst at The Tauri Group in Alexandria, VA. He graduated from the Elliott School of International Affairs, George Washington University, with a Master’s Degree in International Science and Technology Policy and a concentration in Space Policy. Jason also holds Bachelor’s degree in Physics from the Georgia Institute of Technology. Dr. V.S. Hegde received the M.Sc. degree in Applied Geology from Karnatak University, Dharwad in 1974. From 1975 to 1988 he worked as Scientist at the National Remote Sensing Agency, Hyderabad. During 1989–91, he was founder Director of the Karnataka State Remote Sensing Technology Utilisation Centre. Since 1992, he is at Headquarters of Indian Space Research Organisation (ISRO), and presently as Dy. Director in the Earth Observations Systems (EOS) Office. He is also Programme Director, Disaster Management Support (DMS) Programme and Programme Coordinator, Village Resource Centre (VRC) Programme. He is responsible for promotion, planning and co-ordination of remote sensing application programmes. He has carried out a variety of remote sensing application projects - for geological mapping and mineral exploration; groundwater exploration and recharge; monitoring of land use/cover and wastelands; urban development; integrated land and water resources management; environment impact analysis and other societal applications. He has published over 50 papers in Journals and Symposia. Munzer Jahjah was born in Syria in 1965, he received the B.Sc. in Electrical Engineering in 1989 at the University of Tishreen- Syria; two years post lauream Specialization school in Town-Planning Techniques for Metropolitan Areas in 1999 and PhD in Aerospace Engineering in 2003 at the University of Rome “La Sapienza”. Between 1991 and 1996, he worked in the applied sciences at the Data Processing and Production Remote Sensing Dept in Syria. Since 2003, he has been a consultant at the San Marco Project Research Centre (CRPSM)- Rome, where he is involved in several research projects (GMOSS). His main research interests regard Environment Remote Sensing data and GIS applications devoted to fire detection, subsidence phenomena, archaeology and change detection analysis. P.K. Jain has been working in ISRO Headquarters, Bangalore and is designated as Deputy Project Director responsible for the implementation of various Satcom application programmes like Tele-education, Tele-medicine, Village Resource Centers, etc. of ISRO. He started his career with National Remote Sensing Agency (Department of Space), Hyderabad, India in 1989 and worked for the design and development of remote sensing satellite receive earth station communication equipments and commissioning of RF receive-chain of various national and international remote sensing satellite ground stations. He also worked in Space Applications Centre (ISRO), Ahmedabad, India from 2002 to 2005 for the establishment of C-, Ext. C-, Ku- and Ka-band SATCOM earth

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stations. He has published several papers in various journals & magazines of national and international repute. He is recipient of two “Team Excellence Awards” of ISRO in 2007. He can be reached at [email protected] Hermes M. Jara Oru´e received the BSc. Degree in Aerospace Engineering at Delft University of Technology, The Netherlands. He is pursuing his MSc. Degree in Space Technology and Engineering at the Astrodynamics and Satellite Systems department of Delft University of Technology, The Netherlands. Hermes has undergone a traineeship at the Mission Analysis Section of the European Space Operations Centre (ESA-ESOC) in Darmstadt, Germany. Dr. V. Jayaraman With doctorate from Bangalore University and post-graduation from Indian Institute of Technology (IIT) Madras, Dr Jayaraman has been with ISRO since October 1971. He has been closely associated right from India’s first satellite, Aryabhata in 1975 to the most recent state-of-the-art Cartosat 2 launched in 2007. Presently, in ISRO, he holds the important portfolios of Director of India’s Earth Observations System (EOS) Programme; Director, NNRMS Regional Remote Sensing Service Centres (RRSSC); and Programme Director, ISRO GeosphereBiosphere Programme; and also the Member Secretary of National Natural Resources Management Systems (NNRMS). As the Director, EOS, he has contributed significantly to the definition, and operationalisation of Indian EO Programme, and in the institutionalization of remote sensing to many applications of direct societal relevance at the user end through NNRMS. He has been primarily instrumental in defining a thematic series of IRS satellites in the areas of land & water resources management; cartography and large-scale mapping applications; and, Ocean & atmosphere studies. As Director, NNRMS RRSSCs, he leads a team of young scientists in 5 distributed Centres across India in promoting communitybased applications such as watershed development, disaggregated poverty mapping, and customized products and services with indigenous software, developed using Open Source tools. Parallely, in his capacity as Progarmme Director, ISRO Geosphere-Biosphere he also has been organizing the national efforts in harnessing the potentials of space technology and applications in climate change studies. He has more than 220 publications to his credit with more than 50 of them appearing in peer reviewed journals. Dr. med. Markus Lindlar is German physician specialised in medical informatics. In 1994 he graduated in medicine after studying at the Universities of Ancona (Italy) and Bonn (Germany). He then worked as a resident in the surgical department of a German hospital being also in charge of the medical controlling and clearing. He built up an IT-department and implemented a comprehensive hospital information system. In 1997 he took up the position of a research assistant at the Institute for Health Economics and Clinical Epidemiology of the University of Cologne where he received his doctor’s degree in medicine with his thesis about “The economic

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aspects of telemedicine and robotics in medicine”. Since 2002 he works as a research assistant at the Institute of Aerospace Medicine of the German Aerospace Center in Cologne focussing on telemedical projects and the research on their health economic aspects. Dr Lindlar is member of the German Society for Medical Informatics, Biometrics and Epidemiology as well as of the Professional Association of German Medical Computer Scientists. He is board member of the German Society of Health Telematics. Dr Lindlar is medical manager of the TEMOS project. Emanuele Loret was born in 1949, in Rome; he received the laurea degree in Biology/Hydrology from the University of Rome “La Sapienza” in 1980. He is a visiting research scientist for the Earth Observation Science, Applications Department of ESA/ESRIN (Frascati – Rome) where he is involved in several European Projects such as PRIMAVERA, DEMOTEC-A, BACCHUS, DiVino, EDUSPACE. His main research interests concerns the GIS and remote sensing environment application and modeling. Naomi Mathers received her degree in Aerospace Engineering from RMIT University in Melbourne, Australia, in 2001 and is currently completing her PhD at RMIT University, investigating the possibility of applying inflatable structure technology to portable land-based direct satellite communication. She works at the Victorian Space Science Education Centre (VSSEC) in Melbourne, helping to increase Australia’s capacity in science and mathematics and raise awareness of the applications of space technology. As a member of the Engineers Australia National Committee for Space Engineering, the International Astronautical Federation (IAF) Space Education and Outreach Committee and the Asia Pacific Regional Space Agency Forum (APRSAF) Space Education and Awareness Working Group, Naomi helps to promote the benefits of space technology to society and inspire the industries future scientists and engineers. Gonzalo Mart´ın-de-Mercado graduated in Telecommunications Engineer. He joined INSA in 2001, becoming Systems Engineer for the REMFIRESAT and FUEGOSAT programmes for forest fire detection and monitoring amongst others. In 2008 he joined European Space Agency (ESA) and he is working within the ARTES 20 programme for the development of integrated applications (involving space and ground technologies) in various fields such as energy, health, safety, transportation and development. Luca Martino, was born in Rome, in 1976; he received the degree in aerospace engineering and the Msc in Emergency Engineering in 2004 and 2006 respectively from the University of Rome “La Sapienza”. In 2008 he achieved the Msc on Space Telecommunications at the University of Rome “Tor Vergata” and presently he is attending the Astronautical Engineering School at University of Rome “La Sapienza”.

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He was involved in several projects such as Humboldt. His main research interests concern the space mission telemetry, the earth observation applications (Natural duasters) and ICT. Currently he is working for the earth observation division of Telespazio. Manuel Mart´ın-Neira received the M.S. and Ph.D. degrees in Telecommunication Engineering in 1986 and 1996 respectively from the School of Telecommunication Engineering, Polytechnic University of Catalonia, Spain. In 1988 he worked as a Young Graduate Trainee at the European Space Agency (ESA) on radiometry. From 1989 to 1992 he joined GMV, a Spanish company, with responsibility for several projects on GPS spacecraft navigation and attitude determination. Since 1992 he has been a staff member of ESA in charge of all radiometer activities within the Technical Directorate. He was responsible for the pre-development technology activities for MIRAS, the SMOS payload. He is currently the SMOS Instrument Principal Engineer. M. Merri holds three degrees in Electrical Engineering: a “Laurea” degree from the Politecnico di Milano, Italy, a Master degree and a PhD degree from the University of Rochester, Rochester, New York, USA. Since 1989, he is with the European Space Agency at the European Space Operations Centre. He is currently the head of the Application Mission Data System Section that is responsible for the design, development, deployment, supervision and maintenance of Mission Control Systems and Spacecraft Simulators for a number of ESA missions including: AEOLUS, CLUSTER, CRYOSAT, ENVISAT, ERS-2, GOCE, METOP, MSG, SMART-1, SWARM, XMM. During his career, he has also been extensively involved in standardisation activities and he is actively involved in CCSDS, ECSS and OMG. Kevin McMullan graduated with a BE (Hons) degree in Electrical Engineering from University College, Cork, Ireland, in 1973. For the next 10 years he worked as a Microwave Engineer at the Plessey Radar Research Centre, a UK company, specialising in Microwave Radiometry (at L-Band and Ku-Band) and in Millimetrewave Imaging. In 1983 he joined the European Space Agency (ESA) as Calibration Engineer for the Radar Altimeter (RA) Instrument on-board the European Remote Sensing Satellite (ERS-1) subsequently becoming RA Instrument and Microwave Radiometer (MWR-2) responsible for ERS-2, Communications Payload Manager for the METEOSAT Second Generation (MSG) suite of meteorological satellites and laterally SMOS Payload Manager. Dr. oec. troph. Claudia Mika is the Executive Director (ED) for TEMOS. She is experienced in international projects that were managed at the German Aerospace Center. In particular, she was involved in the planning, organization, realization and evaluation of international projects like Head-Down Tilt Studies and space physiology projects, e.g. MIR’97. She studied nutritional science at the University of Bonn

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About the Authors

and was also intern at the Institute of Aerospace Medicine, German Aerospace Center (DLR) in Cologne. She held various positions at the department for Child and Adolescent Psychiatry and Psychotherapy Clinic and the Institutes of Aerospace Medicine, at the Technical University of Aachen and the German Aerospace Centre, DLR Cologne. Dr. Mika published numerous papers. In 2002, she received the “Young Researcher Award” of the European Space Agency (ESA). In 2007, Dr. Mika was nominee of and received a “N.U.K. Business Plan” prize for the TEMOS concept. Ramses A. Molijn received the BSc. degree in aerospace engineering at Delft University of Technology, The Netherlands. Hereafter he continued to finish his MSc. degree in Geomatics within the Department of Earth Observation and Space systems (DEOS) at Delft University of Technology, The Netherlands. In 2007, he studied for half a year at The University of Melbourne, Australia and in 2008 he was an intern at the Centre for Space Research in Austin, Texas. Linda Moodie is Senior Advisor to NOAA’s Satellite and Information Service and is the point of contact in GEO for the global GEONETCast project. Ms. Moodie played a major role in the conceptualization, organization, and execution of the first Earth Observation Summit in July 2003, which launched the GEO initiative. She advised the NOAA Administrator in his capacity as GEO Co-chair, advises the NOAA Co-chair of the U.S. effort to develop a U.S. Integrated Earth Observation System, which is the U.S. contribution to the international system, and participated on the small team that drafted the international GEOSS 10-Year Implementation Plan. Phillip Olla is the endowed Phillips Chair of Management and Professor of MIS at the school of business at Madonna University in Michigan USA, and he is also a Visiting Research Fellow at Brunel University, London, UK. His research interests include space for sustainable development, Mobile telecommunication, and health informatics. In addition to University level teaching, he is also a Chartered Engineer and has over 10 years experience as an independent Consultant and has worked in the telecommunications, space, financial and healthcare sectors. He was contracted to perform a variety of roles including Chief Technical Architect, Program Manager, and Director. Dr Olla is the Associate Editor for the Journal of Information Technology Research and the Software/Book Review Editor for the International Journal of Healthcare Information Systems and Informatics, and is also a member of the Editorial Advisory & Review Board for the Journal of Knowledge Management Practice. S. Pallaschke was born in 1942 and retired in 2007 after having been employed with the European Space Agency (Satellite Operations Centre at Darmstadt, Germany) for about 40 years. During this time he worked in Flight Dynamics,

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primarily in the orbit determination area, where he gathered experience during many satellites projects covering launches and operations. The years of experience enabled him to provide consultancy support to other Space related International Organisations during this affiliation with the European Space Agency. Next to the orbit determination tasks he participated in Standardisation Boards and during the past five years as well in the Knowledge Management activities of the Centre. Shawna Pandya is a medical student at the University of Alberta (Edmonton, Canada) and holds prior degrees in Neuroscience (BSc Hon., University of Alberta, 2006) and Space Studies (MSc, International Space University, 2007, Strasbourg, France). Her research interests are numerous and diverse, ranging from space medicine to neurosurgery to the use of telemedicine and technology for ensuring access to quality healthcare. Shawna has previously worked in the Crew Medical Support Office of ESA’s European Astronaut Centre in Germany and is currently carrying out pre-clinical testing of the neuroArm at the University of Calgary. In her spare time, Shawna enjoys many hobbies including taekwondo, scuba-diving, rock-climbing, travel, writing, singing, piano and guitar. Any comments regarding her contribution can be forwarded to [email protected]. Angela D. Peura is a Master’s student in International Science and Technology Policy with concentrations in Space Policy and Eurasian Studies from the Elliott School of International Affairs at the George Washington University. Angela also holds a Bachelor’s degree in Archaeological Studies from Boston University. Hanumantha Rayappa holds a Masters degree in Statistics from Bangalore University. He is working in ISRO for about 17 years. Prior to his movement to ISRO Head Quarters in the year 2000, he worked at master Control facility (MCF) Hassan in Mission systems and Software. In his current position at Satellite Communication programme Office (SCPO), ISRO HQ; he is responsible for the deployment, operation and maintenance of telemedicine systems across India. He has been instrumental in empowering the telemedicine users and service providers to reach the benefits of space technology to the common man at the grassroots level. L.N. Murthy Remilla holds a Bachelor of Engineering Degree in Electronics & Communication and Masters Degree in Business Administration (Marketing) and carrying out his research in International Marketing at Indian Institute of Science (IISc). He has been serving the Indian Space Research Organisation (ISRO) since 1988. Currently he is working as Deputy Director, Business Development in Antrix Corporation Limited, the Marketing and Commercial Wing of ISRO. Murthy is responsible for programme development and coordination of Telemedicine and Teleeducation services in India and International Marketing of Indian Remote Sensing Services from IRS satellites. He has been the co-editor of “Telemedicine Manual” and Member of National Task Force on Telemedicine formed by Indian Ministry of

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Health & Family Welfare. He has several national and international publications to his credit in Telemedicine and remote Sensing. Rustam B. Rustamov 1981–1984-PhD at the Russian Physical-Technical Institute (S. Petersburg); 1985-Doctor of physical and mathematical sciences;1972–1977Student, Azerbaijan Polytechnic Institute/AzPI/, Baku, Azerbaijan; 1979–1981Trainee at the Physical-Technical Institute (S. Petersburg); 1998-ESA/UN Program on Space Applications; Associate Professor. United Nations Office for Outer Space Affairs – member of Action Teams; United Nations Economical and Social Commission for Asia and the Pacific – contact point; International Astronautical Federation – contact point; Former Director General of the Azerbaijan National Aerospace Agency. Project implementation: Implementation of the technical support project “Strengthening Capacity in Inventory of Land Cover/Land Use by Remote Sensing” under contribution FAO UN as a project manager from 1999 for two years duration (ArcView GIS version 3.2 software application) – project manager; Application of Remote Sensing and GIS technology to reduce flood risk under ProVention Research & Action Grants project as a project mentor for 2007–2008 years – mentor of project. Author of 50 scientific papers including 4 monographers. e-mail: r [email protected] Saida E. Salahova 1997–2001 Bachelor degree on Applied mathematics at the Azerbaijan State Oil Academy; 2001–2003 Master degree on Mathematical modeling at the Azerbaijan State Oil Academy; Pursuing the PhD degree in Remote Sensing and GIS at the Space Research Institute of Natural Resources on topic of development the Neural Network algorithms for classification of aerospace image. Project Implementation: Application of Remote Sensing and GIS technology to reduce flood risk under ProVention Research & Action Grants project as a project mentor for 2007–2008 years – project team leader. Author of 8 scientific papers. e-mail: saida [email protected] L.S. Satyamurthy holds an Engineering Degree in Electrical and Mechanical Engineering, after an initial service at the Ministry of Defence for about 5 years, joined ISRO in 1974 and worked for the first Indian Satellite Project “Aryabhat”. He worked as Director, Business Development and Programme Coordinator, Telemedicine till September 2008 at ISRO/Antrix. He has worked in ISRO for the various communication and remote sensing satellite programmes especially with the operational programmes of Indian National Satellite System (INSAT) and Indian Remote Sensing Satellite System (IRS). From 1993 to 1998, he was the Counsellor of Space Technology at the Embassy of India, Washington D.C. USA. He has successfully implemented the telemedicine initiatives of ISRO. He has been the co-editor of “Telemedicine Manual” and Member of National Task Force on

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Telemedicine formed by Indian Ministry of Health & Family Welfare. He has several national and international publications to his credit. K. Sethuraman holds a Masters degree in Mathematics from Bharathidasan University. He is working in ISRO for 22 years and prior to his movement to ISRO Head Quarters in the year 2000, he worked at master Control facility (MCF) Hassan in Mission systems and Software. At ISRO HQ he is responsible for the design and deployment of telemedicine and Tele-education systems from the Satellite Communication programme Office (SCPO). He has been instrumental in the transition of ISRO’s Telemedicine technology and programme on par with the technological trends and their adaptation for benefiting the organisation as well as the society. Paul Seymour is a physical scientist and the Direct Readout Program Manager in the Satellite Services Division of the Office of Satellite Data Processing and Distribution in NOAA/NESDIS. He has participated in the GEONETCast Americas development project since he was employed by NOAA in June of 2007 and assumed leadership of the service when it became operational in 2008. Prior to NOAA, he worked at the U.S. National Ice Center as the Command and Operations Department Technical Advisor. Mr. N.K. Shrivastava did his Master’s degree (Physics) in 1980, and started his career with teaching for a short period. He joined ISRO in 1981, and since then worked in different areas related to Satellite Tracking, Operations and Control. Since the inception, he has been associated with ISRO’s Satellite Aided Search and Rescue (SASAR) Programme. He has been responsible for strengthening SASAR programme in India by providing valuable operational support, system development and establishing excellent interfaces with the various user departments and International agencies. He represented ISRO in several national and international forums. Presently he has been working as Manager for Indian Mission Control Center (INMCC/ISTRAC/ISRO) at Bangalore. In the year 2002, he has also been assigned additional responsibility to coordinate International Charter “Space and Major Disasters” Operations for global Disaster Management as Emergency On-call Officer (ECO). In his capacity as ECO, he has been responsible in planning and providing space data for major disasters like Asian Tsunami and Katrina. Dr. Sanjay K. Srivastava is a Ph.D (Agricultural Physics) from India’s premier Indian Agricultural Research Institute (IARI), New Delhi, has been working with Indian Space Research Organization (ISRO), Government of India, since 1991, as an application scientist in the area of agriculture, rural development and disaster management. While his interest lies in developing EO products relevant to food security, poverty alleviation and disaster risk reduction, he has also been working in the areas of hyperspectral remote sensing, multi-polarimetric SAR applications and

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assimilation of EO products in dynamic simulation modeling. He has got more than 100 papers published. Mattia Stasolla received the B.Sc. and M.Sc. in Electronics Engineering, summa cum laude, from the University of Pavia, Pavia, Italy, in 2003 and 2005, respectively. In 2006 he also received the diploma for Sciences and Technologies class from the Institute for Advanced Studies (IUSS) of Pavia. He is currently completing his Ph.D. in Electronics and Computer Science at the University of Pavia. His fields of interest include remote sensing data processing, especially for risk and crisis management, mathematical morphology, fuzzy rule-based classifiers and neural networks. Since 2007, he has also been a Research Engineer at the Microwave Laboratory, University of Pavia, dealing with direct and inverse scattering problems and electromagnetic diagnostic techniques. M. Stasolla is a Member of IEEE and frequently acts as a referee for IEEE Transactions on Geoscience and Remote Sensing and IEEE Geoscience and Remote Sensing Letters. Calo Ulivieri was born in Turin- Italy in 1942; he received the M.Sc. in Chemical Engineering in 1986 and the PhD in Aerospace Engineering in 1970 at the University of Rome “La Sapienza”. Twentyfive years cumulative technical experience in Aerospace Engineering (Space Systems, Astrodynamics, Remote Sensing). He has developed his activity in NASA and in several Institutions of the University of Rome and of National Research Counsel. He has directed many researches and programs in space systems (Astrodynamics, Remote Sensing, Satellite Subsystems). Member of several international institutes and organizations, his present position is full Professor in “Aerospace System Design” at the Aerospace Engineering School of the Sapienza – University of Rome; he is Head of the Aerospace and Astronautical Engineering Department and President of the Centro di Ricerca Progetto San Marco of the same university. Fernando Valcarce received his MSc in Telecommunications Engineering. He joined INSA in 2003, working as a Systems Engineer for several ESA projects such as: RISK-EOS (implementation of operational services for emergency management based on remote sensing data), FUEGOSAT (study of Fuegosat payload data suitability for forest fires detection and monitoring). From 2006 he became Project Manager for the European Commission PREVIEW programme developing new geo-information services for risk management at European level. Hans van der Marel obtained the degree of Geodetical Engineer (cum laude) at the Delft University of Technology in 1983. In 1987 he was appointed task-leader for the great-circle reduction task in the international FAST consortium and became a member of ESA’s Hipparcos science team, until 1997, when the Hipparcos catalogue was published. He obtained his PhD (cum laude) at the Delft University of

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Technology in March 1988. In December 1987 he was awarded a research fellowship by the Netherlands Academy of Sciences. Since 1989 he is working as assistant professor in the section Mathematical Geodesy and Positioning at the Delft University of Technology, where he has been working on Global Navigation Satellite Systems (GNSS). Bart J.A. van Marwijk is pursuing a M.Sc. in Dynamics and Control of Aerospace Vehicles within the Control and Simulation Department of Delft University of Technology, The Netherlands. In 2006, he received his B.Sc. in Aerospace Engineering at the same university. In autumn 2007, he was an intern with the Flight Systems Department of the Japan Aerospace Exploration Agency (JAXA). Mark Visser received his B.Sc. degree in Aerospace Engineering from the Delft University of Technology in The Netherlands. He is pursuing his M.Sc. degree in Dynamics and Control of Aerospace Vehicles. Mark was a visiting student in the Humans & Automation Lab of the Massachusetts Institute of Technology in Cambridge in 2006 and was an intern in the Flight Efficiency Department of the Boeing Research & Technology Europe office in Madrid in 2007. Maral H. Zeynalova 1982–1987-PhD at the Russian Institute of Biology (S. Petersburg); 1987- Doctor of Biology; 1980–1982- Trainee at the Russian Institute of Biology (S. Petersburg); 1974–1979 – Student, Azerbaijan State University, Baku; 1977-Trainee, Czech-Slovakia; 2000-Trainee on empowering education of gender. Project implementation: Biodiversity and novel mechanism of photosynthesis in Central Asian desert plants (RB1-2502-ST-03), Cooperative Grants Programme, United States Civilian Research and Development Foundation for the independent states of the former Soviet Union for 2003–2005 years. More than 14 scientific papers. e-mail: maral [email protected]

Part I

Improving Global Resource Management and Protection of Terrestrial, Coastal and Marine Resources

SMOS – Earth’s Water Monitoring Mission K.D. McMullan, M. Mart´ın-Neira, A. Hahne and A. Borges

Abstract The SMOS (Soil Moisture and Ocean Salinity) project is the second Earth Explorer Mission of Opportunity within the European Space Agency’s (ESA) Living Planet Program. The purpose of the SMOS mission is to provide soil moisture and ocean salinity maps from space. These two geophysical parameters are of key importance in improving climatological forecasting, increasing the understanding of the water cycle, providing new approaches to acquiring knowledge of the phenomenon of climate change and monitoring the planet’s fresh water reserves. The mission employs a satellite in low-earth sun-synchronous orbit with an altitude of 755 km and a revisit time of 3 days. SMOS measures the thermal noise generated by the earth at L-Band (1.4 GHz) with a spatial resolution of 50 km and radiometric sensitivity of 3.5 K per snapshot at boresight. The thermal radiation detected by SMOS at L-Band is where microwave theorists have devised a direct relationship between Soil Moisture (SM) and Ocean Salinity (OS) with earth emissivity. The SMOS single-instrument MIRAS (Microwave Imaging Radiometer with Aperture Synthesis) is an innovative 2-D aperture synthesis radiometer. Aperture synthesis, or, interferometry, is an alternative to real aperture instruments that permits the synthesis of a theoretical antenna of very large aperture using a diverse collection of small antenna/receivers which achieves a greatly improved instrument weight/geometric resolution ratio. The fundamental theory behind this technique is the same as that used for decades in radio astronomy. The instrument measures the cross correlations between all pairs of receivers to derive the visibility function. In a first-order approximation, the brightness temperature of the source is computed as the inverse Fourier transform of this function. However, the large field of view present in earth observation applications introduces non-negligible effects of individual antenna patterns, obliquity factors and spatial decorrelation effects. Experimental work on SMOS has shown that mutual effects of closely spaced antennas, as well as their individual matching, become important to fully understand the measurements. For SMOS, a new K.D. McMullan (B) ESA, Keplerlaan 1, 2200 AG Noordwijk, The Netherlands e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 1,

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formulation of the visibility function, including full antenna characteristics and interactions between receivers, was developed. These effects, never taken into account in previous approaches, have an important impact on inversion techniques and also on instrument specifications and performance. MIRAS consists of an array of separate radiometric receivers. The system acts as a radio camera, and as the satellite moves forward, a wide swath is covered without mechanical movement to create a larger synthetic antenna in order to increase the image resolution. The raw data output of MIRAS consists of one-bit digital correlations that are transmitted to ground to the Data Processing Ground Segment (DPGS) via an XBand communications link. Calibration of any earth observation sensor is a key stage which encompasses those tasks necessary to convert the raw measurement data into science data. Calibration is an important prerequisite to performance verification (which demonstrates the instrument meets its requirements) and the validation of geophysical parameters produced as higher level products. The flight model satellite of SMOS, developed by European space industry, is scheduled for launch within the last quarter of 2008 with a planned lifetime of 3 to 5 years. A second generation of SMOS satellites (SMOS Ops) is under study to continue the supply of soil moisture and ocean salinity maps with improvements in pixel resolution and revisit time. Following the successful deployment of SMOS in orbit and a satisfactory demonstration of its capabilities, it is hoped that the SMOS concept and design will form the basis of future soil moisture and ocean salinity missions for earth observation purposes and as a major contributor to operational meteorology and climate change awareness. Keywords Microwave radiometry · Interferometry · Aperture synthesis · Microwave imaging · Remote sensing

Introduction Water in the soil and salt in the oceans may seem to be unconnected, however, both variables are intrinsically linked to the Earth’s water cycle and climate (ESA Website, Earth Explorers (SMOS)). The SMOS mission is a direct response to the current lack of global observations of soil moisture and ocean salinity which is needed to further our knowledge of the water cycle, and to contribute to better weather and extreme-event and seasonalclimate forecasting. The variability in soil moisture is mainly governed by different rates of evaporation and precipitation so that severe drought can result in features such as hard, dry, cracked soil, while floods and landslides can be a consequence of very heavy rainfall. Less obvious perhaps is the fact that some areas of the Earth’s oceans are significantly saltier than others. Changes in the salinity of surface seawater are

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brought about by the addition or removal of freshwater, mainly through evaporation and precipitation, but also, in polar regions, by the freezing and melting of ice. Variability in soil moisture and ocean salinity is due to the continuous exchange of water between the oceans, the atmosphere and the land – the Earth’s water cycle. The importance of estimating soil moisture in the root zone is paramount for improving short- and medium-term meteorological modelling, hydrological modelling, the monitoring of plant growth, as well as contributing to the forecasting of hazardous events such as floods. The amount of water held in soil, is of course, crucial for primary production but it is also intrinsically linked to our weather and climate. This is because soil moisture is a key variable controlling the exchange of water and heat energy between the land and the atmosphere. Precipitation, soil moisture, percolation, run-off, evaporation from the soil, and plant transpiration are all components of the terrestrial part of the water cycle. There is, therefore, a direct link between soil moisture and atmospheric humidity because dry soil contributes little or no moisture to the atmosphere and saturated soil contributes a lot. Moreover, since soil moisture is linked to evaporation, it is also important in governing the distribution of heat flux from the land to the atmosphere so that areas of high soil moisture not only raise atmospheric humidity but also lower temperatures locally. In the surface waters of the oceans, temperature and salinity alone control the density of seawater – the colder and saltier the water, the denser it is. As water evaporates from the ocean, the salinity increases and the surface layer becomes denser. In contrast, precipitation results in reduced density and stratification of the ocean. The processes of seawater freezing and melting are also responsible for increasing and decreasing the salinity of the polar oceans, respectively. As sea-ice forms during winter, the freezing process extracts fresh water in the form of ice, leaving behind dense, cold, salty surface water. If the density of the surface layer of seawater is increased sufficiently, the water column becomes gravitationally unstable and the denser water sinks. This process is a key to the temperature and salinity-driven global ocean circulation. This conveyor-belt-like circulation is an important component of the Earth’s heat engine, and crucial in regulating the weather and climate. The principal objective of the SMOS mission is to provide global maps of soil moisture and ocean salinity of specified accuracy, sensitivity, spatial resolution, spatial and temporal coverage. In addition, the mission is expected to provide useful data for cryospheric studies. A novel instrument, MIRAS (Microwave Imaging Radiometer with Aperture Synthesis), as shown in Fig. 1, has been especially developed to make these observations and to demonstrate the use of this new radiometer concept and its capability of observing both soil moisture and ocean salinity by capturing images of emitted microwave radiation in the protected frequency band between 1400 and 1427 MHz (L-Band). SMOS will carry the first-ever, polar-orbiting, space-borne, 2-D interferometric radiometer. Moisture is a measure of the amount of water within a given volume of material and is usually expressed as a percentage. From space, the SMOS instrument can

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Fig. 1 SMOS satellite with MIRAS instrument in deployed configuration

measure as little as 4% moisture in soil on the surface of the Earth – which is about the same as being able to detect less than one teaspoonful of water mixed with a handful of dry soil. Salinity describes the concentration of dissolved salts in water. It measures in practical salinity units (psu), which expresses a conductivity ratio. The average salinity of the oceans is 35 psu, which is equivalent to 35 grams of salt in 1 litre of water. SMOS aims to observe salinity down to 0.1 psu (averaged over 10–30 days and an area of 200 km × 200 km) – which is about the same as detecting 0.1 gram of salt in a litre of water.

Background The social benefits to humans of a global knowledge of soil moisture and ocean salinity are numerous and varied. Soil moisture variations affect the evolution of weather and climate over continental regions. Enhancement of numerical weather prediction models and seasonal climate models resulting in improved seasonal climate predictions will benefit climate-sensitive socioeconomic activities, including water management, agriculture, and fire, flood and drought hazards monitoring. Soil moisture strongly affects plant growth and hence agricultural productivity, especially during conditions of water shortage, the most severe of which is drought. At present, there is no global in situ network for soil moisture. Global estimates of soil moisture, and in turn, plant water stress, must be derived from models.

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These model predictions (and hence drought monitoring) could be greatly enhanced through assimilation of soil moisture observations. Soil moisture also is a key variable in water related natural hazards, such as floods and landslides. High-resolution observations of soil moisture lead to improved flood forecasts, especially for intermediate-to-large watersheds where most flood damage occurs. The surface soil moisture state is key to partitioning of precipitation into infiltration and runoff. Hydrologic forecast systems initialized with mapped highresolution soil moisture fields will open a new era in operational flood forecasting. Furthermore, soil moisture in mountainous areas is one of the most important determinants of landslides. Soil moisture data will provide information on water availability for plant productivity and potential yield. The availability of direct observations of soil moisture will allow significant improvements in operational crop productivity and crop waterstress information systems by providing realistic soil moisture observations for the models. Improved seasonal soil moisture forecasts will directly improve famine early warning systems, particularly in sub-Saharan Africa and South Asia where hunger remains a major human health factor. Indirect benefits will also be realized as soil moisture data enables better weather forecasts which lead to improved predictions of heat stress and virus-spreading rates. Soil moisture data will also benefit the emerging field of landscape epidemiology (aimed at identifying and mapping vector habitats for human diseases such as malaria), where direct observations of soil moisture provide valuable information related to vector population dynamics. Coincidently, human safety and prosperity depend on better ocean observing systems. Speedy diagnosis of the temper and vital signs of the oceans matters increasingly to the well being of humanity. Current ocean observing systems suffer from major gaps in observational coverage which can be greatly improved by satellites which provide a high-altitude window on such marine characteristics as sea surface salinity and roughness, temperature, currents, ice cover and shifting meadow-like areas where marine plants grow. Scientists envisage an ongoing, integrated ocean observing system that routinely surveys and monitors conditions and offers prompt diagnoses and timely forecasts of problems – practical information of benefit to humanity in many ways. Deeper understanding of ocean behaviour will help society better forecast and protect itself from catastrophic storms such as hurricanes, typhoons and tsunamis. Better ocean information will improve short- and long-range weather and climate prediction, thereby strengthening disaster preparedness and damage mitigation and strategies for agricultural and seafood harvests. As well, better ocean observing will improve safety of the marine transportation network – which conveys 90% of goods traded internationally – with accurate, timely information about ocean conditions. Among the benefits offered by better ocean observing: measurement of sea surface temperatures and circulation could predict movement of fish from traditional waters, and even outbreaks of disease, which have been associated with warmer water, while monitoring pollution will help predict toxic algal blooms.

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Oceans are a growing source of energy – oil and especially natural gas – as operators reach into the seafloor in deeper and deeper parts of the ocean with multibillion dollar facilities. Offshore wind farms would also depend on timely, reliable information on ocean conditions. Better ocean observation will help harness various energy sources safely and efficiently with minimal environmental impact. A more fully developed ocean observing system will foster important new insights into how altered ocean conditions, including warmer water, circulation and increasing acidity, affect weather, climate and the role of the oceans as a carbon sink. Scientists want to know how warmer water, for example, impacts microscopic life forms that consume some 50 giga-tonnes of carbon per year, about the same as all plants and trees on land. As the planet’s primary reservoir, oceans govern the global water cycle. Improved ocean observations will help scientists better understand precipitation patterns. A majority of life on Earth eats, swims, crawls, and lives in oceans. Water temperatures and circulation affect where species live and travel, as well as the distribution of nutrients, plankton and on up the food chain. A global ocean observing system such as SMOS will illuminate the impact of shifting ocean conditions and pollution on marine and coastal ecosystems and the distribution, abundance and biodiversity of organisms. In summary, the SMOS objectives are to demonstrate the use of L-Band 2-D interferometric radiometry from space

r r r

To monitor on a global scale soil moisture over land surfaces, To monitor on a global scale salinity over oceans, and To improve the characterisation of ice and snow covered surfaces

for

r r

Advancing climatological, oceanographic, meteorological, hydrological, agronomical and glaciological science, Assessing the potential of such measurements to contribute to improve the management of water resources.

Regarding the technological evolution of the MIRAS design for SMOS, the concept of aperture synthesis was advanced in the field of radio astronomy as a means of achieving the finest resolving power with an antenna array that uses a relatively small number of individual elements. The objective of this technique is to achieve the best resolution at minimum cost. A prime example is the Very Large Array (VLA) shown in Fig. 2 that uses a “Y’ configuration of elements to achieve the resolution of a filled array whose diameter is equal to that of the circle that encloses the “Y” (Napier et al. 1983). Because of phase fidelity offered by microwave components, antenna complexity can be replaced by signal processing complexity to obtain resolutions which could otherwise not be achieved. Indeed, radio telescopes utilizing aperture synthesis and very long baseline interferometry rival and even exceed the resolution achieved by some of the best earth-based optical telescopes (Swift et al. 1991).

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Fig. 2 Very Large Array (VLA) at the National Radio Astronomy Observatory (NRAO) (Napier et al. 1983)

Space-based microwave applications in earth science are a much younger discipline than radio astronomy. As more geophysical-product users become accustomed to passive microwave satellite data, a demand is developing for both better spatial resolution and for the addition of frequencies as low as 1.4 GHz. These demands now place the space technologist in a similar quandary to radio astronomers 50 years ago; large, mechanically scanned filled apertures are just too costly to place into orbit. The ground rules for earth observation are somewhat different to those for radio astronomy. The spacecraft orbits at 6.5 km/s, so that processing must be done more rapidly. The earth is an extended source, whereas astronomical sources are embedded in a cold cosmic background which influences signal-to-noise ratios and sampling requirements. Interferometric aperture synthesis was first proposed in the 1980’s as an alternative to real-aperture radiometry for earth observation from space at low microwave frequencies with high spatial resolution (Ruf et al. 1988). An L-Band radiometer using real aperture for across track and interferometric aperture synthesis for alongtrack is described in (Le Vine et al. 2001). A radiometer using aperture synthesis in both directions (MIRAS) was proposed in (Martin-Neira and Goutoule 1997). In the meantime, extensive work has been done to improve the understanding of such a radiometer (Camps 1996). The interferometer shown in Fig. 3 is the basic building block of the aperture synthesis technique developed for earth observation (Swift et al. 1991). If the outputs

fc

V

Fig. 3 Conceptual diagram of a two-element imaging microwave interferometer [3]

( Dλ )

D

TB DISTRIBUTION

fc

CORRELATED ANTENNA PATTERN

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of the two isotropic antenna elements are multiplied together, it can be shown (see (Kraus 1966), for example) that the equivalent measurement is described by the following formula: π/2 V (d) =

TB (θ ) exp [− j (2π d/λ) θ ] dθ −π/2

where λ is the electromagnetic wavelength, θ is the incidence angle and d is the spacing between elements. V is known as the “visibility” function in line with the term commonly used in radio astronomy. If the visibility function is sequentially measured for 0 < d < D, then V can be defined as the Fourier transform of the thermal emission, or brightness temperature, of the scene. The scene can then be reconstructed by performing the Fourier inverse. The resolution of the measurement is determined by the total baseline D, and not the dimension of the antenna elements. Furthermore, only discrete samples with d equal to integer half wavelengths are required for perfect reconstruction of the scene with spatial resolution determined by D. Unfortunately, such a scheme is not practical from low earth orbit because the forward motion of the spacecraft limits the time on target and hence sensitivity. A practical system requires simultaneous sampling of all integer half wavelengths distributed over the baseline. This dilemma has led to the concept of thinned array radiometry (Moffett 1968). The objective is to appropriately distribute a small number of elements over a baseline, perform power divisions of each output, and then perform the cross-correlations to generate the complete set of visibility functions. An example is shown in Fig. 4. In this example, five elements perform the work of eight. Although the savings are trivial in this case, thinning geometrically increases as the size of the array increases. This is a desirable characteristic since antennas become more expensive as the electrical size increases (Swift et al. 1991). The thinned array concept offers interesting cost benefit trade-offs. One tradeoff is the exchange of antenna complexity for system complexity. In the example cited, five receivers and fifteen correlations are utilized to image the scene. This particular trade-off option of thinned arrays has become attractive as a result of advances that have occurred in microwave and computer technology. However it should be noted that the system complexity is considerable as the array thinning becomes more significant. The other trade-off relates to signal-to-noise considerations. The figure of merit of a single total power radiometer is determined by ⌬T , the measurement standard deviation, as given by the following formula: Tsys ⌬T = √ Bτ where Tsys is the system noise temperature, B is the system bandwidth, and τ is the post-detection integration time. Because of the type of processing used in aperture

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Fig. 4 Example of a thinned array antenna with five elements performing as a filled array of eight elements (Swift et al. 1991)

synthesis, the ⌬T of the thinned array additionally depends upon the size of the array and the degree of thinning, which generally leads to a significant degradation in sensitivity over what can be achieved with a total power radiometer in a “stare” mode, because, as the physical collecting area is reduced, the signal-to-noise ratio is correspondingly reduced to the detriment of the radiometric sensitivity. Such a trade-off is discussed in (LeVine 1989) which concludes that the sensitivity obtained with aperture synthesis is proportional to that obtained with a total power radiometer of the same system temperature, bandwidth and integration time. The proportionality constant is the “fill” factor which is the ratio of the effective area of the synthesised antenna to the actual collecting area employed in the array. The reduction in sensitivity that this entails can be restored by a correspondingly increased integration time because the synthetic aperture does not need to scan as it collects energy from many independent, fixed antenna pairs. A Microwave Imaging Radiometer with Aperture Synthesis (MIRAS) in two dimensions for earth observation applications from space based on the VLA configuration of Fig. 2 is presented in Fig. 5 (Tanner et al. 2006). MIRAS consists of a Y-array of microwave receivers located at the points of a hexagonal grid. Each pair of receivers forms a single particular baseline and the correlations of all baselines as a function of their relative position form the complex visibility function. Each sample of the visibility function measures a particular spatial harmonic of the brightness temperature image across the field of view. The brightness temperature can be recovered by an image reconstruction process which is similar to an inverse

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Fig. 5 Two-dimensional Aperture Synthesis Concept: MIRAS has receivers along the main directions of a hexagonal grid (top-left); the correlations between all pairs of receivers (baselines) populate the spatial frequency domain (bottom); the image reconstruction provides the brightness temperature of the Earth, Spain (top-right)

Fourier transform. To save in complexity, the spacing between receivers can be made larger up to the point where the alias free field of view reaches the desired swath extent, as per Fig. 13. An extended alias free field-of-view is limited by the six-curved contours of the earth aliases, as seen in Fig. 5 (top-right). Moreover, the large field of view present in earth observation induces non-negligible effects of individual antenna patterns, obliquity factors and spatial decorrelation effects (Corbella et al. 2004). Experimental work on SMOS has shown that mutual effects of closely spaced antennas, as well as their individual matching, become important to fully understand the measurements. For SMOS, a complete re-formulation of the visibility function, including full antenna characteristics and interactions between receivers, was developed in the Corbella equation, a full derivation of which is contained in the Appendix. The main outcome is that when these effects are taken into account, the measured cross correlation between receiver output signals turns out to be proportional to the inverse transform of the difference between the brightness temperature of the source and the physical temperature of the receivers. This effect,

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which has never been taken into account in previous approaches, has an important impact on inversion techniques and also on instrument specifications and performance.

The Smos System The SMOS System consists of a Low Earth Orbit (LEO) satellite, dedicated ground segment and launcher. A block diagram of the system architecture is shown in Fig. 6. The satellite incorporates the EADS CASA Espacio Payload Module MIRAS and a platform based on the THALES ALENIA Space generic PROTEUS bus (Barre et al.). The ground segment of SMOS is sub-divided into two functional groupings, the Satellite Operations Ground Segment (SOGS) for spacecraft monitoring and control and the Data Processing Ground Segment (DPGS) for scientific data processing. The rocket selected to launch SMOS is the ROCKOT-Breeze KM operated by EUROCKOT from the Plesetsk Cosmodrome in Russia.

Fig. 6 SMOS System Block Diagram showing the space and ground segments and launcher (Barr´e et al. 2008). Satellite operations is via the Satellite Operations Ground Segment (SOGS). Scientific data processing is centred on the Data Processing Ground Segment (DPGS) consisting of the Payload Data Processing Centre (PDPC) and the SMOS Plan Generation Function (SPGF), assisted by Expert Support Laboratories (ESLs). Planning of payload operations is carried out at the Payload Operations and Programming Centre (PLPC)

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Satellite operations are managed by the SOGS located in Toulouse, France. The Telemetry, Tracking and Tele-Command Earth Terminal (TTCET) is an S-Band ground station providing bi-directional telemetry and telecommand links with the satellite using stations in Kiruna (Sweden) in combination with Kourou (French Guiana), Aussaguel (France) or Hartebesthoek (South Africa). The DPGS, located at Villafranca near Madrid in Spain, is responsible for acquisition, processing, archiving and distribution of the scientific and associated auxiliary data generated in-orbit up to geophysical parameter level. The X-Band Acquisition Station (XBAS) acquires the X-Band down-linked data. The SMOS User Service centre provides interfaces and services between the SMOS System and external users. The core of the SMOS system is complemented by external support teams and expert user-groups and centres such as the Expert Support Laboratories (ESL’s). A summary of the key SMOS mission parameters is given in Table 1. Table 1 Key SMOS Mission Parameters Global coverage: Orbit: Altitude: Spatial resolution: Swath width: – Nominal swath: – Narrow swath: Temporal coverage: – Nominal swath: – Narrow swath: Geo-location accuracy: Soil moisture accuracy: Ocean salinity accuracy: SM radiometric sensitivity OS radiometric sensitivity: Measurement accuracy: Nominal lifetime: Extended lifetime:

Latitude 80 S/N Sun-synchronous 755 km 50 km 1050 km 640 km 3 days 7 days 400 m 4% 1.2 psu 3.5 K rms 2.5 K rms 4.1 K rms 3 years 5 years

The Miras Payload MIRAS is the single-instrument payload of SMOS. The mechanical layout of the antenna is Y-shaped with a central support structure (McMullan). With its arms extended, the instrument-weighing 360 kg-has a wingspan of 8 m. Sixty-nine Lightweight Cost Effective (LICEF) receivers distributed uniformly along the three antenna arms and within the centre section constitute the main elements of the 2-D synthetic aperture interferometric design. Three dual LICEF-sets at the centre double as Noise Injection Radiometers (NIR). Each arm is composed of three segments inter-connected by hinges. The arms are folded by the sides of the central structure during launch. Deployment of the arm segments in orbit is spring activated and is controlled by a synchronisation

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Fig. 7 Photograph of the flight-model MIRAS under test in flight configuration showing external thermal control covering (Maxwell chamber at ESTEC, ESA). electromagnetic compatibility

system consisting of steel cables and pulleys. The deployment speed is controlled by a speed regulator based on an escape (clockwork) mechanism. A pyrotechnic hold-down system maintains the arms in stowed configuration during launch. A photograph of the deployed flight payload is provided in Fig. 7. The key element of MIRAS is the LICEF. Figure 8 shows a simplified block diagram of a single receiver and the noise injection network which is used for internal

Fig. 8 Schematic layout of a LICEF receiver with antenna (upper) and Noise Injection Radiometer (lower) both connected to the Noise Distribution Network used for internal calibration (Corbella et al. 2004)

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calibration purposes. The four-way input switch selects one of the two antenna outputs (H or V), uncorrelated noise from a resistor at ambient temperature (U) or correlated noise from the noise distribution network (C). The RF part includes a filter to select the band 1404–1423 MHz within the protected radio astronomy range which the mixer down-converts to 8–27 MHz using a local oscillator common to all receivers. Two output signals, the in-phase (I) and quadrature (Q) components, are produced. One of them is sent to the Power Measurement Subsystem (PMS) consisting of a diode detector and integrator acting as a total power radiometer. Simultaneously, both output signals are clipped using zero-voltage comparators to produce 1-bit digital signals which are sent to a centralized matrix of 1-bit 2-level correlators. Each individual correlator cell is an exclusive NOR gate and the correlation is measured by accumulating its output during an integration time at a rate given by the clock frequency fs = 55.84 MHz. Five different kinds of correlation products are available:

r r r r r

Between I channels of different receivers Between Q and I channels of different receivers Between Q and I channels of the same receivers Between ‘0’ and I or Q channels Between ‘1’ and I or Q channels.

The correlator counts and all PMS outputs constitute the raw data sent to ground. These are used to generate the MIRAS visibility function, the inverse Fourier transform of which gives brightness temperature maps. In the case of the Noise Injection Radiometer (NIR) depicted in Fig. 8, two LICEFs are permanently connected to the antenna, one each to ports H and V. The NIR is used to measure the full polarimetric antenna noise temperature and the amplitude of the noise injected by the noise distribution network. Another important element within the MIRAS payload that supports the LICEF imaging mission is a central computer containing the payload Correlator and Control Unit (CCU) with distributed Control and Monitoring Nodes (CMN), one per antenna segment. MIRAS data containing correlator counts, instrument mode information, PMS values and LICEF temperatures, are formatted into source packets and stored in a (redundant) 20 Gbits Mass Memory Unit (MMU) until they are transmitted to ground by the on-board software. The transmission of the accumulated MMU data is via a dedicated X-Band transponder that is fully controlled by the payload. A distributed Local Oscillator (LO) design is implemented in MIRAS and features separate microwave oscillator modules integrated in each CMN and synchronised to a common reference clock. Data and reference-clock interfaces between the LICEFs, CMNs and CCU are via an optical fibre network immune to electrical interference and purposely developed and qualified for SMOS. In addition to its standard instrument control and data management functions, the CCU software also implements a thermal control system that minimises the temperature gradient across the MIRAS arms. For this purpose, 12 thermal control-loops

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are implemented and operate in parallel to ensure a thermal gradient of less than 1◦ C across any arm segment and 6◦ C maximum gradient between any pair of LICEF receivers in line with the capability of the thermal control concept implemented for MIRAS. The MIRAS on-board software is fully re-programmable from ground.

Miras Calibration Calibration of any earth observation sensor is a key stage which encompasses those tasks which are necessary to convert the raw measurement data into science data. Calibration is an important prerequisite to performance verification (which demonstrates the instrument meets its requirements) and the validation of geophysical parameters produced as higher level products. Equally, characterization activities, mainly performed on-ground before launch, are a prerequisite for the calibration activities. Characterization is the measurement of the typical behaviour of instrument properties, including subsystems, which may affect the accuracy or quality of its response or derived data products. Verification encompasses the testing and analysis necessary to provide confirmation that all instrument requirements have been met. Validation is the process of assessing, by independent means, the quality of the geophysical data products derived from the system outputs (Brown et al.). To compute the calibrated visibility function, the correlator counts are first preprocessed to eliminate comparator offset and quadrature errors. Actual calibration is performed afterwards by injecting correlated and uncorrelated noise at the receivers’ inputs. This is used to estimate the system temperatures needed to de-normalize the visibilities and also the in-phase and quadrature errors in the correlation data due to receiver’s different frequency responses. This procedure cannot deal with antenna imperfections since the noise is injected between the antenna and the receiver input, as indicated in Fig. 8. Therefore antenna pattern errors must be initially characterized on-ground and taken into account in the image reconstruction process (Corbella et al. 2004). Elements of SMOS that require calibration include:

r r r r r

NIR gain and offset PMS gain and offset, due to receiver and baseline amplitude errors Fringe-washing function (FWF), due to receiver amplitude and phase errors Noise injected to receivers during calibration Correlator offsets.

A baseline for an interferometer consists of two receivers and a complex correlator. Each baseline gives the value of one sample of the visibility function. The FWF is a term of the visibility function that accounts for the dissimilarity between the frequency response of receiver front-ends denoted by FWF (0) and the spatial decorrelation effects of off-nadir target-scene pixels due to the differential delay between antenna-array receivers. The effect is a smoothing of the scene in the radial direction at the edge of the image.

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Various types of calibration have been devised: 1. Internal calibration, using the injection of correlated and uncorrelated noise to all receivers, as per Fig. 8 2. External calibration, based on observation of a known target, subdivided as: a. NIR absolute calibration b. Flat Target Transformation (FTT), used to calibrate antenna pattern errors 3. Distributed-noise Calibration Sub-system (CAS) calibration, performed by NIR during internal calibration 4. Correlator calibration, by injecting known signals 5. Local oscillator (LO) phase-tracking error. The FTT involves imaging a uniform distributed target such as cold sky at the galactic poles to retrieve detailed antenna-array errors, which, according to Corbella, are magnified to the maximum extent by the temperature contrast factor between cold sky and the receivers’ physical temperature. It is an ideal calibration for a 2D interferometer and replaces the more classical point-target response technique which is impractical for SMOS (Martin-Neira et al. in press). Two types of internal calibration modes have been defined, the short calibration and the long calibration. The short calibration is used for PMS gain and FWF (0) calibration. Correlated noise at two levels is injected with both levels measured by NIR. Long calibration is used to calibrate PMS gain and offset, FWF (0) and FWF shape using correlated noise and visibility offset using un-correlated noise. The FWF shape is calculated using a 3-delay method based on performing correlations at −T, 0 and +T lags of each baseline of the interferometer when all receiver inputs are connected to a common correlated noise source and by fitting the resulting three points to a sinc function waveform. The LO phase-tracking error between receivers is due to temperature variation of the LO modules in the various CMNs and is calculated from normalised correlations corrected for the 0-1 imbalance and quadrature error using injected correlated noise. For external calibration, it is important that perturbations due to sun, moon and earth are minimised. The on-ground characterization represents the initial data set for the in-flight calibration, sometimes known as pre-calibration. All parameters which are to be measured in-flight should, if possible, be characterized on-ground. Calibrated visibilities will have been verified during on-ground testing. All the instrument elements will have undergone rigorous on-ground testing, in particular the NIRs. The antennas are not included in the internal calibration path and so any error in their characterization can lead to an error in the products produced by the ground processing. Consequently, extremely accurate on- ground pattern characterization is required in order to minimize the effect on the radiometric accuracy and which can then be complemented by in-flight validation. In particular, the back lobes of the antennas cannot be measured for the complete satellite (payload and platform). It is proposed to validate the impact of the in-flight patterns on the FTT against the on-ground characterized patterns (Brown et al.). It is assumed that the

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Table 2 In-orbit Calibration activities [15] Activity

Mode

Description

Objectives

Deep Sky View

External

Long Calibration

Internal

NIR absolute calibration Flat Target Transformation (FTT) Uncorrelated noise injection Correlated noise injection

Internal noise source level Determination of antenna pattern errors Coupling between receivers

Short Calibration

Internal

Correlated noise injection

LO Phase Tracking

Internal

Self-calibration

Internal

Correlated noise injection Normalisation of complex correlations

Amplitude and phase calibration PMS and FWF (0) Amplitude and phase calibration PMS and FWF (0) LO phase error between receivers I/Q correction Quadrature offsets Sampling correction

antenna patterns remain invariant between the on-ground characterizations and inflight. By comparing the in-flight FTT against a simulation using the on-ground antenna patterns, any differences in the visibilities can be determined. As long as these differences are sufficiently small, the assumption remains valid. The activities to be included in the overall calibration scheme are summarized in Table 2. This shows the appropriate activity and instrument mode together with the planned measurements and objectives. The main driver for regular calibration is the sensitivity of various instrument components to thermal variations. Since the thermal environment varies around an orbit, it is necessary to perform the calibration measurements around the complete orbit. Furthermore, the seasonal effect of solar contributions means that the calibration must be repeated regularly. In order to maintain a near-continuous operation of the instrument in measurement mode, the total time allocated to these internal and external calibration operations is limited to 1% of the mission.

Smos Data Processor The purpose of the SMOS data processor is to convert the raw data downloaded from the satellite into calibrated microwave brightness temperature maps at the top of the atmosphere which, using suitable algorithms and ancillary data, can ultimately be used to product useful geophysical measurements such as global soil moisture and ocean salinity data products. To this end, the SMOS Level 1 processor is a vital element in the space segment to ground processor chain which forms the minimum configuration needed to produce meaningful results (Zundo).

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Fig. 9 SMOS Ground Segment Data Processing Sequence

The processing of raw data to brightness temperature is not direct and the raw data needs to undergo a complex sequence of multi-step software processing (summarised in Fig. 9) in order to obtain brightness temperature first (Level 1 processing) and SM and OS later (Level 2 processing). Implementation of this processing is performed in the DPGS by two separate multi-node computer facilities named respectively the Level 1 Processor and the Level 2 Processor. Regarding the Level 1 processing stage, the following three steps have been identified: 1) Level 0 processed to Calibrated Visibilities (Level 1a) 2) Image reconstruction i.e. Calibrated Visibilities to Brightness temperatures (Level 1b) 3) Brightness temperature to geo-located map (Level 1c). Level 2 processing relies on co-located brightness temperature measurements at different angles. In general, LEO satellite measurements taken at different times are never co-located due to satellite motion so at each moment a different patch of surface is sensed making it necessary to interpolate in space with a corresponding loss of accuracy. MIRAS, however, is a synthetic aperture radiometer so each of the sensing beams, which have an approximate width of 2.6 deg., is created mathematically by combining the data measured by each of the array’s receiver-baselines during the process of image reconstruction. The directions in which each beam, at any time, is pointed can therefore be mathematically changed resulting in effect in a virtual “steerable” sensor with a resolution at nadir corresponding to a pixel size of 30 km, the – 3dB beam-width and its intersection with the ground.

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This feature is highly valuable and has been exploited by SMOS in creating a fixed Discrete Global Grid (DGG). The SMOS DGG has been selected in a way as to offer the most uniform sampling of the earth’s surface at a resolution of 15 km, twice the actual value at nadir. The DGG, based on a hexagonal geometry, partitions the Earth’s surface into approximately 2.6 million cells, it does not present any preferential directions or symmetry and is as accurate at middle and high latitudes as it is at the equator. An example of the hexagonal sampling for a SMOS data set is shown in Fig. 10. The value of brightness temperature in an area sensed by MIRAS at each snapshot can then be computed at each DGG point in the instantaneous field-of-view (FOV) and a Level 1c product built consisting of pole-to-pole swaths of fixed pixel records each listing the number of attached measurements (more near the centre, less toward the edges) and their value. No interpolation is needed and each pixel can be processed independently from any other by the Level 2 processors using only data associated with that pixel in Level 1c, producing considerable computational advantage. Since the Level 1c defined in this way consists of a list of pixel and brightness temperature values (although variable in number), it can be easily plotted and accessed by user applications and there is no need to “search” in time for data related to each ground pixel. It is to be noted that L-Band signals undergo rotation while propagating through the atmosphere due to the presence of the ionosphere and the earth’s magnetic field so that the values measured by MIRAS at the Top-Of-Atmosphere (TOA) need to be corrected for on-ground use. This correction depends among others on the varying geophysical input like total electron content (TEC) which is not known exactly at the moment of processing. In order to avoid permanently changing the brightness temperature value with a value that is not accurate, the correction is computed but not applied and stored in the data product independently. In this way the user can easily compute the brightness temperature at the Earth’s surface using the pre-computed correction or apply a better one if known. 41.5 300

41 40.5

250

40 39.5

200 39 38.5 150 38 37.5

Fig. 10 SMOS Level-1c simulated data for the coast of Portugal on DGG

100

37 348

349

350

351

352

353

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Fig. 11 Diagram showing Level 1 signal processing flow

The L1 processor has been built according to the following architecture: a) b) c) d)

data driven processing modularity standardised data product Read/Write standardised numerical libraries.

To favour portability and to ensure that the processor can be used by a wide community of scientific users without platform restrictions, it has been coded in standard C99 and the GNU gcc compiler, available on all platforms. The prototype development version, however, utilises a dual processor 64 bit Linux system, but it has also been exported to MacOS X and can be compiled on most other Unix operating systems. A diagram showing the Level 1 signal processing flow is shown in Fig. 11.

Smos Polar Orbit and Imaging Geometry The SMOS orbit is a frozen, sun-synchronous, low earth orbit with mean local solar time at the ascending node (equatorial crossing) of 06:00 hours (Barre et al.). A sunsynchronous orbit has an orbital plane precession equal to the mean angular rotation

SMOS – Earth’s Water Monitoring Mission –180 –150 –120 –90 90

–60

–30

23 0

30

60

90

120

150

180

60 30 0 –30 –60 –90

Fig. 12 SMOS Earth Coverage for 1 Orbit, ascending from S to N and descending from N to S (Barr´e et al. 2008)

of the earth around the sun. This results in a constant angle between the orbital plane and the mean sun. A dawn-dusk sun-synchronous orbit offers the observation of SM early in the morning for ascending orbits. The frozen orbit gives a quasi-constant geometry between orbits. The mean local solar time at the ascending node of the orbit is maintained to within ±15 minutes. The SMOS reference orbit overflies the same earth location after exactly 149 days or 2144 orbits. SMOS earth coverage for one orbit is illustrated in Fig. 12. This reference orbit has been selected to satisfy the coverage requirements for soil moisture such that the entire earth shall be covered in no longer than 3 days. The nominal swath of SMOS is used to achieve this requirement. Figure 13 illustrates the full Field-of-View (FOV) of SMOS, the two outer vertical lines representing the nominal swath width of about 1000 km. Note that Fig. 13 is directly derived from the hexagonal geometry of the plot of visibilities of Fig. 5.

Fig. 13 SMOS Field of View and its Projection onto the Earth’s Surface (Barr´e et al. 2008)

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For ocean salinity, the entire earth shall be covered in no longer than 7 days. The narrow swath of SMOS is used to satisfy this requirement. In Fig. 13, the two inner vertical lines represent the narrow swath of about 600 km. The nominal measurement mode of MIRAS is characterised by an earth-fixed attitude with a constant forward tilt-angle of 32.5 deg. between the instrument boresight and the local nadir in the flight direction. A yaw-steering angular motion around the local nadir is implemented to compensate for earth rotation effects of about 4 deg. on the ground-trace of the MIRAS images. This measurement-mode attitude and image geometry results in the instrument FOV on ground as illustrated by Fig. 13. The external calibration modes used to calibrate the MIRAS instrument by pointing to known celestial targets, mainly deep space, are implemented by the satellite by executing slew manoeuvres in the orbital plane in two attitude sub-modes:

r r

inertial attitude, where the instrument boresight is controlled and pointed in a constant inertial direction earth-fixed attitude, where the instrument boresight is controlled and pointed in a constant pitch (or tilt) angle defined in the local orbital reference frame.

A particular case of interest is when the satellite is oriented and maintained in the zenith direction allowing the payload to image the deep sky while keeping the earth outside the main lobe of the antenna. Both external calibration modes allow calibration of the instrument against given celestial targets for a duration of up to 30 minutes with a pointing stability of better than 0.3 deg. and a pointing knowledge accuracy of less than 1 deg. The complete duration of the external calibration modes, including slews and returning to nominal measurement attitude, is less than 1 orbital period of 100 minutes. Slews have a typical duration of 24 minutes. In addition to the MIRAS-specific modes described above, the PROTEUS platform features standard attitude modes such as Orbit Correction Manoeuvres (OCM) and Safe Hold Mode (SHM). OCM modes with two or four thrusters (OCM2/OCM-4) are used to maintain the altitude (in-plane manoeuvres) and inclination (out-of-plane manoeuvres) of the SMOS orbit throughout the mission lifetime. Safe Hold Mode (SHM) is initiated to ensure safety and survivability of the satellite in case of anomalies or FDIR (Failure Detection, Isolation and Recovery). In SHM, also entered just after separation from the launcher, the base of the PROTEUS platform is pointed towards the sun ensuring a known and stable thermal environment and for provision of electrical power via optimum solar array orientation to the sun with battery charging. An example of a typical brightness temperature measurement along one swath is presented in Fig. 14. It consists of a series of consecutive snapshots (as per Fig. 5) and for each snapshot, which corresponds to a period of 1.2 s, the MIRAS instrument measures the complex visibility function of the observed scene which is subsequently converted to a calibrated brightness temperature map in the Level 1 processor.

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Fig. 14 SMOS Sea Brightness Temperature Image of Western Europe

Smos Concept Demonstration and Product Validation The launch of a scientific instrument on board a satellite has often, if not always, been accompanied by the parallel development of a representative airborne version. Such a demonstrator is used to understand better the operational, performance and technological limitations of the instrument and its measurement technique in a realistic environment. Very importantly the airborne demonstrator also plays a crucial roll in the development of calibration techniques and retrieval algorithms for the geophysical parameters, the ultimate objective of the satellite mission, before launch (Martin-Neira et al. in press). The complexity of MIRAS and of the SMOS mission called for an airborne demonstrator to be ready well before launch. AMIRAS, or Airborne MIRAS, is one such demonstrator. It consists of a 13-element two-dimensional Y-shaped aperture synthesis radiometer operating at 1400-1427 MHz with dual- and full-polarisation measurement capability. It is functionally and technologically equivalent to SMOS. It has been specifically designed mechanically and thermally to fly on-board a Short SC-7 Skyvan aircraft of the Helsinki University of Technology. The spacing between elements is the same as in SMOS, i.e. 0.875␭. A photograph of the aircraft-mounted instrument is presented in Fig. 15. The maiden flight of AMIRAS took place in June 2006 in the vicinity of Helsinki with the objective to acquire dual-polarisation images of coast lines and islands. An example of the acquired images is presented in Fig. 16. The image processing has focused on Lake Lohja and shows different snapshots (of 1.2 s integration time) of the alias-free field of view as the aircraft enters the lake from the South over a place where there is an island. The range of incidence angles along track varies from 5◦ to 35◦ . The coastlines are clearly imaged and geometry is well preserved. The

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Fig. 15 AMIRAS installed on the Skyvan aircraft with its antenna radome (Mart´ın-Neira et al. 2008)

20-Jun-2006 21:03:42 1000 [K]

800

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0

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Fig. 16 Maiden flight of AMIRAS: Lohja Lake snapshots (Mart´ın-Neira et al. 2008)

SMOS – Earth’s Water Monitoring Mission Fig. 17 Antenna Temperature in H and V along three passes over Lake Lohja (Mart´ın-Neira et al. 2008)

27 Antenna temperature (from PMS)

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brightness temperature of the land and water is as expected with a good contrast between the two. This is shown in Fig. 17 where the antenna temperatures for H and V are seen to consistently change between 260 K over land down to 100 K over water. The second flight signature is time-mirrored with respect to the first and third as it was flown in the opposite direction. These results have validated the calibration techniques and image reconstruction algorithms planned for SMOS. In addition to proof-of-concept using demonstrators pre-launch, campaigns for data product calibration and validation are also initiated. For SMOS, it is estimated that the ultimate calibration after instrument internal calibration can only be obtained using vicarious methods which involve campaigns of ground-based, airborne, and on-orbit sensors making simultaneous radiometric measurements of spatially and spectrally homogeneous earth targets for purposes of validating the on-orbit satellite radiometric measurements. These campaigns provide an effective check of the operation and reliability of the satellite on-board calibration systems and measurements (Bouzinac et al.). The first such calibration method for SMOS uses ocean brightness temperature. Monitoring of the lowest brightness temperatures over ocean is proposed to detect very subtle drifts in measurement. In the case of SMOS, these coldest points will mainly come from cold salty waters. Furthermore, high latitude situations seem favorable with smaller atmosphere influences, lower ionospheric activity and low sensitivity of the brightness temperature to the salinity in cold waters. Ocean parameters driving brightness temperature at L-Band are sea surface salinity, temperature and sea surface roughness related to wind speed. Using suitable data bases, stable (spatially and temporally) areas in terms of salinity and temperature can be isolated. Adding the criterion of wind speed variability makes possible the identification of the most stable ocean areas. A second calibration can be performed over hot and cold continental targets. The cold target proposed is the Dome Concordia of Antarctica. This area is temporally stable in brightness temperature as the annual cycle in physical temperature has

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negligible impact on L-Band emission. A corresponding hot target is the Amazonian Rain Forest. The heavily vegetated parts of the forest provide a viable approximation to a black body target at L-Band because of certain radiative properties in the microwave spectrum which make them especially amenable to use as hot reference targets. The geolocation accuracy can be tested through an analysis of SMOS data maps in the vicinity of well-known features such as isolated islands. Validation is the process of assessing, by independent means, the quality of the data products derived from the system outputs. The scope of the validation is to estimate the SMOS Level 2 product accuracy. SMOS validation has to demonstrate with statistical significance that SMOS-derived products satisfy mission requirements. Data sets for comparison with SMOS must be of a known quality and must extend over significant geographical areas spanning various geophysical conditions and providing sufficient spatial and temporal coverage. The SMOS validation plan is based on using specific targets, realistic synthetic scenes and eventually real data collected during campaigns. Recently completed campaigns have concentrated on the impact of sea-surface state on the quality of the radiometric signal over the ocean. The effect of foam, roughness, temperature, and also the sun and galactic glints need also to be considered. Tower and aircraft observations are still required. Over land, the main objective of the campaigns have been the observation of the influence of various vegetation canopies and their seasonal cycle and the influence of surface roughness, dew and frost with ground based measurements. The analysis of complex surfaces and the issue of mixed pixels need to be addressed with aircraft observations. Future campaigns will concentrate on verifying the stability of emissions from the Antarctic Ice plateau in relation to the area size of a SMOS pixel and to a demonstration of soil moisture and ocean salinity retrievals using demonstrators such as AMIRAS.

Smos Data Utilisation Whilst there are numerous investigations planned serving a quality assessment of the mission itself, the general scientific user community for SMOS data can broadly be classified into the following categories, namely oceanographers, land scientists and hydrologists, and meteorologists. In oceanography (Lagerloef 2000, Koblinsky et al. 2003, Font et al. 2004, 2008), the density of sea water is dependent on its temperature and salinity where the density is the main driving variable in the three-dimensional global ocean circulation. Sea Surface Temperature (SST) has been measured globally for some time by NOAA’s Advanced Very High Resolution Radiometer (AVHRR) instruments, however, salinity values so far are sparse and only local. In October 2007 the international ARGO program (Array of Real-time Geostrophic Observations) achieved a global coverage of profiling floats that deliver three-dimensional distributions of temperature and salinity but with poor horizontal and temporal resolutions. The

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community of oceanographers is therefore looking forward to reliable global data sets of Sea Surface Salinity (SSS) to implement in their Global Ocean Circulation Models to improve the ingestion of the scarce in situ data. Even with the need for severe averaging because of the noisy nature of the signal and interfering effects like sea surface roughness on the one hand, and the weak dependence of the L-Band brightness temperature on salinity on the other, SMOS data are expected to meet the requirements of the GODAE (Global Ocean Data Assimilation Experiment) for 0.1 psu (practical salinity unit) in a 200 × 200 km2 box for 10 days. With this, regional topics like the seasonal variability of fresh water outflow from major rivers like the Amazon should be observable. In land science and hydrology, the L-Band brightness temperature is strongly dependent on the water content to a depth of 3–5 cm in normal soil. From the humidity content of the uppermost centimetres one can derive the water content in the root zone (Kerr et al. 2001, Calvet and Noilhan 2000, Wigneron et al. 1999), and hence infer what is available to vegetation of different types to sustain health and growth. The fluxes of water, in liquid or in gaseous form, between soil, vegetation and the atmosphere is the subject of intense research activities as it determines the coupling between biosphere and atmosphere. Such coupling is modelled in Soil-VegetationAtmosphere Transfer (SVAT) Models, established to better understand the impact of the biosphere on the weather and climate (Entekhabi et al. 1996). Hydrologists are interested in how much water is stored in the soil as this is an important reservoir in the modelling of water distribution between precipitation, evaporation, and runoff into rivers and lakes. Hydrological models help to understand the flow of water under the different conditions and eventually raise warnings for dangers of flood, or, on the contrary, drought (Boulet et al. 2001, Pellenq et al. 2003, Entekhabi et al. 2004, Wagner et al. 2006). Meteorologists are interested in the SMOS data as water vapour is a very active agent in the atmosphere forming clouds, precipitation and hence closing the water cycle. At least over the interiors of continents, water vapour from the soil is the major source available for driving the weather machine. Therefore, institutions like the European Centre for Medium Range Weather Forecasting (ECMWF) or the French national weather service Meteo France will ingest SMOS data. Initially, this will be done off-line in parallel to the existing forecasting service and the forecasting “skills” with and without SMOS data will be compared. If found useful after this trial period, SMOS data could be used operationally, increasing the demand for follow-on missions of a similar kind. Finally, data products at Level 1 (brightness temperature) and Level 2 (soil moisture and ocean salinity) respectively, will be available after launch for scientific investigation by registering through ESA’s “Announcement of Opportunity” website, http://eopi.esa.int/cat1. Of the numerous proposals received by end 2007, an initial group of investigations will deal with the calibration of the instrument and provisions for its long-term stability monitoring. This covers the analysis of data acquired over Dome Concordia in Antarctica where a large and well instrumented homogeneous area is available. In such conditions of very dry snow, the L-Band signal is dominated by deep ice layers which are well decoupled from seasonal variations of temperature and other conditions. Another example is the application

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of the “Ruf Method”, which has been used successfully to monitor the stability of the TOPEX Microwave Radiometer (TMR) instrument but needs tailoring to the specific needs of the SMOS mission (Ruf 2000, 2002). For the future, scientific study and the corresponding social benefits of global earth observation by satellites such as SMOS include:

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Reducing loss of life and property from natural and human-induced disasters Understanding environmental factors affecting human health and well being Improving management of energy resources Understanding, assessing, predicting, mitigating and adapting to climate variability and change Improving water resource management through better understanding of the water cycle Improving weather information, forecasting and warning Improving the management and protection of terrestrial, coastal and marine ecosystems Supporting sustainable agriculture and combating desertification Understanding, monitoring and conserving biodiversity.

Future Trends Even before the launch of SMOS, studies are already underway for an operational follow-on mission (SMOS Ops). The need for a timely start-up of technology development activities and the maintenance of industrial expertise within Europe has been recognized to ensure a smooth transition from the current SMOS mission to an operational scenario if the opportunity arises. Future SMOS-type missions will orbit an enhanced MIRAS instrument on an improved PROTEUS platform to achieve greater radiometric sensitivity, improved revisit time and finer spatial resolution. Improved receiver technologies will be considered along with greater use of digital techniques and a higher level of Monolithic Microwave Integrated Circuit (MMIC) integration. Important system design aspects will also be evaluated following “lessons learned” from SMOS. Finally, the inclusion of additional instruments to enhance the performance of SMOS Ops such as a GNSS (Global Navigation Satellite System) Reflectrometry experiment and a complementary X-Band Full Polarimetric Interferometric Radiometer (FPIR) are under consideration.

Conclusions The SMOS mission is a direct response to the current lack of global observations of soil moisture and ocean salinity. It will carry the first-ever polar-orbiting 2-D interferometric radiometer. The flight model satellite, developed by European space

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industry, is scheduled for launch within the last quarter of 2008 with a planned lifetime of 3 to 5 years. A second generation of SMOS satellites (SMOS Ops) is under study to continue the supply of soil moisture and ocean salinity maps with improvements in pixel resolution and revisit time. Following the successful deployment of SMOS in orbit and a satisfactory demonstration of its capabilities, it is hoped that the SMOS concept and design will form the basis of future soil moisture and ocean salinity missions for earth observation purposes and climate change monitoring and as a major contributor to operational meteorology. Acknowledgments SMOS is the second Earth Explorer Opportunity mission to be developed as part of ESA’s Living Planet Programme. The first call for Earth Explorer Opportunity missions was issued in Summer 1998. In response to the announcement, 27 proposals were received. Out of the 27 proposals, two were selected for implementation following the advice of the Earth Sciences Advisory Committee in late May 1999, namely CROYSAT (a mission to assess the polar ice) and SMOS, a joint ESA/French/Spanish programme sponsored by Dr. Yann Kerr (Lead Investigator/Land), CESBIO, Toulouse, France and Dr. Jordi Font, (Co-Lead Investigator/Ocean), ICMCSIC, Barcelona, Spain (Kerr et al. 1998). Dr. Manuel Martin-Neira has been the chief proponent for the SMOS mission at ESA since mission inception. The SMOS Mission responsibilities are sub-divided as follows:

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The overall mission is under ESA responsibility and executed in cooperation with CNES and CDTI The PROTEUS platform is provided by CNES The payload is procured by ESA Satellite System Engineering and assembly, integration and test (AIT) costs are shared between ESA and CNES Satellite control is provided by CNES based on existing PROTEUS Ground Segment elements Payload scientific data processing is developed under CDTI funding and located and operated by ESA at Villafranca.

The MIRAS instrument was manufactured by a consortium of European space industry under the prime responsibility of EADS CASA Espacio, Spain and integrated and tested at CASA facilities in Madrid and at ESA/ESTEC in the Netherlands. The PROTEUS platform was manufactured by THALES ALENIA Space, France with overall satellite assembly, integration and testing at THALES ALENIA Space in Cannes.

Appendix The Corbella Equation The visibility equation used in radio-astronomy for five decades (Thompson et al., 1988) is not valid for arrays with elements spaced at a fraction of a wavelength –as in MIRAS- because of antenna coupling. Dr. Ignasi Corbella of the Polytechnic University of Catalonia derived the general formulation of an interferometer in (Corbella et al. 2004) of which the traditional visibility equation is the limiting case for large spacings. Moreover, the Corbella equation leads to the Bosma theorem (Bosma, 1967) when an interferometer is enclosed inside a black body.

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The polarimetric formulation of the Corbella equation was developed within a contract for ESA entitled MIRAS Demonstrator Pilot Project 3 and reads as follows:

ξ 2 +η2 ≤1

1 pq Vi j (u, v) = 2k B Bi B j αi α j × p q ⍀i ⍀ j αβ uξ + vη − j 2π(uξ +vη) TB (ξ, η) − δαβ Tr α, p β,q ∗ e r˜i j − Fn,i (ξ, η)Fn, j (ξ, η) dξ dη fo 1 − ξ 2 − η2 (1)

where V is the visibility function, p and q are the polarisations (in the antenna reference frame) that are selected in each of the two receivers i and j involved in a particular baseline, (u,v) the baseline components normalized to the wavelength ␭o = c/fo , fo being the center frequency of the instrument (nominally fo = 1413.5 MHz in MIRAS), (ξ, η) the direction cosines, k B = 1.38 × 10−23 J/K the Boltzmann constant, B the equivalent noise bandwidth of the receiver, α the peak voltage gain of the receiver (including antenna losses) –not to be confused with the polarisation α, p superscript–, ⍀ the solid angle of the corresponding antenna and polarisation, Fn the normalised voltage antenna pattern in α polarisation when p polarisation is seαβ lected, TB the brightness temperature in αβ polarisation, Tr the receiver physical temperature (assumed the same for all receivers) when an isolator is used at the input, tilde-r the fringe-washing function and δαβ the Kronecker delta. Equation (1) has been written using Einstein summation convention, commonly used in tensor algebra. According to this convention, an implicit sum is to be carried out over any repeated indices on the right hand side of an equation which do not appear on the left side. In Equation (1) the α and β indices are repeated on the right and do not appear on the left, and therefore we have to sum over those indices for the values they can take, p and q. The following example illustrates Einstein summation convention, where the same selected polarisation p is assumed in both receivers: α, p β, p∗ αβ Fn,i Fn, j TB − δαβ Tr ≡

p, p p, p∗ pp p, p q, p∗ pq q, p p, p∗ q p q, p q, p∗ qq Fn,i Fn, j TB − Tr + Fn,i Fn, j TB + Fn,i Fn, j TB + Fn,i Fn, j TB − Tr (2) p, p

q, p

where Fn and Fn are the co- and cross-polar normalised voltage antenna patterns respectively, when the p polarisation is selected. The Corbella equation describes fundamentally and fully the behaviour of an aperture synthesis microwave radiometer like MIRAS. It predicts that antenna errors are critical since they scale with the temperature contrast between the brightness αβ temperature of the target TB and the receivers physical temperature Tr . This makes ocean salinity retrieval very challenging unless antenna errors are well controlled because the temperature contrast over the ocean is large.

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Therefore, it seems absolutely necessary to have an in-orbit validation of the onground characterised antenna patterns. Here Corbella’s predictions can be turned into an advantage, as from them it is expected that cold sky views can provide a wealth of information about the antenna patterns and a means of validating them in-flight because of the high target-instrument temperature contrast.

Acronyms CDTI CNES ESA LEO LICEF MIRAS OS SM SMOS

Centre for the Development of Industrial Technology (Spain) Centre National d’Etudes Spatiales (France) European Space Agency Low Earth Orbit Lightweight and Cost Effective Front-end Microwave Imaging Radiometer with Aperture Synthesis Ocean Salinity Soil Moisture Soil Moisture and Ocean Salinity.

References ESA Website, Earth Explorers (SMOS), http://www.esa.int/esaLP/ESA9COPJVSC LPsmos 0.html P. J. Napier, A. R. Thompson, and R. D. Ethers, “The very large array: Design and performance of a modern synthesis radio telescope,” Proc. IEEE, vol. 71, pp. 1295–1320, 1983. C. T. Swift, D. M. LeVine, and C. S. Ruf, “Aperture Synthesis Concepts in Microwave Remote Sensing of the Earth”, IEEE Trans. Microw. Theory Tech., vol. 39, no. 12, December 1991. C. S. Ruf, C. T. Swift, A. B. Tanner, and D. M. Le.Vine, “Interferometric synthetic aperture microwave radiometry for remote sensing of the Earth”, IEEE Trans. Geosci. Remote Sens., vol. 26, no. 5, pp. 597–611, September 1988. D. M. Le Vine, C. T. Swift, and M. Haken, “Development of the synthetic aperture microwave radiometer, ESTAR, “ IEEE Trans. Geosci. Remote Sens., vol. 39, no. 1, pp. 199–202, January 2001. M. Martin-Neira and J. M. Goutoule, “A two-dimensional aperture-synthesis radiometer for soil moisture and ocean salinity observations,” ESA Bull., vol. 92 pp. 95–104, November 1997. A. Camps, “Application of interferometric radiometry to Earth observation,” Ph.D. dissertation, Universitat Politecnica de Catalunya, November 1996. J. D. Kraus, Radio Astronomy, New York: McGraw-Hill, 1966. A. T. Moffett, “Minimum-redundancy linear arrays,” IEEE Trans. Antennas Propag., vol. AP-16, pp. 172–175, 1968. D. M. LeVine, “The Sensitivity of Synthetic Aperture Radiometers for Remote Sensing Applications from Space,” NASA Technical Memorandum 100741, December 1989. A. B. Tanner, B. H. Lambrigsten, S.T. Brown, W. J. Wilson, J. R. Piepmeier, C. S. Ruf and B. Lim, “A Prototype Geostationary Synthetic Thinned Aperture Radiometer (GeoSTAR) for Atmospheric Temperature Sounding,” Presentation at MicroRad 2006. Corbella, I. et al, “The Visibility Function in Interferometric Aperture Synthesis Radiometry”, IEEE Trans. Geosci. Remote Sens., vol. 42, no. 8, August 2004. Barre, H., Duesmann, B. and Kerr, Y., “SMOS: The Mission and the System”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. SMOS Special Issue.

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McMullan, K.D. et al, “SMOS: The Payload”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. SMOS Special Issue. Brown, M., Corbella, I. And Colliander, A., “SMOS Calibration”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. SMOS Special Issue. Corbella, I et al, “MIRAS-SMOS End-to-end Calibration Scheme”, MicroRad (Rome, Italy) – 2004. Martin-Neira, M. et al, “The Flat Target Transformation”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. in press. Martin-Neira, M. et al, “AMIRAS-An Airborne MIRAS Demonstrator”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. in press. Bouzinac, C. et al, “COSMOS: The Campaigns for the SMOS Calibration and Validation”, IEEE Trans. Geosci. Remote Sens., vol. 46, no. 3, March 2008. SMOS Special Issue. G.S.E. Lagerloef, “Recent progress toward satellite measurements of the global sea surface salinity field”, Satellites, Oceanography and Society, D. Halpern, ED., pp. 309–319, 2000. C.J. Koblinsky et al, “Sea surface salinity from space: Science goals and measurement approach”, Radio Sci., vol. 38, 8064, doi: 10.1029/2001RS002584, 2003. J. Font et al, “The determination of surface salinity with the European SMOS space mission”, IEEE Trans. Geosci. Remote Sens., vol 42, pp. 2196–2205, 2004. J. Font, A. Camps and J. Ballabrera-Poy, “Microwave Aperture Synthesis Radiometry: Paving the path for sea surface salinity measurement from space”, Remote Sensing of the European Seas, Dordrecht: Springer Science, 2008. Y.H. Kerr et al, “Soil Moisture Retrieval from Space: The soil Moisture and Ocean Salinity (SMOS) Mission”, IEEE Trans. Geosci. Remote Sens., vol. 39, pp. 1729–1735, 2001. J.C. Calvet, and J. Noilhan, “From near surface to root zone soil moisture using year round data”, J. Hydrometeorol., vol. 1, pp. 393–411, 2000. J.P. Wigneron et al, “Estimating Root Zone soil moisture from surface soil moisture data and soil-vegetation-atmosphere-transfer modelling”, Water Resour. Res., vol. 35, pp. 3735–3745, 1999. D. Entekhabi et al, “Mutual interaction of soil moisture state and atmospheric processes”, J. Hydrol., vol. 184, pp. 3–17, 1996. J. Boulet et al, “Deriving catchment scale water and energy balance parameters using Kalman filtering”, Workshop on Data Assimilation in Hydrology, Wageningen (NL), 2001. J. Pellenq et al, “A disaggregation scheme for soil moisture based on topography and soil depth”, J. Hydrol., vol. 276, pp. 112–127, 2003. D. Entekhabi et al, “The Hydrosphere State (Hydros) Satellite Mission: an Earth system pathfinder for global mapping of soil moisture and land freeze/thaw”, IEEE Trans. Geosci. Remote Sens., vol. 42, pp. 2184–2195, 2004. W. Wagner et al, “Operational Readiness of Microwave Remote Sensing of Soil Moisture for Hydrologic Applications”, Nord. Hydrol., vol.38, no.1, pp. 1–20, 2006. C. F. Ruf, “Detection of calibration drifts in spaceborne microwave radiometers using a vicarious cold reference”, IEEE Trans. Geosci. Remote Sens., vol. 38, pp. 44–52, 2000. C. F. Ruf, “Characterisation and correction of a dript in calibration of the TOPEX microwave radiometer”, IEEE Trans. Geosci. Remote Sens., vol. 40, pp. 509–511, 2002. Kerr, Y. et al, SMOS (MIRAS on RAMSES), Proposal in answer to the Call for Earth Explorer Opportunity Missions (Reference: COP 16), November 30th, 1998.

Bibliography Bosma, H., “On the Theory of Linear Noisy Systems”, PhD dissertation, Eindhoven Technical University, Eindhoven, The Netherlands, January 1967. Chren, W. A., “Walsh Function Generator for the Electronically Scanned Thinned Array Radiometer (ESTAR) Instrument”, NASA Technical Memorandum 4449, 1993.

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Chren, W. A., Zomberg, B. G., “Phase Aligner for the Electronically Scanned Thinned Array Radiometer (ESTAR) Instrument”, NASA Technical Memorandum 4518, 1993. Dudgeon, D. E., Mersereau, R. M., “Multi-dimensional Digital Signal Processing”, Prentice-Hall Inc.1984. Komiyama, K., “Super-Synthesis Radiometer (SSR) for the Remote Sensing of the Earth”, Electrotechnical Laboratory, Tsukuba-shi, Ibaraqui, Japan, June 1990. Lahtinen, J., “Fully Polarimetric Radiometer System for Airborne Remote Sensing”, PhD dissertation, Helsinki University of Technology, Helsinki, November 2003. Laursen, B., “Correlation Radiometry: Polarimetry and Synthetic Aperture Radiometry”, Technical University of Denmark, Lyngby, Denmark, March 1999. LeVine, D. M., Good, J. C., “Aperture Synthesis for Microwave Radiometers in Space”, NASA Technical Memorandum 85033, August 1983. Martin-Neira, M., “Introduction to Two-Dimensional Aperture Synthesis Microwave Radiometry for Earth Observation: Polarimetric Formulation of the Visibility Function”, ESTEC Working Paper No. 2130, October 2001. Ribo, S., “Calibration, Validation and Polarimetry in 2-D Aperture Synthesis: Application to MIRAS”, PhD dissertation, Polytechnic University of Catalonia, Barcelona, Spain, July 2005. Sala A., Radiant Properties of Materials, Polish Scientific Publishers, Warsaw, 1986. Swift, C. T., “ESTAR- The Electronically Scanned Thinned Array Radiometer for Remote Sensing Measurement of Soil Moisture and Ocean Salinity”, NASA Technical Memorandum 4523, July 1993. Tanner, A. B., “Aperture Synthesis for Passive Microwave Remote Sensing: the Electronically Scanned Thinned Array Radiometer”, PhD dissertation, University of Massachusetts at Amherst, USA, February 1990. Thompson, A.R., Moran J.M. and Swenson G.W., Interferometry and Synthesis in Radio Astronomy, J.Wiley & Sons, New York, 1988.

India’s EO Pyramid for Holistic Development V. Jayaraman, Sanjay K. Srivastava and D. Gowrisankar

Abstract The Indian Earth Observations (EO) Programme, encompassing the space, ground and the applications segment, has practically demonstrated various roles that EO could play in catalyzing the developmental process of a nation at various levels. The present in-orbit Indian EO constellation of operational satellites and the planned missions have been a part of India’s EO strategy to have specific thematic missions to meet the land & water resources management, cartography applications, and oceanography & atmospheric science and management requirements besides meeting the needs of the disaster management support programme. A unique institutional framework, namely the National Natural Resources Management System (NNRMS) under the aegis of Planning Commission, Government of India steers the whole EO programme in India. While such a strategy is primarily public goods services oriented, it also creates enough space for a closer cooperation with industry and academia to form a formidable EO triad. The country has demonstrated innovatively how to put to use the EO for addressing the most fundamental national priorities such as food security & poverty alleviation, creation of natural assets and also in building the physical and social infrastructure, providing inputs for weather and climate science as well as in tackling natural disasters in all phases. While addressing such goals, the convergence of EO with geospatial technologies enabled creation of comprehensive spatial data infrastructure as national repository to help identifying environmentally degraded wastelands and reclaiming the culturable wastelands; identifying sources of drinking water especially in hard rock terrain and suitable sites for ground water recharge; taking up watershed development in a holistic manner linking the livelihood of the populace with soil and water conservation; irrigated command area management addressing various issues including salinity and alkalinity; dissemination of agricultural crop acreage and yield estimates; bio-diversity characterization at landscape level; and disaster management such as flood mapping and agricultural drought assessment.

V. Jayaraman (B) Directors, National Remote Sensing Centre (NRSC), Indian Space Research Organization (ISRO) Hyderabad, India e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 2,

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India has successfully demonstrated many such innovative applications, taking the EO based services to ‘the last’ in the social hierarchy, essentially the poor and marginalized. In the recent times, India has envisaged setting up Village Resource Centres in the backward and inaccessible rural areas of the country. In this process, Indian EO programme has aligned itself well with various activities under the Bharat Nirman programme such as National Rural Employment Guarantee Scheme; Accelerated Irrigation Benefit Programme (AIBP); National Urban Renewal Mission (NURM); National Watershed Development Programme for Rainfed Areas (NWDPRA).

Keywords Earth observation · Indian remote sensing satellites · NNRMS · GIS · Natural resources repository · FASAL · ICT- Information & Communication Technology · Institutionalisation · Applications

Introduction India, being largest democracy with more than 1.3 billion population, is one of the fastest growing economies in the world with current annual Gross Domestic Products (GDP) rate of about 8% and has second largest pool of science & technology human resources. But it also has about 25% of poor and about 35% of illiterates among its populace. Even with the opportunities like opened up economy, globalisation, development in Information and Communication Technologies (ICTs), India also has the following threats: growing digital, economical & knowledge divides, marginalisation of poor, etc. Though India is making notable progress in the high technology areas such as Space, Atomic Energy, Information and Bio-technology, challenges like poverty alleviation, ensuring food security through sustainable development are to be addressed. The facts that (i) About 150 Mha of land area (out of 329 Mha) is affected by wind and water erosion; (ii) About 6000 MT of soil is lost through soil erosion by water every year; (iii) Undependable, unevenly timed and distributed rainfall; etc., further stress the importance of sustainable development of natural resources. With development in human resources and technological fields, India has managed to address many of the problems and now transformed to food self-sufficiency from ‘ship-to-mouth’ existence ushered through Green (food grain), White (milk), Yellow (oil seeds) and Pink (medicine) revolutions. Even with a highly pluralistic set-up in terms of language, physiography, etc., India could march towards a connected country through electronic and physical infrastructure. A silent knowledge revolution is also taking place in India in the globalised environment and entrepreneurship culture is getting evolved as signs of developments. The developments in Space technology and associated developments in Earth Observation

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(EO) and satellite communication technology have contributed significantly in these positive transformations.

Background Over the years, the Earth observation from space has become an indispensable tool for providing information on natural resources and environment on various spatial and temporal scales, not possible from other sources of monitoring. The Indian EO programme evolved over the last three decades, using synergistically the space capability provided by both the INSAT and the IRS systems, ably supported by the air-borne systems as well as a planned network of ground systems, is primarily application driven (Kasturirangan, 2003; ISRO, 2007). A unique institutional framework, namely the National Natural Resources Management System (NNRMS) under the aegis of Planning Commission, Government of India addresses the priorities and the gap areas identified by the user agencies, and continually aligns with the state-of-the-art advances made in the EO technologies & techniques and facilitates the adoption and absorption of the advanced products and services into national developmental priorities. The Indian EO programme, thus, envisages its strategy in tune with the overall goals set by the Indian space programme to serve as a strong enabler for social transformation, a catalyst for economic development, a tool for enhancing human resources quality, and a booster to strengthen the national strategic needs. With these objectives, the Indian EO programme has transitioned over the years from the earlier general-purpose application missions to thematic series of satellites, broadly addressing the thematic applications in three streams, viz., (i) RESOURCESAT series of satellites addressing agriculture and integrated land and water resources development and management (including the microwave RISAT missions); (ii) CARTOSAT series of satellites addressing large scale mapping and cadastral applications; and (iii) atmospheric/ocean series of satellites addressing land-atmosphere-ocean interactions and meteorology applications. Disaster management is yet another application, which takes cognizance of the convergent technologies and uses the inputs of satellite communication, satellite remote sensing, and meteorology to enable timely delivery of operational products and services. The diversity of uses of EO demands working together with knowledge partners in the government, industry and academia. With the advances in imaging technologies, and enabling techniques & delivery systems, and the convergence of divergent technologies in the current information era, the recent emphasis of Indian EO programme is towards working with the community from the earlier working for the community concept. Thus, the strategic objectives and the thrust of Indian EO programme are to sustain and strengthen further the already established services towards societal developmental applications, and the programme profile of the coming years will be to further enhance these well-established services to the community in a most effective way.

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Present Constellation of Indian EO Satellites The Indian EO programme evolved from experimental satellites to operational satellites and to present-generation of theme-specific satellites, presently has one of the world’s largest constellations of remote sensing satellites, with current constellation of five satellites in operation (Table 1). A few geostationary satellites in INSAT series (with imagers for coarse resolution & higher repetitivity mapping and also for meteorological applications), and aerial remote sensing capability with highresolution digital camera and laser terrain mapper (for local area detailed surveys) further augment the above. Satellite/aerial remote sensing payloads and the INSAT meteorological payloads together provide an immense imaging capability to the national and global community. Indian EO satellite constellation provides data at various spatial, temporal resolution and is operationally used in India for many applications of direct social relevance such as water resources management (including the ground water), environmental degradation (desertification, deforestation, and soil erosion) and in food security applications (estimation of crop acreage and yield, crop suitability analysis), and in many land and water resources developmental applications (watershed development, command area development). The recently launched RESOURCESAT-1 provides multi-spectral data at 5.8 m (LISS-IV); 23.5 m (LISS-III); & 56 m (AWiFS) spatial resolution with a few days to a few weeks revisiting capability, thus, offering better scope for resources Table 1 Present constellation India’s earth observation satellites Satellite (year)

Sensor

Broad Specification

IRS 1D (1997)

WiFS

188 m spatial resolution, 2 bands, 7 bits radiometry, 810 km swath 23.5 m (70.5 m in SWIR) spatial resolution, 4 bands, 7 bits radiometry, 141 km (148 km in SWIR) swath 5.8 m spatial resolution, 6 bits radiometry, 70 km swath 360 × 236 m spatial resolution; 8 bands; 12 bits radiometry, 1420 km swath 50–150 km spatial resolution; 4 frequencies; 1360 km swath (currently products are not available) 56 m spatial resolution, 4 bands, 10 bits radiometry, 737 km swath 23.5 m spatial resolution, 4 bands, 7 bits radiometry, 141 km swath 5.8 m spatial resolution, 3 bands, 10 bits radiometry, 23 km swath (electronically steerable within 70 km or 70 km PAN in red band) 2.5 m spatial resolution, 10 bits radiometry, 30 km swath, Fore-Aft stereo 0.8 m spatial resolution, 1 band, 10 bit radiometry, 9.6 km swath

LISS III

PAN OCEANSAT-1 (1999)

OCM MSMR

RESOURCESAT–1 (2003)

AWiFS LISS III LISS IV

CARTOSAT-1 (2005)

PAN (Fore & Aft)

CARTOSAT-2 (2007)

PAN

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management. While CARTOSAT-1 is offering high-resolution panchromatic data (2.5 m) in stereo mode, making it possible to generate high resolution Digital Terrain Model (DTM) for various applications, CARTOSAT-2 is an advanced remote sensing satellite with a single panchromatic camera capable of providing scene-specific spot imageries for cartographic applications. The camera is designed to provide imageries with better than one metre spatial resolution and it will have high agility with capability to steer along and across the track. Today, Indian EO data is received by many ground stations around the world on a commercial basis and operationally used in many applications.

India’s EO Applications in tune with National Priorities Earth Observation has proved to be an integral part of natural resources mapping, monitoring & management as well as environmental assessment at global, regional and local levels due to its unique capabilities like synoptic view, multi-resolution & multi-temporal data coverage, etc. EO systems provide data in support of wide range of information needs on Earth parameters required for improved understanding with a multitude of observing platforms and sensors from global to local scale, contributing to research on various Earth System processes (Navalgund, 2006). Beneficiaries are a broad range of user communities including national, regional, and local decision makers; authorities responsible for implementation of international conventions and protocols; business, industry and service sectors (Jayaraman, 2002; NRSA, 2004). Earth observation data in conjunction with field data and other collateral information, appropriately integrated in the Geographical Information System (GIS) have been extensively used to survey and to assess various natural resources like agriculture, forestry, minerals, water, marine resources, etc. In resources survey and management, EO data is operationally used to prepare thematic maps/information on various natural resources like groundwater, wastelands, land-use/land-cover, forests, coastal wetlands, potential fishery zone mapping, environment impact assessment, etc. Many of the above applications are carried out in tune with national priorities set forth by the Government of India and with active involvement from users. The priorities like (i) Ensuring food security and alleviating poverty; (ii) Improving physical and social infrastructure; (iii) Building natural resources assets; (iv) Supporting disaster management; (v) Improving services through weather & climate studies; (vi) Providing health care & education, are adequately addressed by Indian EO programme.

Indian EO Programme Strategy – A Three-Pronged Approach The Indian EO programme is coordinated at national level by the Planning Committee of National Natural Resources Management System (PC-NNRMS) with Secretary level members from various user departments with a mandate “to integrate

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Fig. 1 Indian EO programme addresses National priorities through institutional framework of NNRMS

the data obtained through remote sensing into the existing system with appropriate technical, managerial and organisational linkages”. NNRMS is envisaged to provide necessary guidance/support to the user community at Central, State, Academic as well as Non-Governmental Organisations (NGOs) to take up various projects of direct relevance to national development, by integrating remote sensing & GIS into the conventional practices (Fig. 1). Towards enabling the adoption, adaptation and absorption of the remote sensing & GIS inputs into the operational user projects, Department of space (DOS) as the nodal agency of NNRMS carries out necessary pilot and pre-investment studies besides providing necessary seed money to set-up appropriate infrastructure, and training & education to build-up necessary human resources capacity at the user end, particularly in the States. Furthering the goals of NNRMS and supporting information needs of the nation by establishing a reliable observation/imaging infrastructure are the key drivers for the Indian EO programme. Considering the changing technological and applications dimensions in the country and elsewhere, the NNRMS currently focuses its activities on a 3 pronged strategy with (a) user funded projects meeting the objectives/goals of the user departments/agencies both at the national and regional/local scale; (ii) convergent applications, taking cognizance of the convergence of technologies, integrating satellite communications and remote sensing applications for disaster management and Village Resource Centres (VRC) with the concept of reaching the community directly, and (iii) organising the spatial databases with GIS capabilities and working

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towards a Natural Resources Repository (NRR) with a front-end NNRMS Portal for data and value added services. It is envisaged that such an integrated approach with closer inter-related horizontal and vertical connectivity will provide an organised data and value added services directly for grass-root level development.

User Driven Applications With the above in perspective, NNRMS through its high-power Standing Committees and many user departments/agencies have been carrying out EO operational application projects such as biennial forest cover mapping by the Forest Survey of India; the Potential Fishery Zone mapping by the Department of Ocean Development; Crop Acreage Production Estimation (CAPE)/Forecasting Agricultural Output using Space-borne, Agro-meteorological and Land observations (FASAL) by the Department of Agriculture & Cooperation (Dadhwal et al. 2001: see also the box below); Wasteland mapping by the Ministry of Rural Development, Biodiversity Information system and characterisation by the Department of Bio-Technology (Roy & Behera, 2001); Hydrogeomorphological mapping by the National Drinking Water Mission under the Ministry of Rural Development (NRSA, 2003); Coastal zone mapping and snow & glacier mapping by Ministry of Environment & Forest; Geomorphologcial mapping by Geological Survey of India; Sedimentation and water logging mapping of major reservoirs by Central Water Commission as well as the recent initiative of National Urban Information System by the Ministry of Urban Development to cite only a few examples, not to speak of many other funded/inhouse projects at Centre/State Government level. Besides the above, there have been enhanced activities in meteorology related activities, cartographic applications, particularly after the formation of high-powered Standing Committees in these areas recently.

EO for forecasting Agricultural Output Timely import and export decisions on foodgrains and trading in futures highly depend on accurate forecasts of production and its link with demand. In order to address such issues, a remote sensing based the nationwide mission called pre-harvest Crop Acreage and Production Estimation (CAPE) was launched in late 80s covering the major cereals, pulses and oilseeds. CAPE provides pre-harvest crop statistics with 90/90 accuracy at state level. Later the capability was developed for in-season multiple crop forecasting system, which could provide advance information on the possible shortfalls, if any, in production of major crops. The CAPE experiences were used to develop Forecasting Agricultural Output using Space-borne Agrometeorology and Land-based Observations (FASAL). Integrating econometrics, agrometeorology and land-based observations, FASAL captures even the unforeseen

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minor impacts of unusual high temperature during harvesting period of the crop and revises the forecast accordingly apart from highlighting the areas from where shortfalls are expected. The advantage lies in timelines, as FASAL pre-harvest forecasts come at different stages in a crop season. FASAL, as an integral component of the Ministry of Agriculture, has been helpful in taking decision on import and export related matters in agricultural trade primarily by virtue of providing in-season multiple forecasts. For example, FASAL timely results of last season 2005–06 helped the country to take well informed and timely decision about wheat import of 5.5 Million tones. Further, National Wheat Production for the season 2006–07 using multi date RESOURCESAT AWiFS data up to February 18, 2007 forecast at state-level, the decrease of 3.4 percent in Haryana State; an increase of 10.2 per cent in Bihar State and 18.0 per cent acreage in Rajasthan. It is important to highlight following aspects of FASAL forecasts, which address the criticality of information support for major decisions:

r r r r

In-season information on shortfall and surpluses in agricultural production facilitate the decisions with regards to the trade, procurements, prices etc, The information with regards to the shortfalls and surpluses in agricultural production from a particular region viz., State or districts enable planning movement of goods and services to address them. FASAL forecasts provide an alternate and comprehensive approach for collection of agricultural statistics and thus play supplementary/complementary role to the traditional systems. FASAL acknowledges the need of integrated approach for generating the information, rather than a standalone system.

Natural Resources Repository Indian EO programme recognises the importance of organising the spatial databases with GIS capabilities created through many applications projects into a repository where from the users can easily access the information. Towards this, the Indian EO programme is planning to setup a Natural Resources Repository (NRR) with a front-end NNRMS Portal for data and value added services. As part of the NRR programme, NNRMS has launched an initiative for systematically generating national level databases by conducting (i) periodic Natural Resources Census at 1:250,000 and 1:50,000 scales (ii) Large Scale Mapping applications at 1:10000 scale (iii) Disaster Management System Support integrating remote sensing, GIS and Global Positioning System (GPS) along with Satellite Communication, (iv) enhanced Meteorology & Oceanographic Applications through improved weather and climate models/forecasting using densification of

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EO observation network both onboard and on the ground, and (v) encouraging EO Science applications. The Natural Resources Census (NRC) under the NRR essentially addresses carrying out of periodic inventory of land-use/land cover and highlight the changes. Bringing out Large-Scale Maps at 1:10,000 scale using the high-resolution satellite remote sensing data as well as the aerial photography is another important area identified under the NNRMS. Geo-referencing of cadastral maps (see the box below) with the high resolution satellite imagery and providing GIS query options have opened up many grass-root level applications. Creating a Natural Resources Data Base (NRDB) architecture taking care of the horizontal and vertical networking, data formats and standards under NRR, is yet another activity taken up to reap the full benefits these organised databases at various levels. The NNRMS portal serves as the front-end for the NRR, enabling the users to interact and obtain the needed data for their applications. Pursuing high quality research in meteorology and oceanography using satellite inputs from the Kalpana, INSAT-3D, OCEANSAT-2 and Megha-Tropiques missions to arrive at the tropical specific forecasting models is yet another priority identified under NNRMS. The thrust area of work will be in the retrieval of parameters from satellite data and validation and their use in the application themes of monsoon dynamics, numerical weather prediction, ocean state forecasting, tropical cyclone intensity analysis and tracking. It is expected to carry out these efforts jointly with the knowledge centres across the country focusing on the integration of space observations to achieve breakthrough in forecasting capabilities of weather and climate. Towards densifying the observational network on ground to provide in-situ data for appropriate integration with the weather models, development of Automatic Weather Stations (AWS) and Doppler Weather radars (DWR) has also been taken up with the help of industry, besides launching the meso-scale modelling such as Regional Climate Model (RCM) projects. With these concerted efforts on the satellite and the ground segment as well as the close interactions with the expert centres, it is expected that in the coming years, the weather and climate applications will peak and the country will have a viable meso scale weather forecast system in place.

Cadastral Referenced Database (CRD) Project A cadastre is normally a parcel based and up-to-date land information system containing a record of interests in land (i.e. rights, restrictions and responsibilities). It usually includes a geometric description of land parcels linked to other records describing the nature of the interests, and ownership or control of those interests, and often the value of the parcel and its improvements. In India, the cadastral map for each village is available on larger scales from 1:4000 to 1:10,000. These maps depict the survey boundaries with survey numbers, cultural features like transport network and natural features like drainages etc. The cadastral maps are generally prepared using plane

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table and chain surveying. These maps are drawn to a true area projection or Cassini projection. These maps have to be brought under standard projection/coordinate system for effective linkage of the other maps and action plans generated in the GIS environment. To bring the cadastral maps in the standard projection, these maps have to be georeferenced using high resolution satellite data. One of the ISRO Centres, Regional Remote Sensing Service Centre at Nagpur has developed a methodology for geo-referencing of village (cadastral) maps and successfully implemented in the state of Chhattisgarh. Realising the benefits and utility of the deliverables of this methodology, the DOS has initiated a nationwide project, i.e., generation of digital Cadastral Referenced Database (CRD) project, as one of the main elements of the NNRMS-NRR Programme. The scope of CRD Project includes computerisation of the analog village (cadastral) maps, geo-referencing of these maps using high-resolution satellite data and generation of value added products for micro-level planning requirements. For value addition, the spatial information generated using remote sensing & GIS techniques and socio-economic data collected through ground survey are used The application potentials of CRD Project include:

r r r r r r r

Micro-level and parcel level planning, implementation, monitoring and assessment of the impact of developmental activities Crop identification at parcel level & water levy assessment Crop insurance Land value assessment Efficient settlement of compensation claims Smart cards for farmers to facilitate e-governance and e-banking Land acquisition and rehabilitation in infrastructure projects

Convergent Applications Disaster management truly brings in convergence among remote sensing, satellite meteorology and satellite communication. Efforts have been made to strengthen all these segments to respond to a disaster situation more comprehensively by addressing the different phases of its management cycle (Table 2). As part of NNRMS activities, National Remote Sensing Centre (NRSC) of ISRO has been providing on operational basis timely information to the decision-makers on all major floods and drought events in the country using remote sensing data. One of the significant among them was the periodic monitoring of the artificial Paracheu Lake in the Sutlej river basin outside the country. In case of the recent tsunami event, information using high resolution satellite remote sensing and aerial photography was made available to the Tamil Nadu State Relief Commissioner to enable him to carry out detailed damage assessment and to plan relief and rehabilitation.

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Table 2 EO products for disaster risk reduction Remote sensing & GIS based Deliverables Disaster Theme

Pre-Disaster

During-Disaster

Post-Disaster

Flood

Chronic flood prone areas/flood-plain zoning

Flood inundation map, flood damage assessment

Drought

Integrated land and water management plans (long term plan) Satellite based Monitoring input to forecast models

Drought assessment in spatial format, damage assessment Impact assessment

Detailed damage assessment, flood control works, river bank erosion and damages Drought mitigation measures

Cyclone

Detailed damage assessment

A Decision Support Centre (DSC) for Disaster Management Support has been established recently at NRSC. Using CARTOSAT data extensively, efforts are on to complete a National Database for Emergency Management (NDEM) particularly for disaster-prone districts in the country, not only for vulnerability assessment but also for emergency management covering natural as well as man-made disasters. Towards developing satellite based Virtual Private Network (VPN) for emergency communication, efforts are on to connect all State Emergency Operation Centres (SEOCs) to NRSA, Ministry of Home and other disaster management agencies in the country (Madhavan Nair, 2003; Jayaraman, 2004). Besides the above, based on the experience gained over the years in delivering space-based services in the areas of remote sensing, GIS, GPS, telemedicine and tele-education services through the INSAT and IRS systems, Department of Space (DOS) has initiated a programme to set up Village Resource Centres (VRC) in association with NGOs/Trusts and concerned State/Central agencies (see the box below).

Village Resources Centre (VRC) The driving force of Indian space programme has always been taking the benefits of space technology to the society through technological intervention, community empowerment and delivery mechanism. In this background, VRC are set up across the country with a view to integrate its capabilities in satellite communications and satellite based earth observations to disseminate a variety of services emanating from the space systems and other IT tools to address the changing and critical needs of the rural community. This project addresses a need based single window delivery system for providing services

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in the areas of education, health, nutrition, weather, environment, agriculture and livelihoods to the rural population and to empower them to face the challenges. The VRC is a totally interactive VSAT (Very Small Aperture Terminal) based network. VRCs are being set up in association with grass root level organisations, who have a strong field presence and experience of mobilising communities to act for development with proven track record. The kind of services delivered at the VRCs include tele-education – focusing on vocational training in support of alternate livelihood, supplementary teaching to rural children, non-formal and adult education; tele-healthcare – focusing on preventive and curative healthcare at primary level; information on land and water resources derived from high-resolution IRS images – for better management of the land resources; interactive advisories to villagers – wherein experts at knowledge centers discuss with them on cropping systems, optimization of agricultural inputs (seeds, water, fertilizer, insecticides, pesticides, etc.), producer oriented marketing opportunities, crop insurance, etc; tele-fishery – providing satellite derived information and advisories on Potential Fishing Zones (PFZ) in those VRCs located in coastal tracts; e-Governance – information and guidance to local people on village-oriented governmental schemes on agriculture, poverty alleviation, rural employment, social safety nets and other basic entitlements, animal husbandry and livestock related, micro-finance related, etc; and local weather and agro-meteorology advisory. Over 460 VRCs set up across different regions of the country are already benefiting millions people on a day-to-day basis. The VRCs are also being populated across all the rural/semi-urban tracts in India.

Emerging EO Applications in India: New Paradigms The NNRMS, in more than two decades, has captured the sectoral dynamics of agriculture, rural development, environment and forestry, bio-diversity, water resources, ocean and meteorology sectors, and thus played a role in building rural livelihoods in terms of natural resources management. It has been part and parcel of the country’s endeavor to sustain the productivity gains in irrigated plains and deltas. The real challenge of natural resources management however lies in the rainfed regions with nearly two-thirds of the country’s cultivated land, which lagged far behind due to the historical reasons. It has been equally challenging for EO to deliver products and services, which could be helpful in bringing about rapid and systematic development of these regions to remove mass poverty, reduce regional disparities and increase present and future carrying capacity of the resource base. Some of the notable highlights include how EO inputs are put to use for building the physical and social infrastructures in support of expanding the scope of rural livelihoods, creation of natural assets and preserving their diversity.

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One of the major lessons of natural resources management has been a livelihoods perspective driven by participatory approaches. This requires that natural resources management programmes have clearly spelt out goals and benchmarks in terms of enhanced potential to create livelihoods and income. The learning has also driven EO applications in India from prescriptive to participatory and ‘actionable’ in support of building rural livelihoods. The EO applications graduated from mapping to theme integration, followed by the development of decision support tools and finally leading towards developing the products and services where stakeholders have their own voices and ownership. A case study is analyzed below illustrating the notion of working with community (Ranganath, 2006). “India lives in villages, particularly where there are large tracts of arid and semiarid areas with poor farmers battling with low productivity and sub-standard living conditions. Most of these farmers depend heavily on rainfall for agricultural production and sustenance. An innovative programme of participatory watershed development project (Sujala in Karnataka State in Southern part of India) is implemented in five drought prone districts covering an area of around 0.5 Mha, and benefiting more than 400,000 households. Remote sensing &GIS products have been operationally used in Sujala project from the early stages of watershed prioritization, database and query system development to project action plan generation. The unique feature of the project is the way remote sensing, GIS and the Management Information System (MIS) are dynamically linked with the impact assessment both in terms of development of natural resources as well as socio-economic indicators. The approach of integrating these tools and techniques has been participatory through community themselves. The mid-term assessment on the impact of the Sujala Watershed Development Project carried out has indicated very encouraging trends. The average crop yields have increased by 24 percent over the baseline. The average ground water level has increased by 3 to 5 feet. Shift to agro-forestry and horticulture, and reduction in nonarable lands has also been observed. Annual household income from employment, income generating activities and improvements in agricultural productivity has increased by 30 percent from a baseline. The ‘extra mile’ was prototyping a system ensuring greater transparency, social mobilization, inclusive growth and capacity building at the grassroots”

Yet another trend emerging in EO applications in India is expanding the outreach of EO products down the line to community level. With improvements in spatial resolutions some of the EO products are expanding their outreach to the community level. The spatial maps produced as part of various EO applications have been in the range varying from 1:250,000 to 1: 12,500 scale. The maps cater the needs in response to the Governmental services, for example, inputs to policy, developmental planning, monitoring and evaluation. In order to develop community centric applications from EO data, it is important to integrate these with cadastral maps and census/survey data, associated with the ownership details pertaining to the parcel of land/fields as well as other attribute information. The high-resolution EO products to the tune of 1:4,000 maps, produced by integrating cadastral, census/survey data, serve the purpose of community requirements such as land record with spatial

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attributes, land status and other relational attributes. Over the years, EO applications transitioned from spatial maps to information support and then from spatial information to community centric services. In the recent years, there have been several demonstrative community centric EO applications. A case study to demonstrate the insights is highlighted below: Chhattisgarh State of India has about 16 million rural population living in 16 districts spread over 20308 revenue villages. The poor and marginalized schedule caste and schedule tribe community comprises 44% of the population. They derive livelihood opportunities from natural resources. Hence, database of Natural Resources, Socioeconomy, Infrastructure and other collateral information was prerequisite for proper planning, implementation, impact assessment and livelihood support. To deliver natural resources centric services, Rural development, Revenue and Chhattisgarh Infotech and Biotech Promotional Society (CHiPS), an autonomous organization under the Government of Chhattisgarh, has conceived in a collaborative program ‘Chhattisgarh GIS Project’ with the objectives of generation of natural resources database for the State of Chhattisgarh on 1:50000 scale using IRS LISS-III data, development of spatial database for road network using IRS PAN data and geo-referencing of village (cadastral) maps using high resolution IRS PAN + LISSIII data. The project is funded from the Gram panchayats (village level governance structure) through the ‘Basic Plan’, ‘Jawahar Gram Samrudhi Yojana’ and other resources of panchayat(grassroots agency comprising village level elected representatives), amounting to Rs.10,000 (US $ 240) per village, in two financial years. In fact, US $ 4.8 Million has been paid by community of these villages for geo-spatial services. It is important to highlight that Chhattisgarh GIS project was implemented by involving community agencies, the Panchayats for development of products taking into account their parcel of lands and their attributes (village cadastral etc).

Indian EO Pyramid Essentially, any successful applications of high-technology such as Earth Observation need a scientific foundation. Understanding the basic science issues and carrying out appropriate research & development studies; building that into an applied research on specific areas of EO applications such as natural sciences, environment, ocean and atmosphere; taking up the applied research into pilot demonstration projects; and making it as an operational service are the basic blocks in EO science, technology and applications domain (Fig. 2). For a developing country like India with many challenges, there is a widespread recognition that EO science, technology & applications could provide appropriate solutions, if the technological choices are appropriately made, adopted and absorbed in the quest towards national development. Obviously, the Indian EO pyramid will have to integrate all these elements of science, technology and applications; development of sensors & modeling; deriving actionable products and services in a cost effective and affordable manner; and integrating them in operational applications meeting the end-user requirements. Being targeted towards national development,

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Fig. 2 India’s earth observation Pyramid

the Indian EO programme is largely for providing public good services, which could also provide business opportunities for the industries as well as research opportunities for the academia. To make them work, there is a need for an operational framework, which seamlessly integrates the EO science, technology & applications with the government, industry, and academia. Such a vital linkage between the end-users and the technology providers is enabled by NNRMS. It also enables the reach of the actionable products and services; in a top-down manner for the decision-makers and bottom-up manner for the community. Over the years, this unique concept with the Department of Space providing the essential linkages between various elements involved in the Indian EO Pyramid has enabled the EO services to extend to diversified areas ranging from Cartography to Climate. The concurrent development and deployment of services from state-of-the-art sensors and satellites in both IRS and INSAT series of satellites, and the tapping of the complementary/supplementary data sources from other international EO missions (CEOS, 2005), has further cemented these efforts.

Future EO Strategy The Indian EO programme for the coming years envisages strengthening the current approach of having the three thematic series of satellites in the areas of land and water resources management; cartographic applications; and ocean & atmosphere applications with specific improvements carried out in the missions wherever essential. The strategy is therefore to provide continuity to workhorse missions like the RESOURCESAT/RISAT series by enhancing the capabilities; look for advanced technologies and techniques to exploit and maximize the advances of the other two series of satellites towards meeting the end application requirements of the user community.

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As a part of this strategy, Indian EO programme envisages innovative technology development both for onboard and ground systems for various future satellite missions; develop ‘actionable’ EO products and services and address the issues of access, affordability, timely delivery, user-friendly format and style; develop appropriate strategy for necessary capacity building in the user agencies and the decision making bodies; encourage the government – industry – academia partnership to enable core indigenous competence in critical areas; and position appropriate policies and institutional mechanisms for seamless integration of space technology applications in the national development. In this venture, Indian EO programme looks forward to work with the international space agencies as part of the Global Earth Observation System of Systems (GEOSS) to derive mutual benefits of societal importance.

Indian EO Missions in the Coming Years Periodic inventory of natural resources, generation and updation of large scale maps, disaster monitoring and mitigation, improved weather forecasting at better spatial and temporal scales, ocean state forecasting, facilitating infrastructure development and providing information services at the community level for better management of land and water resources continue to be the thrust areas of applications for the Indian EO programme. In order to address these thrust areas, the following differentiated Indian EO missions with thematic goals set forth in the earlier years, have been planned, viz., operational polar orbiting RESOURCESAT-2, CARTOSAT- 3, OCEANSAT-2, and RISAT-1; experimental polar orbiting SARAL and low-inclination orbiting Megha Tropiques in cooperation with CNES; and with the geo-stationary INSAT systems with Imagers and Sounders (Fig. 3). In addition, it is planned to have microwave remote sensing satellites with mutli-polarisation and multi-mode capabilities in L-, C-, and X- bands. It is also planned to use the complementary and supplementary data from the other international missions to augment the data sources to meet the increasing demands of the user community in the country. Radar Imaging Satellite (RISAT), planned for launch in middle 2009, will have night and day imaging capability as well as imaging under cloudy conditions. RISAT will complement the band of electro-optical sensors onboard Indian remote sensing satellite launched so far. OCEANSAT-2, envisaged for providing continuity to OCEANSAT-1, has been approved by the Government and is planned for launch in middle 2009. It will carry Ocean Colour Monitor, Ku-band Scattterometer and a piggy-back payload, namely, Radio Occultation Sounder for Atmospheric studies developed by Italian Space Agency. The satellite will help in locating potential fishing zones, forecasting sea state and in studies related to coastal zones, climate and weather. The Government has also approved the design and development of RESOURCESAT-2 to provide continuity of services of RESOURCESAT-1, which is planned to be launched by 2009.

India’s EO Pyramid for Holistic Development

Fig. 3 India’s forthcoming EO missions

Fig. 4 Road map of Indian EO programme

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Towards providing improved repetitivity and coverage, particularly for disaster management applications, it is planned to have a Geo-stationary High-Resolution Imager (Geo-HR Imager) to provide multiple acquisition capability. In addition, a constellation of electro-optical and microwave remote sensing satellites in LEO will provide sufficient capability for disaster management applications. In order to derive maximum benefits from the above planned missions, the Indian EO programme is also planning to address corresponding improvements on the ground segment. The emphasis will be towards multi-mission acquisition and processing; effective delivery mechanisms; web-based services; mission oriented outreach activities; development of freeware tools for data products access etc. (Fig. 4).

Conclusion Indian EO programme with a strong application back up mainly driven by nation’s developmental priorities and with well-knit institutional framework, evolves innovative concepts to address need of man and the society. With the emphasis shifting from the earlier paradigm of working for the community to working with the community, Indian EO programme aiming to reach the last mile in social hierarchy, the poor and the marginalized section. In doing so it lays strong foundation in building a prosperous nation at the ‘first mile’, the villages as emphasized by Mahathma Gandhi, “Just as the Universe is contained in the self, so is India contained in the villages”. Further, the vision of Dr Vikram Sarabhai, the father of Indian Space Programme, of building a self-reliant and indigenous space programme for the betterment of quality of life of the common people is getting crystallized as demonstrated by various applications directly reaching the common man. The India’s EO ranging from Cartography to Climate missions, backed by three-pronged strategy for applications and putting them to use down the line with top-down and bottom-up approaches has established its ‘niche’ in terms of having an end-to-end capability. Indian EO programme over the last 20 years, thus preserves the pre-eminent position and global leadership in reaping the benefits of space technology at grass-root level. Considering the fact that India is a fast moving information and knowledge society with increased emphasis on IT driven transparency in e-governing, ISRO has taken quite a lot of initiatives to generate through systematic survey, archive and make available the actionable EO products and services in a public domain for the benefits of entire Indian EO community covering from policy makers to commercial industries. Essentially, while the Indian EO programme aims at the public good service as the primary objective, it provides enough business opportunities for the private industry, and research opportunities for the academia. By integrating space technology benefits in general and EO benefits in particular as part and parcel of various developmental processes, Indian EO programme thrives to be part of every body’s every day’s life.

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Acknowledgments The authors are grateful to Mr Madhavan Nair, Chairman, ISRO/Secretary, Department of Space for having given ideas of developing community centric EO applications and also the opportunity to conceive this manuscript. The authors also thankfully acknowledge contributors from ISRO family and the entire Indian EO community comprising Central/State Government Departments, Academia, Private Entrepreneur, Non-Governmental Organizations, etc, who have been helpful in taking India’s EO to a greater height.

Acronyms AIBP AWiFS AWS CAPE CEOS CRD DOS DSC DTM DWR EO FASAL GDP GEOSS GIS GPS ICT INSAT IRS ISRO LISS NDEM NGO NNRMS NRC NRDB NRR NRSA NURM NWDPRA PAN PFZ RCM RISAT

Accelerated Irrigation Benenfit Programme Advanced Wide Field Sensor Atmospheric Weather System Crop Acreage and Production Estimation Committee of Earth Observation Systems Cadastral Referenced Database Department of Space Decision Support Centre Digital Terrain Model Doppler Weather Radar Earth Observation Forecasting Agricultural Output using Space-borne, Agro-meteorological and Land Observations Gross Domestic Product Global Earth Observation System of Systems Geographical Information System Global Positioning System Information & Communication Technology Indian National Satellite Indian Remote Sensing Satellite Indian Space Research Organisation Linear Imaging Self Scanning Sensor National Database for Emergency Management Non-Government Organisation National Natural Resources Management System Natural Resources Census Natural Resources Data Base Natural Resources Repository National Remote Sensing Agency National Urban Renewal Mission National Watershed Development Programme for Rainfed Areas Panchromatic Potential Fishing Zones Regional Climate Model RADAR Imaging Satellite

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State Emergency Operation Centres Virtual Private Network Village Resources Centre Very Small Aperture Terminal Wide Field Sensor

References CEOS (2005). Earth Observation Handbook, Committee of Earth Observation Satellites (CEOS), CEOS Secretariat, Paris, France from http://www.eohandbook.com). Dadhwal V. K., Singh R. P., Dutta S. & Parihar J. S. (2001). Remote sensing based crop discrimination and area estimation: A review of Indian experience. Tropical Ecoogy, 43, 107–122. ISRO (2007). Annual Report 2006–07. Indian Space Research Organization (ISRO), Department of Space, Government of India, Bangalore, India, from http://www.isro.org/rep2007/Index.htm. Jayaraman, V. (2002). Earth Observations – Indian Perspectives; Paper presented at the ISPRS Commission VII Symposium on Resource and Environmental Monitoring, Hyderabad, India. Jayaraman, V. (2004). EO for Disaster Management: A Perspective based on India’s Experiences, Paper presented at the UNESCAP Group of Expert Meeting on Space Information Products and Services for Disaster Management, November 17–19, 2004, Beijing Normal University, Beijing, China. Kasturirangan, K. (2003). Space for Development: A Vision for India, Paper presented at the 90th Indian Science Congress, January 3–7, 2003, Bangalore, India. Madhavan Nair, G. (2004). Space for Disaster Management: Indian Perspectives, Paper presented at the 55th International Astronautical Congress, October 4–8, 2004, Vancouver, Canada. Navalgund, R. R. (2006). Indian Earth observation system: An overview. Asian Journal of Geoinformatics, 6, 17–25. NRSA (2003). Rajiv Gandhi National Drinking Water Mission (Tech. Rep. No. NRSA/HD/ RGNDWM/TR: 02:2003). National Remote Sensing Agency (NRSA), Department of Space, Hyderabad, India. NRSA (2004). Annual Report 2004–2005. National Remote Sensing Agency (NRSA), Department of Space, Hyderabad, India, from http://www.nrsa.gov.in/Index.htm. Ranganath, B. K. (2006, November). Application of Remote Sensing and GIS to watershed Planning and M&E: The Experience of Karnataka Watershed Development Project. Paper presented at the Workshop on Global Sustainable Development week learning Program, Washington DC, USA. Roy, P. S. & Behera, M. D. (2002). Biodiversity assessment at landscape level. Tropical Ecology, 43 (1), 151–171.

Shifting Paradigms in Water Management Paxina Chileshe

Abstract This chapter analyses the application of space technology in informing water management and explores the use of technology with respect to meeting agriculture and domestic water demands. It distinguish between the space technology, which is applicable in the initial planning stages and informs water management, and the technology installed or utilised in the agriculture and domestic water sectors. It underscores the complementarities of the various types of technology and the levels at which they are applicable to improve water management for the day to day uses of water. It is written from the perspective of a water user and relates the end use of water to contemporary uses of space technology in water management. The chapter is based on water management research conducted in the rural, peri-urban and urban areas of Zambia, Southern Africa. The chapter traces some of the paradigm shifts in water management from the colonial era to the “expert driven” era. The expertise focus thrives in the information age, which places increasing emphasis on the adaptation of management techniques to technology options and their potential contribution. The limited information and technology applied in the colonial era and the national building eras impacted the capacity of water management and the development of the resource. In the era of a liberalised economy and the implied flow of information and transfer of technology, water management is expected to be more proactive and responsive to user demands and more readily informed by the experts. Keywords Agriculture · Domestic water · Paradigm shifts · Technology selection · Water management

Introduction Water management occurs at various levels and involves numerous actors applying a variety of technologies. Each typology of technology contributes to the holistic management of water resources desired for the sustainable use of natural resources. P. Chileshe (B) Copperbelt University, Kitwe, Zambia e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 3,

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This volume focuses on the use of space technology in various fields. In water management, space technology can be used in the location, assessing and monitoring of water resources; contributing to the planning and allocation of the resources. Planning is an initial stage in water resource management, albeit end water use has occurred for centuries before the information required for integrated and coordinated planning could be obtained in the contemporary formats. The availability of information on water quantity, quality and potentially competing uses impacts the decision making processes in water management, which on a day to day basis predominantly occurs at the grassroots level, the end use. This chapter explores the technology choices made at various levels of water resources management. It depicts the levels of decision making starting with the planning stage and ending with end water use. The planning stage, where space technology can be applied as described in this chapter is often at a national level where information on water quantity and quality is often targeted. In Integrated Water Resources Management (IWRM) the planning stage is shifted to the basin level. Space technologies such as GIS and remote sensing that are currently used in the planning stages of water resources management at basin level can beneficially feed into the grassroots management model of the water resources. The models applied in water management have undergone progressive changes whether traditional or non traditional. These changes are informed by experience and lessons learnt from particular occurrences such as extreme weather events, increases in demand for water resources as a result of population increase or industrial activity and water supply challenges resulting from variability in weather and its impact on water resources. The changes in non traditional water management are impacted by the available technology and information at a particular time. Traditional water management adjusts in a more autonomous manner, which is often slower than non traditional management. In this chapter the focus is thus on non traditional water management, which eventually influences the traditional water management in the long term. It focuses on the grass root level management and the technology choices made at these levels. The sectors selected in this chapter are domestic water management and agricultural water management. In the context of African water management, these sectors illustrate some of the paradigm shifts in water management and the role of technology. They also illustrate some of the unexpected outcomes of the technology selected in the domestic water sector and small scale agriculture irrigation; particularly in the community water supply and irrigation projects undertaken as intervention in Africa.

Space Technology in Water Management Information on the quantity, availability and quality of water resources is an integral part of the resources management and the decision making processes. Space technology such as remote sensing, GIS mapping, and space borne platforms can be

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used to quantify water resources and also map trends in the resources with respect to time and climatic changes. These techniques can be used to map recharge and discharge areas in semi-arid regions. Their application informs decision making and policies in water management as illustrated by the results from the European Space Agency (ESA) TIGER Initiative launched in 2002 (http://www.esa.int [Accessed on 25th May 2008]). The initiative is aimed at assisting African countries overcome the problems faced in the collection, analysis and dissemination of water related geographic information by exploiting the advantages of the Earth Observation technology. The expected results include the support of improved governance and decision making, specifically the timely and accurate information for Integrated Water Resources Management (IWRM); a contribution to enhancing the institutional, human and technical capacity and fostering sustainability. The initiative has produced a variety of environmental maps to provide local policy makers with the necessary tools for effective water resource management in countries such as Zambia, South Africa, Algeria, libya and Tunisia. The maps produced analyse the soil moisture content, existing surface and ground water resources, suitable dam locations and land cover. The data is obtained from the multispectral MERIS sensor on ESA’s Envisat satellite. Access to the maps allows the authorities to calculate the risk of flooding and erosion and also to strengthen integrated water management practice. The authorities are also able to analyse the impact of urban expansion and other factors such as climate change on the water resources. The information provided by initiatives such as the ESA TIGER generate valuable information to shape water management practices. The capacity building accompanying them requires strengthening to ensure sustainability of the progress made and also maintenance and ownership of the information systems created. In other studies conducted on the potential use of space technology in water management Leblanc et al. elaborate on the calibration of the ground water model with remote sensing and GIS, which improves knowledge of the location and intensity of the recharge and discharge processes (Leblanc et al. in Serrat, E (ed), 2003). Such knowledge would enable an assessment of the volumes of water available in particular locations and the processes influencing them hence enhancing planning and allocation of resources based on availability. Remote sensing and GIS data has also been applied to locate ground water dependant ecosystems. The combined technology is used to produce a ground water dependant ecosystem probability rating map for the Sandveld region in Western Cape, South Africa (M¨unch and Conrad 2007). The maps developed contribute to maintaining the ecosystems and nature reserve. Degradation caused by the over abstraction of water resources can also be avoided using the maps thus moving a step towards the equity and sustainability of the nature reserve as envisaged in the South African Water Policy. Jayaraman et al. give an account of space borne platforms utilized in efficient disaster management illustrating the use of communication satellites to aid disaster warning, relief mobilisation and telemedicinal support. Earth observation satellites provide basic support in pre-disaster preparedness programmes, in-disaster response and monitoring activities, and post-disaster reconstruction (Jayaraman et al., 1997). The reportedly increased frequency and intensity of natural disasters compound the

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value added by the use of space technology in natural resources management. The support provided through the technology potentially minimises the long term adverse impact of the disasters particularly on human lives. Other than in disaster warning, on the African continent space technology is applied to monitor water bodies such as Lake Chad, which has reportedly progressively reduced in spatial coverage due to increasing drought, climatic change conditions, and human factors such as the lack of regulation and massive bad irrigation practices (Leblanc et al. in Serrat, E (ed), 2006). The study on Lake Chad utilised Shuttle Radar Topographic Mission (SRTM) data to supplement the existing topographic data. The SRTM data produces sharper images of the regional topography thus providing some insight into the debates about the nature and extent of late quartenary Lake Chad. The data collected reveals ancient drainage networks, improves the knowledge of climate change and contributes to the reconstruction of quaternary paleohydrology in tropical Africa (Leblanc et al., 2003). The techniques applied in the monitoring exercise can be adopted in other locations where water bodies have excessive and often competing demands and assist in predictions of future needs and location of alternative water resources. The historic perspective also assists the planning for future needs and the identification of adaptation measures to climate change. On a global scale, satellite radar altimetry has been a successful technique for monitoring the variation in the elevation of continental surface water, such as inland seas, lakes, rivers, and more recently wetland zones. Using this technology the surface water level is measured periodically depending on the orbit cycle of the satellite (Cr´etaux and Birkett, 2006). These cases illustrate the application and technological progressive use of space technology such as GIS, remote sensing, SRTM and earth observation satellites in the management of water resources. The technology is applied to obtain information and analyse it to contribute to the holistic management of the water resources. The technology is also applied in monitoring and mitigation of natural disasters. The use of these techniques on the African continent and the effective transfer of the knowledge bases provide opportunities for sustainable development, equitable allocation of water resources, mitigation strategies for climate change and also saving the lives and possessions or personal investments of the African populations (Hodge 2006). The scientific basis of the technology makes it more adaptable to quantitative forms of water resources management such as predictability of the natural disasters and the quantification of the natural resources. Quantification is an initial step of management and planning. On the supply side, quantification of resources assists the determination of whether water is scarce or plentiful in a particular location. Scarcity occurs in different orders. First order scarcity is the scarcity of the water resources (Ohlsson 2000). Second order scarcity refers to the social resources required to successfully adapt to first order scarcity. It is the lack of economic and social adaptive capacity to manage a resource successfully according to the actors’ definition of success. The second order nature revolves around society and its responses to scarcity. Perceptions of scarcity differ in different societies, locations and regions. The work done by Mehta (2001) in Kutch, India is only one example of the different social constructs of scarcity. She builds on the work done by Leach and Mearns (1996) about environmental narratives and

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concludes that “while water scarcity is a “real” enough problem with biophysical manifestations, it can also be manufactured in a way to serve the interests of the powerful actors like bureaucrats, politicians and farmers”. The quantification of water resources and the consequential attempts to match the supply and demand of the resources implies a minimum amount of water is required on a national scale, below which the water is thought to be scarce.

Water Scarcity Scarcity indicates limitations in supply or an imbalance in supply and demand for water resources. It produces opportunities for cooperation or competition and sometimes conflict over the water resources. A significant number of studies focus on the scarcity of water resources and methods of addressing them (Turton et al., 2001; Feitelson and Chenoweth, 2002). To assess the second order scarcity the demand side is explored primarily through the various water uses in a particular location and actors involved in the control, allocation and use of the resources. Technology can be used to allocate water for various demands and also to make more efficient and effective use of the water resources. Water uses are often classified as primary secondary and tertiary in some countries. Primary water use includes domestic water and water for livestock while the secondary water uses are commercial uses and tertiary are those including energy demands where alternatives may exist. Technology can thus be applied on both the supply and demand side of water resources management. On the supply side it can be used to locate, measure and monitor water resources. While on the demand side it can be applied to reduce usage and increase efficiency and effective use. It thus presents opportunities for addressing water scarcity. Falkenmark defined water scarcity as “occurring when the annual per capita water supply of a country is less than 1700 m3 . Below 1000 m3 per capita a country would be facing water scarcity where water shortages threaten economic development and human health and well-being”, see Fig. 1. Khroda uses Falkenmark’s water scarcity quantification to define a water stressed system as “one in which degradation is taking place or where there is a threat to its capacity to continue providing adequate water supply in quantity and quality to households, communities and nations” (Khroda 1996). He goes on to note that water as a resource must be culturally defined because water by itself is not productive: its use requires some minimum level of social infrastructure for it to be productive. Winpenny defines water scarcity as the imbalance of supply and demand under the prevailing institutional arrangement and/or prices; an excess of demand over available supply; a high rate of utilisation compared to available supply, especially if remaining supply potentials are difficult or costly to tap (Winpenny 1994). She goes further to state that water scarcity is a relative concept and difficult to capture in single indices. She refers to water stress as the symptoms of water scarcity e.g. growing conflict between users and competition for water, declining standards of reliability and service, harvest failures and food insecurity. These definitions illustrate the shift from

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The concept of Water Stress: available on World Water Council Website http:// www.worldwatercouncil.org Fig. 1 Water stressed regions Source: WaterGap 2.0 – 1999

a purely quantified assessment of water resources to a more qualitative assessment of the responses to the results of quantification. Some authors have criticised the quantitative focus of Falkenmark’s definitions though others conclude that quantitative definitions can be used as a starting point and are useful in some cases especially in drawing attention to possible crises (Winpenny 1994). Given some of the predictions on levels of scarcity and the populations expected to be living in water stressed areas by 2025 the second order scarcity will require concerted regional efforts to address particularly on the African continent. Scarcity is a localised and sometimes seasonal phenomenon. Actors adapt to its long term occurrence or cope with its short term occurrence. The long term and short term nature of water resources scarcity are linked to increasing demand patterns and also changes in the supply of the resources. The latter is further linked to human settlement, resource use and climatic changes. Climate change is no longer a disputed occurrence, though its actual causes may still be. Increasingly there is an international consensus on the need for mitigation and adaptation strategies. Space technology can be applied to map trends in climate and also inform the mitigation and adaptation strategies. Other phenomenon that impact climate change such as desertification and deforestation can also be mapped using remote sensing and GIS.

Climate Change Impacts Climate change represents one of the concerns with increasing centrality in global discourse and particularly the African continent due to its effects on natural resources, health, and general well being of the populations and on development. In

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Africa the concern is paramount because the socio-economic development depends on the preservation and use of natural resources. Thus Climate Change adaptation should ideally be integrated within sustainable development policies, strategies and national planning given the needs of the African countries. Africa is viewed as a vulnerable continent where adaptation mechanisms and mitigation measures must be incorporated into socio-economic development making the process more sustainable. This however has implications on the type of fuels used and in essence the technology adopted in the development process. At the 2007 UNFCCC Climate Change Conference, COP 13, one of the main items for discussion on the agenda was the transfer of technology between the various parties and particularly the African continent. Climate change affects the quantity and quality of water resources. In some locations the quantity increases at particular times of the year while in others it reduces. Extreme weather events also impact the timing of replenishment of ground water and surface water resources. Thus with climate change water management and the use of the resources have to be adapted to suit the flow of the resources. In the areas where water resources are reduced or the quality of water is adversely affected and thus demand increases for a limited amount of resources of suitable quality, addressing second order scarcity becomes increasingly important.

Integrated Water Resource Management A proposed solution to addressing second order scarcity is the Integrated Water Resources Management (IWRM), which is a participatory planning and implementation process that brings actors together. It utilizes an intersectoral approach to decision-making, where authority for managing water resources is employed responsibly and actors have a share in the process. According to the Global Water Partnership IWRM Toolbox the strategic objectives are efficiency, equity and environmental sustainability. Some of the principal components of IWRM include:

r r r r r

managing water resources at the basin or watershed scale optimizing supply by conducting assessments of surface and groundwater supplies and analyzing water balances managing demand by adopting cost recovery policies providing equitable access to water resources through participatory and transparent governance and management establishing improved and integrated policy, regulatory, and institutional frameworks such as the polluter-pays principle and market-based regulatory mechanisms.

IWRM is thus a holistic approach to water resources management promoting dialogue among the actors and also multi and cross disciplinary. It requires both human and capital resources, which are often limited in the African context.

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African Water Management Challenges The role of natural resources in the development of Africa as a continent increases the need to build capacity to realise the potential of these resources. The challenges of increasing the contribution of water resources development and use include; increasing levels of access to safe water, increasing levels of beneficial use of water resource and the amounts under managed conditions and increasing per capita water storage capacity. These factors would also result in water security for social and economic development and reduced vulnerability to water related disasters. Africa has a significant number of shared river basins, which require regional cooperation to ensure equitable and sustainable use and an increase in the effectiveness of water governance (African Development Bank 2006). Space technology use in the quantification of the resources and mapping the changes in the regional basin coverage enables regional cooperation in the management of the water resources. The challenges in managing and optimising the development of African water resources are compounded by the depletion and contamination of water resources in some locations as a result of human settlement and exploitation of the water resources. Other environmental factors such as climate change, desertification, flooding and erosion also adversely impact the quality and quantity of water resources. The information and knowledge base in most countries is often inadequate and the monitoring and evaluation system unreliable for meaningful use in strategic planning and development (African Development Bank 2006). Information and knowledge provide opportunities for effective planning and informed choices in development. Technology in general plays a crucial role in information and knowledge creation and development as well as tackling the supply and demand sides of water uses. It enables the quantification of water resources, the enhancement to bring about water use in terms of availability and a suitable quality. However, the selection and use of technology enabling water use results in structures of domination and in some cases supports particular actors and their knowledge frameworks over others (Jabri 1996; Latour 1997). In this respect we have to cautiously apply technology and be aware of its ability to create and cement particular structures that may disadvantage some actors. In the following sections the chapter explores the use of technology in the management of agricultural and domestic water.

Paradigm Shifts in Water Management In most southern African countries, particularly those colonised by the British, the colonial administration developed water resources strategically. In Zambia the administration focused on the development of water resources in the belt where commercial farmers were located, along the initial line of rail from Livingstone to the Copperbelt (Greenwood and Howell in Tordoff 1980). The farmers were predominantly settlers attracted by the availability of water resources (Hall 1965). The

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colonial government obliged them to obtain water rights for abstraction of surface waters while the ground water was classified as a private resource based on the investment necessary before its use. The approach in water management was mainly autonomous and the responsibility lay with the end user. The colonial government provided a suitable investment environment for farmers to purchase the technology to abstract water and bring it to the surface. It also usually had a policy of free hold on the land with the aim of creating an enabling investment environment (Tordoff (ed) 1974). Supply of both surface and groundwater resources exceeded the contemporary demand for water in these locations. The opening of the mining industry particularly on the Copperbelt Province, increased the demand and market for the commercial crops and domestic water. The mining industry attracted workers from various countries within Southern Africa. The colonial government entrusted the mining firms with the responsibility of supplying domestic water to the work force it attracted (Tait 1997). Thus the technical and financial capacity of the mining firms was applied in developing the infrastructure to supply domestic water in the urban centres. The Local Authorities in these and other urban centres also provided services that included water supply to the urban residents that were not employed by the mining sector. The mining companies and other parastatals provided a form of private sector participation in domestic water supply and management. However, the participation could only be legitimised in particular townships where their employees resided (Tait 1997; Tordoff (ed) 1980). In the colonial paradigm the state developed water resources for commercial agriculture and urban areas by providing the right investment opportunities and issuing directives for the private sector. The commercial white settler farmers and the settlers in the urban locations with mining activity were the main beneficiaries of the water resource development policies in this era. The state encouraged private property regimes through freehold lease land policies and maintained the traditional land ownership in areas outside the line of rail. Thus the vast rural areas where the indigenous populations were predominately located were ignored in the development of infrastructure for domestic and agricultural water supply. Technology use in water management was limited to the urban areas and commercial farming areas. Space technology was not utilised in the decision making processes of water management at this time possibly due to contemporary unavailability of the technology and the abundance of the resources compared to the demand.

State Centred – National Building Era The colonial era was often followed by a time of national building, which in some countries such as Zambia resulted in a one party state. The independent state continued to use the resources from the parastatals, such as the mining firms, to develop the water supply system in most urban areas. It complemented this by providing public funds to install infrastructure in some previously rural areas and subsidise

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the cost for the consumer in non parastatal townships. It left the rural areas to the autonomous development of water resources with limited central planning influence. The end user in rural areas sourced their own domestic water and water for other livelihood activities such as watering livestock and gardening. The separation of the rural and urban approaches in water management and supply was maintained even with the growth of the peri-urban areas. These areas were usually physically located around the urban centres (Tait 1997). The high population density in these areas and lack of sufficient water supply infrastructure and sanitation services resulted in increasing incidences of water borne diseases. The standard of water supply in peri-urban areas was officially modelled on the low cost urban areas thus communal water taps were installed using the state intervention through NGO and donor funded projects. The policy of state intervention through projects was initially aimed at rural areas that are often disadvantaged in the allocation of the allegedly limited public funds (Government of the Republic of Zambia 1994). The sectors historically prioritised by the government for allocation of public funds are undoubtedly linked to the economic and social policies and the political philosophy. During the second republic, from the early 1970s to 1991, the Zambian amalgamated ideology of Humanism mixed components of socialism, capitalism and populism (Tordoff (ed) 1980; Fortman de Gaay 1969). It induced particular expectations from the citizens guided by its man centred approach. It implied the use of Zambia’s resources for the benefit of the people including the resources from the parastatals to provide subsidised services. Its socialist orientation resulted in most residents receiving these services without paying for them or at least paying far below the cost of supply. The parastatals that provided the services usually deducted the subsidised cost from employee salaries. The employers saw the subsidised services as a community service for the benefit of their workers and their families. In the one party state paradigm the state continued to make use of the private sector technical capabilities but also increased the areas with Local Authority managed water supply systems. It expanded the beneficiaries of the water resources development to include the indigenous populations in some rural areas and the growing peri-urban areas. It attempted to bring more land under its control by converting some of the traditional land into state land and limiting the lease hold to 99 years. It also attempted to strike a balance between communal property and private property regimes through the settlement programmes, self help schemes and commercial farming blocks. The use of technology was rolled out to include more areas during the national building era in an effort to increase equality in the living conditions of the citizens. Similar to the colonial era, the use of space technology in this period was also non existent probably due to the same reasons for its non use in the colonial era.

Liberalised Economy – Technocratic and Expert Era The Zambian government liberalised the economy soon after the multiparty elections in 1991. The process involved the privatisation of most parastatals and im-

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plementation of neoliberal fiscal monetary policies. In the liberalised economy International Financial Institutions and donor agencies encourage the private sector to participate in service provision. To legitimise participation they argue that the private sector is able to provide efficient services compared to the public sector (Taylor 2004; Marvin and Laurie 1999). The private sector participation allegedly reduces the burden on the government and frees up resources by removing subsidies to local populations. However, this forces them to pay for some services and supposedly allows more expenditure for national obligations like health, education and bilateral debt repayments. In the liberal economy paradigm the state attempts to withdraw from providing services through the Local Authorities aiming to commercialise the urban water sector supply. It encourages the private sector to participate in providing services with the objective of improving the standards. It continues to draw up separate strategies for water resource development in the rural and urban areas, clearly emphasising the former depends on NGO and donor funding while the latter depends on commercial models. The strategies imply the urban populations benefit from public funds while the rural and peri-urban populations wait for external intervention. Technology promotion is embedded in private sector participation in the water sector and thus water management at the grass roots level. It is also embedded in the recognition of water as a scarce and economic good following the promulgation of the Dublin principles. The principles form the basis of the National Water policies and strategies to develop water resources for various uses in urban, peri-urban and rural areas. The use of space technology in the quantification of Zambian water resources can be traced to 1991, when a national water resources master plan was drawn up. The plan required the quantification of the resources and accounting of the volumes utilised for various uses. Since 1992 various studies using GIS technology have been undertaken in various parts of Zambia. The exercises attempt to create a database of water quantity and quality and locate water sources in various areas thus potentially informing the decision making in allocation and development of water resources. The GIS generated maps of water resources can also be potentially used in collaboration with the tribal maps of Zambia to map the typology of water management and decision making. The tribal areas often apply customary laws and related decision making procedures while the areas in the urban setting apply common law. The maps can be applied as tools in grass roots water resource management that take into account the local intricacies in peri-urban and rural areas.

Agriculture, Livestock, Industry In many African countries the rural populations make up the majority of the population. These areas are dependent on agriculture as one of the main economic activities. As such in most African countries the government through its agencies or NGOs often sets up irrigation schemes for small scale farmers. Agriculture coincidentally uses the most amounts of water on a national scale compared to other uses

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such as industry and domestic uses. In Zambia these irrigation schemes are initially proposed as resettlement areas for interested and willing citizens. The schemes are part of the self help and self sufficiency agricultural development policy to keep some residents in the rural areas and control the migration from rural to urban areas, while simultaneously encouraging retired urban workers to return to the rural areas (Bates 1976). Since the 1990s the model of self help has been extended to include poverty alleviation and thus income generation for the rural residents (Schacter 2000). The schemes are also allegedly demand driven with the local users proposing the installation of infrastructure through their application for community projects to NGOs and the relevant government agency. The various actors apply specific knowledge and theoretical frameworks (Mosse 2003, Long 2001). The implementers of the schemes require a consensus from the community, specify the technology installed, layout the membership of the scheme and shape the expectations of the project; Figs. 2 and 3 illustrate some of the technology applied. The applied frameworks result in specific responses from the local actors who redeploy them for their own uses. The redeployment manifests through the more popular and vocal members of society furthering their interests using the interactions with the project teams and other local actors. It often entails divergent results from those expected by the implementation teams and policy makers. It stems from the different expectations and objectives from the projects between the local actors and the project implementers that are often external actors. The knowledge frameworks applied in the selection of technology cater to the competencies or speciality of the project implementer. The technology itself is embedded in the implicit choices made by the project teams (Olivier de Sardan 2005, Latour 1997). Its implicit nature acknowledges that often the technology choices are only seen as non optimal after installation. Factors that may have been overlooked, such as limited long term maintenance capabilities and hence the project becoming unsustainable, are eventually revealed (Garb 2004). The selection process of the technology rarely involves the local actors indicating the power relations that imply the project teams have the knowledge and expertise to solve the problems of the local populations. Any consultation ends with the final decision being based on arguments

Fig. 2 Treadle pump in a small scale farm

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Fig. 3 Primary and Secondary Irrigation canals

of costs and models that have been used in other locations. A variety of other factors determine the decision making in community irrigation schemes (Mabry (ed) 1996). A few NGOs working with communities attempt to use traditional technologies, which often cost less and are easier to maintain. Commercial farmers often operate individually, obtaining water abstraction licences from the national water development board or have local water boards that regulate the use of common water bodies such as aquifers. Technological choices are individually made based on use of the water resources, source of water and the financial resources available.

Domestic Water Supply The choice of technology in the urban areas is embedded in the actor knowledge frameworks of urban living standards. These frameworks imply independence, individuality and symbolise the affluence of the location, which is linked to the willingness and ability to pay for the service and the standard of service expected. However, these symbols are affected by the capacity to operate and maintain the technology whether by the community or a water supplier. The technology installed also impacts the social organisation within a community. It possesses underlying responsibility for the end user as a community or an individual. Thus it supports a particular structure of social organisation within the communities, independence and individuality in urban areas and communal relations in peri-urban and rural areas. The local social organisation allows the modes of resource appropriation to be analysed (Trottier 1999). Each point has regulations for access affected by the theoretical frameworks of the actors installing the technology emphasising the potential benefits of analysing local access modalities and their transfer; Figs. 4 and 5 show some of the technology and infrastructure installed. The individual taps are mostly found in the high and medium cost urban residential centres connected to the main reticulation system that is managed by the Local Authority or a Commercial Utility. The individual connection usually restricts the

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Fig. 4 Communal Tap in a Peri-Urban Area

use of a particular tap to the household where it is located. The occupant pays the bill and monitors the use of their tap. The supply is usually constant at the individual taps and the quality of water meets the standard set by the responsible institution at national level; it is usually supplied by trained personnel at established institutions. The type of water source is related to the location and the end uses. It is also related to technological suitability; most rural residents prefer boreholes and protected wells as these are easier to maintain and are considered dependable sources of clean water. The selection of technology in domestic water projects resembles the procedure followed in irrigation projects. The decision is more biased towards technical considerations and long term mechanical durability. The technical considerations sometimes result in the installation of technology that cannot be maintained by the local actors without assistance from external actors such as urban water suppliers. Hence, the selection of technology supports a structure of domination that empowers the urban water supplier with local actors depending on them, effectively making the local actors more vulnerable to decisions made by the water supplier in the operation of the water scheme. The technology installed in water supply includes individual taps, communal taps, boreholes and protected wells.

Fig. 5 Borehole with a windlass in a rural area

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Communal taps are installed in high density, low cost urban, areas where arguably the individual connections were deemed unfeasible or costly. The criterion for feasibility and affordability is based on the affluence of the residents in these areas. Communal taps are cheaper to install and maintain compared to individual connections. Their use is determined by the residential proximity to the point and payment by each user. Communal taps ideally increase the interaction at community level since the residents negotiate and agree on the tap opening times. The residents also collaborate to prevent vandalism to the infrastructure in their areas. However, the collaboration makes use of already existing neighbourly relations. The boreholes and protected wells are based on the same principles of communal interaction and community cohesion in rural and peri-urban areas.

Technological Biases The infrastructure installed in community water projects maintains the local actor dependency on external intervention through the technology proposed by the project implementers (Olivier de Sardan 2005). The implementers often determine the technology choices in a project based on their knowledge and theoretical frameworks discussed in an earlier section. Their decision making criterion includes technical capacity, productive efficiency and available capital. The budget is a recognised delivery constraint in most projects as any money not spent is returned to the financier. The return of unspent finances drives the determination to install the more expensive technology, which is supposedly more durable. In the domestic water projects the technology has moving mechanical parts that need maintenance and periodic replacement. The project implementers train local actors to carry out these tasks but the materials and spare parts have to be acquired from urban locations. In some cases the dependency supports the continuous role of the commercial supplier in the local water resource management. In irrigation schemes, the project implementers often encourage local actors to apply for cement lined canals. The water distribution usually uses gravity. However, like the mechanical parts, the lined canals also require maintenance. The fieldworkers encourage lining based on their theoretical and knowledge frameworks. They apply the productive economic argument that cement lining reduces the wastage of water through seepage. Wastage here refers to the return of water to a discharge body or to the atmosphere without it being used in the farming activity. Incidentally, the increased operations and maintenance costs usually require external intervention to raise capital for purchasing the cement, hence supporting the structure of dependency on external actors by the local actors. The perception of water as an economic good, as emphasised in the Dublin principles is a focus point for most of the National Water Policies in Africa that provide a road map for the development and use of national water resources. Often at the national level, priority in allocation is given to those consumers who can afford to pay for the resources used and whose uses are economically beneficial as determined

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by the allocating authority. The ability to pay for the resources guarantees access and is also a transfer mechanism for access in urban locations. In rural and peri-urban locations where most users lack the ability to pay for treated water, the resources are represented as a social good and a human right. Thus payment is not often a manifestation of the modes of appropriation. It is superseded by manifestations such as neighbourly relations, kinship and clientelism. Collective action such as the formation of a committee to manage resources and liaise with development agents are mechanisms of ensuring access to water. Access and use are the most recognised form of resource appropriation at the grass roots level. The individual is the focus of the urban and some peri-urban strategies while the community is the focus in the rural and some peri-urban strategies. The structures supported by the selection of technology particularly in community project implementation, whether consciously or unconsciously, often disadvantage the local actors (Olivier de Sardan 2005; Uvin 1998). The education and sensitization in the community projects supports the structures of domination by the external actors who hold particular knowledge and theoretical frameworks that implicitly appear to be superior to those held by the local actors.

Conclusion The sustainability desired in development and the use of natural resources, particularly interventions that aim to ensure positive change require the concerted efforts of various actors, local and external and the minimisation of the negative impacts embedded in the application of knowledge frameworks and the resulting technological choices. This can be phrased as a rescaling of the spaces in which the frameworks and technology interact and influence the water management practices. As populations increase, economic activity increases and thus the demand on water resources increases, more efficient and effective use of water resources is forecasted. However, the effective and efficient use does not necessarily result in the exclusion of some actors and their frameworks in resource management. Some of the potentially excluded local actors have historically autonomously developed adaptation measures to limited water resource availability and the climatic changes that may cause the limitations. As such these measures offer opportunities for the non traditional technologies to interact with them and result in beneficial change for most actors. Undoubtedly the space technologies will continue to inform the planning stages of resources management and map the trends in resource availability. The increased availability of the technology, in locations such as Africa where climate change mitigation and adaptation measures are essential and have a huge potential to positively impact and sustain development efforts, determines its potential contribution. In an age where information and the expertise of teams and individuals play a more central role in decision making, space technology is an apt tool in water management decision making.

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Mapping is a tool increasingly used in managing of resources and forecasting areas of scarcity and water stress. It is also a useful tool in monitoring trends and patterns in resource availability and hence changes use patterns. In the foreseeable times of water resource increasingly localised scarcity and increased competition among users, mapping can be used as a tool to determine the allocation of resources on a functional level and also on a structured level of appropriate actor interaction in the management of the resources. The scientific nature of the space technology would require some form of adaptation to the local level to make it available for the grass root decision makers to use. The interaction of the scientific tools and social decision making processes illustrate the multi disciplinarily approach that is essential in water resources management. Acknowledgments The author wishes to thank the financiers and the research team of the Second Order Water Scarcity in Southern Africa research project and the participants in the research from the various locations in Zambia.

References African Development Bank (2006) Water Facility Documents Bates, B., H. (1976) Rural Responses to Industrialisation – A Study of Village Zambia, New haven, London: Yale University Press. Falkenmark, M. and Chapman, T. (eds) (1989) Comparative Hydrology – An Ecological Approach to Land and water Resources, Paris: UNESCO. Feitelson, E. and Chenoweth, J. (2002) Water Poverty: Towards a Meaningful Indicator. Water Policy Vol. 4 (3) pp 263–281. Fortman de Gaay, B. (ed) (1969) After Mulungushi: the Economics of Zambian Humanism, Nairobi: East African Publishing House. Hall, R. (1965) Zambia, London: Pall Mall Press. Hodge, S. (2006), Knowledge Innovation Systems and Technology Diffusion Strategies Africa Policy Journal, Fall, Vol. 2. Jabri, V. (1996) Discourses on Violence, Conflict Analysis Reconsidered, Manchester: Manchester University Press. Jayaraman, V., Chandrasekhar, M., G. and Rao, U. R. (1997) Managing the natural disasters from space technology inputs, Volume 40, Issues 2–8, January–April 1997, Pages 291–325. Jean-Franc¸ois Cr´etaux and Charon Birkett, (2006) Lake studies from satellite radar altimetry Comptes Rendus Geosciences Volume 338, Issues 14–15, November–December, Pages 1098– 1112. Khroda, G. (1996) Strain, Social and Environmental Consequences and Water Management in the most Stressed water Systems in Africa, Ottawa: IDRC. Latour, B. (1997) Science in Action: how to follow Scientists and engineers through society, Cambridge Massachusetts: Harvard University Press. Leach, M. and Mearns, R. (eds) (1996) The Lie of the Land: Challenging Received Wisdom on the African Environment, Oxford: James Curry Ltd. Leblanc et al. in Serrat, E. (ed) 2003 Hydrology of Mediterranean and semiarid regions, Applications of remote sensing and GIS for ground water modelling of large semi-arid ares: example of the Lake Chad Basin, Africa. Leblanc et al. (2006) Remote Sensing for Groundwater Modelling in semi-arid areas: Lake Chad Basin, Africa, Hydrogeology Journal, Vol 15 (1) pp 97–100 Long, N. (2001) Development Sociology: Actor Perspectives, London: Routledge.

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Mabry, J., B. (ed) (1996) Canals and Communities – Small Scale Irrigation Systems, Tucson: University of Arizona Press. Marvin, S. and Laurie, N. (1999) An Emerging Logic of Urban Water Management, Cochabamba, Bolivia. Urban Studies Vol. 36 (2) pp 341–357. Mehta, L. (2001) The Manufacture of Popular Perceptions of Scarcity: Dams and Water-Related Narratives in Gujarat, India. World Development Vol. 29 (2) pp 2025 – 2041. Mosse, D. (2003) The Rule of Water: Statecraft, Ecology and Collective action in South India, New Delhi and Oxford: Oxford University Press. M¨unch, Z. and Conrad, J. (2007) Remote Sensing and GIS based development of groundwater dependant ecosystems in Western Cape, South Africa, Hydrology Journal, Vol 15 (1) pp 19–28. Garb, Y. (2004) Constructing the inevitability of the Trans-Israeli Highway’s Inevitability. Israel Studies 9 (2) Summer, pp 180–217. Government of the Republic of Zambia (1994) National Water Policy, Lusaka: Ministry of Energy and Water Development. GWP IWRM Tool Box accessed at http://www.gwptoolbox.org/index.cfm Ohlsson, L. (ed). (1995) Hydropolitics – Conflict over Water as a Development Constraint, London: Zed Books. Olivier de Sardan, J. (2005) Anthropology and Development – Understanding Contemporary Social Change, London and New York; Zed Books. Schacter, M. (2000) Capacity Building: A new way of doing business for development organisations. Policy Brief 6, Ottawa, Canada: Institute on Governance. Tait, J. (1997) From Self-Help Housing to Sustainable Settlement: Capitalist Development and Urban planning in Lusaka, Zambia, Aldershot: Avebury. Taylor, M. (2004) Responding to Neoliberalism in Crisis: discipline and Empowerment in the World Bank’s new Development Agenda, Research in Political Economy, Vol. 21 pp 3–30. Tordoff, W. (ed) (1974) Politics in Zambia, California: University of California Press. Tordoff, W. (1980) Administration in Zambia, Manchester, Madison: Manchester University Press, University of Wisconsin Press. Trottier, J. (1999) Hydropolitics in the West Bank and Gaza Strip, Jerusalem: PASSIA. Uvin, P. (1998) Aiding Violence: The Development Enterprise in Rwanda, West Hartford: Kumarian Press. Winpenny, J., T. (1994) Managing Water Scarcity for Water Security, Rome: Food and Agriculture Organisation. ESA TIGER Initiative (http://www.esa.int [Accessed on 25th May 2008])

Operational Oceanography and the Sentinel-3 System Miguel Aguirre, Yvan Baillion, Bruno Berruti and Mark Drinkwater

Abstract The field of Operational Oceanography has matured significantly over the last 30 years, and the advent of satellite oceanography has accelerated the development of robust numerical ocean forecasting capabilities. This chapter provides an overview of what is operational oceanography, how it has evolved, and what data needs of todays’ users of operational oceanography can be satisfied. The chapter continues with a description of present developments in operational oceanography, mainly in the framework of the joint European Union/European Space Agency initiative Global Monitoring for Environment and Security and concentrates in the recent initiation of the implementation of the European space mission Sentinel-3. The Sentinel-3 overall mission architecture and the satellite are described in detail. Special emphasis is made on the instrument that the satellite carries and the operational products that it will deliver. Some global land applications, which will also be covered by Sentinel-3, are also mentioned. The chapter finishes with some conclusions. Keywords Operational oceanography · Remote sensing · satellites · Ocean dynamics · Ocean color · Ocean temperature · Ocean altimetry

What is Operational Oceanography? Operational Oceanography (LeTraon et al. 1999) is the long-term and routine delivery of forecasts over the Oceans with a consistent quality and a very high level of availability. Operational oceanographers produce these forecasts using large, computer run numerical models which assimilate measurement data in order to mimic the physical and biological state and dynamics of the oceans. These models are fed with data provided by satellites and by in-situ observing instruments like buoys and drifters. The models are run and regularly fed with new data, with the resulting state estimates and forecasts distributed to the users. Users may utilise the M. Aguirre (B) European Space Agency-ESTEC, Noordwijk, the Netherlands e-mail: [email protected] P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 4,

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output of the models directly, or they can use them as input to more sophisticated value-adding services, for example; more efficient or lower risk ship routing— taking currents, sea-state and hazardous sea state and weather into account; or monitoring of oil spills or harmful algae blooms for provision of bathing or aquaculture alerts. Chile is the largest producer of farmed salmon with exports accounting for 1 Billion USD per year. In 2004 the industry reported an estimated 50 Million USD loss per year from Harmful Algal Blooms. Operational oceanography products and derived service fulfill a clear social and economic need and they can be used as tools to help in the decision-making of public or private institutions. Operational oceanography products can be used to save lives, to protect infrastructure and to increase the economic efficiency of activities

Fig. 1 Colorful summer marine algal bloom fills much of the Baltic Sea in this image captured by MERIS instrument in ESA’s Envisat satellite on 13 July 2005 (ESA 2006)

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Fig. 2 Analysis of the sea surface temperature of the Mediterranean Sea for the 10 of April of 2008. The service is near real time; Google Earth based and open access through the web (IfremerESA 2008)

related with the ocean and the coastline. Operational oceanography is following with some delay the path followed by operational meteorology in the past. As in the case of meteorology, the delivery of operational oceanography products requires the cooperation of many autonomous actors and the use of many complex systems. The capability to deliver Operational Oceanography services is a emerging property of the cooperation of these independent and complex systems.

How Does Operational Oceanography Forecast the Oceans? The oceans can be divided in a large number of small cells that interact. The laws of physics related to the dynamic of fluids govern the interactions between these cells. These cells will have tracer properties like: temperature and salinity, together with dynamical characteristics governing exchanges between cells such as the velocity of the water and many others. If it is possible to define the properties of all the cells at an initial instant, numerical models may be employed to predict the evolution in time of these properties. Based upon data acquired at frequent intervals, such models are able to predict the evolution by simulating the behavior of these cells, under constraints provided by the law of physics, by the initial ocean state characteristics provided by measurement data, and by boundary conditions like the geography of the coast and the intensity and direction of winds or currents. One of the most important parameters to monitor and predict is how the dynamics of the ocean will evolve. This relies on characterization of the geographical distribution and strength of currents and how they will evolve. By redistributing water around the globe, ocean currents distort the ocean surface from the equilibrium

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position that the sea-surface would adopt in case the whole ocean would be at rest. This theoretical surface is called the ‘Geoid’ and it constitutes the absolute reference or equipotential surface of the Earth’s gravity field. Any differences between the local water level and the reference Geoid represent geopotential heights. These so-called “anomalies” in sea-level may be mapped, and the shape contours or slope in sea-level (i.e. sea surface topography) may be used to determine the movement of the ocean at any point, and thus the ocean currents. This implies that the fundamental observations required to predict the dynamics of the ocean are precise observations of local sea-level anomalies. Today, instruments carried by satellite radar altimeters provide measurements of the local sea level height, while their difference from the local geoid allows sea-level anomalies and thus dynamic topography of the ocean to be calculated. Radar altimeters determine the sea-surface height and sea-level anomalies by sending a radar signal to the ocean and measuring the time needed for the signal to return. This delay gives the distance from the satellite to the water level. These distances can be converted into sea-level anomalies, or ‘dynamic topography’ if the absolute position of the satellite with respect to the Earth ellipsoid reference frame and/or Geoid is known and if the total delay is corrected for atmospheric effects—water vapor contents—that also produce delays. Satellites are excellent tools with which to provide a systematic, homogeneous and global data set, and provided that a sufficiently large number of radar altimeters is available it is possible to initialize all the cells of the ocean circulation models with their corresponding sea level anomaly data. If the dataset is comprehensive and sufficiently timely, and if the data are of good quality and if the physics of the model is correct, the prediction of the models will be reliable. Data on ocean temperature, salinity and biological activity also provide supplementary information that can be

Fig. 3 Satellite orbit, satellite sea-level range and dynamic topography. The Dynamic Topography is directly related to ocean currents

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incorporated to the models. The ocean models also require meteorological data: winds, air temperature, air pressure and others to provide the basic forces with which to drive the dynamics of the interaction between the ocean the atmosphere. Good quality atmospheric data improves the quality or skill of ocean prediction, whilst by the same token good ocean data may help to improve the quality of Atmospheric predictions. This increment on the accuracy of atmospheric predictions will be a supplementary social and economic advantage to be derived from operational oceanography.

The Cooperative Nature of Operational Oceanography Operational oceanography has been defined in the previous section as the result of the cooperative effort of many independent systems. To provide the operational oceanography services the following elements are compulsory:

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Radar altimeters flying at low inclination with an orbit optimised to provide precise, tide-free reference measurements of ocean dynamic topography anomalies Radar altimeters flying at high inclination with an orbit optimised to provide a dense network of measurements to fill-in the measurement gaps of the reference altimeters flying at low inclination Navigation satellites, like GPS, to provide the absolute position of the oceanographic satellites, allowing conversion of the distance from the satellite to the water surface into a measurement of the anomaly of the sea level with respect to the Geoid. Supplementary calculations to obtain a very precise orbit determination of the flying path of the radar altimetry satellite after supplementary processing of the radar altimetry satellite data with the GPS satellite data. Atmospheric pressure and wind velocity measurements to provide the dynamic interaction between the atmosphere, the ocean circulation and the ocean level— lower atmospheric pressure corresponds to a raise in level of the ocean surface. Models of the ionosphere and of the water vapour contents of the atmosphere to correct for the radar signal delays imparted by the total electron content and the water vapor. Data from different missions and in-situ data to allow inter-calibration and refinement of the measurements Dynamic ocean circulation models that integrate all the information and produce the predictions Value adders that will augment the information content of the ocean predictions, for example with data on: geography, local population or economic value at risk Data distribution networks for relaying the predictions to the users

Conventional radar altimeters send electromagnetic pulses downwards during flight along their orbital path; that means, they produce a track of measurements of received echoes across the Earth’s surface. To be able to produce a dense network

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Fig. 4 Meshing of the orbital tracks of the accurate reference low inclination radar altimeters (black) and the dense complementary coverage of high inclination radar altimeters (blue) (Dorandeau et al. 2006). Both tracks combine to provide a dense set of accurate measurement

of range measurements adequate to feed the dynamic ocean circulation models, it is necessary to fly a constellation of satellites. The orbits (Fig. 4) of the two types of radar altimeters mentioned above—low inclination and high inclination—is chosen for the best possible synergy between them. The best combinations include one ‘reference’ low inclination polar-orbiting satellite providing the overall frame and several high inclination polar-orbiting satellites providing enough data to fill adequately the dynamic ocean circulation models GPS satellites are needed to provide an absolute reference frame to the distance measurements provided by the radar altimeter. This combination allows conversion of a relative distance measurement into an absolute sea-level anomaly measurement with which to derive ocean currents. Sea-level anomalies are required to an accuracy of a few centimeters. This requires that the reference frame provided by the GPS satellites must be at the centimeter level. This value is much more demanding than the requirements on GPS positioning precision. Space dynamics specialists have developed special tools that allow them to extract the necessary supplementary accuracy from the GPS data to determine the orbit traveled by the radar altimetry satellites to the required centimeter level precision. This activity is called Precise Orbit Determination and requires complex supplementary calculations that take time over a duration corresponding to an orbit arc or number of successive satellite orbits. The longer the time used, the higher the prediction: precisions of the order of 10 cm in minutes and of the order of 1 cm in a matter of several hours (Montenbruck 2006). The derivation of the sea-level anomaly data also requires the creation of reliable communication links to receive the necessary information on the atmosphere and ionosphere to be able to compensate for the geophysical features that would generate sources of error. It is necessary to compensate for the delay in the traveling of the radar signals—produced by ions or water vapor—and for the changes on the natural position of the water level—produced by atmospheric pressure or winds. The cooperation between independent space agencies is also necessary to establish long-term intercomparable data sets that are compulsory to analyse long term trends in sea-level rise.

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The nature of operational oceanography requires the establishment of a complex network of long-term cooperative relations. This network requires mutual help between fully independent actors that could at any moment withhold cooperation. On the other hand, the overall result of the cooperation is in the benefits of all the actors. Actually this same scenario has happened before in the development and firm establishment of operational meteorology as a highly successful multi-national endeavour. In the other hand, the users of operational oceanography will need time, money and confidence to build the know-how necessary for the optimal utilisation of the data provided by the satellites. Users will also exercise caution until they see commitments to ensuring robust, high-quality satellite datastreams. That means the firm establishment of operational oceanography requires the long-term commitment by some key actors to provide confidence to everybody on the future long term availability of such a complex system of systems.

Recent Developments on Operational Oceanography The European Union (EU) and the European Space Agency (ESA) started a few years ago a set of connected activities where satellites are used to bring to society social benefits in the area of the environment and of civilian security. This set of connected activities is called Global Monitoring for Environment and Security (GMES 2006). This large European endeavor includes activities related to: satellites, ground processing, data distribution networks, and users tools. These activities are performed and funded by independent actors and ESA is the leading agent for the implementation of the Space Segment of GMES. On top of the GMES related

Fig. 5 Global sea level rise obtained by analysing data from 6 different radar altimetry space missions (Scharroo 2008) provided by ESA, NOAA, NASA, CNES and USA DoD

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developments NASA and NOAA are developing new satellites and new ground processing tools also driving in the direction of establishing a robust operational oceanography network. These activities include the continuation of the long line of highly successful USA-France ‘low inclination’ radar altimetry satellites that started with Topex-Poseidon and continued with Jason. China is also going to put into orbit satellites carrying radar altimeters. All these approved and proposed satellite and on-ground programmes are providing a greater credibility to a scenario where the long term availability of data is ensured. This scenario provides confidence to the users in developing new tools and new methods to deal with the future availability of data. The Committee on Earth Observation Satellites (CEOS) is an international body charged with coordinating international civil spaceborne missions designed to observe and study the Earth (CEOS 2008). This committee acts as forum for interchange of opinion within the actors and it sponsored recently a symposium, which published recommendations on the way ahead. Figure 6 provides the foreseen longterm space mission scenario. This scenario demonstrates that the availability of both types of radar altimeters: high inclination for data density and mid inclination for high accuracy is ensured in the mid term future. The symposium also recommended the development of wideswath altimetry to provide better performance in the longer-term future.

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Fig. 6 Ocean Surface Topography Constellation Roadmap of space missions to be flown on the near and mid term future (CEOS Secretariat 2008). It includes: dense track high inclination SSH (Sea surface height equivalent to dynamic topography), high accuracy mid inclination and a possible new class of swath missions able to provide more data

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User Needs As part of GMES, the EU and ESA performed activities in order to establish the needs of the operational oceanography users. These needs have been collected in several documents. The most important is the GMES fast track marine core service implementation plan (Ryder et al. 2007). This document established the way ahead to create an end-to-end system able to delivery operational oceanography. The system is centered around the availability of satellites with an specified level of quality and the availability of structures able to run operationally dynamic ocean assimilation models. The document also requested at least two satellites in high inclination and at least one satellite in mid inclination. The document also documents measures to implement the operational oceanographic ocean dynamic assimilation system in a Marine Core Service (MCS). These efforts related to the establishment of the adequate on-ground data processing network have been federated inside the MERSEA (MERSEA 2008) and MyOcean 6th and 7th Framework Programme large integrated projects of the EU.

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The MCS shall: Acquire data from the ground segment of the space based observing systems and in-situ networks Assemble these into quality controlled thematic datasets. Much of this to be carried out in near real time Run numerical ocean models in near real time to assimilate the thematic data and generate the ocean analysis and forecast. This shall be done in a permanent repeating cycle Undertake off-line reanalysis for special uses like sea-level rise monitoring Prepare products suitable for external service provision

Within the MCS, operational oceanography services are being developed in the aforementioned successful MERSEA integrated project and through the ESA GSE Marcoast (gmes-marcoast.com) and Polarview (www.polarview.org) Projects. The MCS shall deliver regular, systematic products on the surface topography and sea state and ecosystem characteristics over the global ocean and the European regional and shelf seas. The Sentinel-3 derived information will be assimilated in models in near-real-time to routinely provide the best available operational estimate of the state of the ocean, together with forecasts (from days to weeks) and reanalyses (hindcasts of ocean state over long time-series in the past). The “fast track” component of the MCS is mainly focused on ocean dynamics parameters and on primary ecosystem characteristics (mainly related to the near-surface layer) but also include sea ice monitoring and oil spill detection capacities. ESA had been performing activities related to operational oceanography during many years. The research activity “Definition of scenarios and roadmap for operational oceanography” (Le Traon et al. 2005) allowed ESA to establish a set of requirements for the satellites that would fulfill the functions assigned to the ‘high inclination’ satellites in the scenario presented in the previous text. This

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identification of functions allowed ESA to write a ‘Mission Requirement Document (Drinkwater 2007)’ (MRD) for them. These high inclination ESA satellites are called GMES ‘Sentinel-3’.

Sentinel-3 Mission Objectives The Sentinel-3 system design responds specifically to the need to deliver routine operational services to policy makers and marine and land service users in the general categories outlined in Table 1 The GMES Sentinel-3 system will enable the realisation of valuable information services to the European Union and its Member States in the frame of the GMES programme based on routine operational monitoring of the ocean and land surfaces. The Marine Core Service (MCS) Fig. 7 and the Land Monitoring Core Service (LMCS), have been consolidating a number of services whose future continuity and success depends on operational data flow from the GMES Sentinels. The Land Monitoring Core Service (LMCS) is currently being developed in the Geoland 6th Framework Programme large integrated project (www.gmes-geoland.info) and through ESA GSE projects such as Forest Monitoring (www.gmes-forest.info), Global Monitoring for Food Security Table 1 Sentinel-3 mission required products GMES Initial Service

S-3 Requirement

Marine and Coastal Environment

sea-surface topography mesoscale circulation water quality sea-surface temperature wave height and wind sediment load and transport eutrophication sea-ice thickness ice surface temperature ocean-current forecasting water transparency wind and wave height global sea-level rise global ocean warming ocean CO2 flux land use mapping Vegetation indices forest cover mapping regional land-cover mapping drought monitoring land use mapping aerosol concentration burned scar mapping fire detection forest cover change mapping soil degradation mapping

Polar Environment monitoring Maritime Security

Global Change Ocean

Land cover & Land use change Forest Monitoring Food Security early warning Humanitarian Aid Air Pollution (local to regional scales) Risk Management (flood and fires) Global Change Land

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Fig. 7 Role of the Marine Core Services on the end-to-end delivery of operational oceanography services (Desaubies Y et al., 2006). The Marine Core services act as integrator of the data provided by all the space and on-ground instruments delivering optimal predictions on ocean state and evolution. These predictions will be converted in customized products by specialized downstream service providers

(www.gmfs.info), and the disaster mitigation and humanitarian relief RESPOND (www.respond-int.org) service. LMCS is focused primarily on exhaustive highresolution European-scale land cover/land use mapping complemented by a land monitoring component based on daily land-cover mapping, vegetation characteristics and fire monitoring at continental and global scale. Taking into account the dynamics of vegetation characteristics requires a product update frequency from days to weeks to months, and comprehensive global observations with the best revisit frequency possible (especially to minimise observation contamination by clouds or high aerosol loadings). The evolution of LMCS at European scale includes vegetation monitoring linked to Common Agricultural Policy requirements such as agro-environmental measures, and review and monitoring of EU policies (e.g. water framework directive, biodiversity strategy, common agricultural, regional policies) and also for reporting obligations under international treaties (e.g. the Kyoto Protocol), in line with national land-cover/land-use inventories in the Member States. For the LMCS the GMES Sentinel-3 observation capacity is relevant for the global-scale high-frequency revisit component (e.g. crop production monitoring and food security, and forest cover mapping and change monitoring). The associated relevant mission requirements are linked to the characterisation of land surface biophysical parameters including land cover, Leaf Area Index, fraction of Absorbed Photosynthetically Active Radiation, and burnt areas, as well as parameters such as the Land Surface and Active Fire Temperature. Meanwhile, these global vegetation data, together with the atmospheric correction by products (e.g. aerosol optical depth), will provide critical input data for numerical weather forecasting, global climate models and in climate and greenhouse gas monitoring.

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In order to meet the user needs, the Sentinel-3 satellite data will support the operational generation of a generalised suite of high-level geophysical products, including as priority:

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Ocean, Ice, Land and Inland water Surface Topography Sea-Surface Temperature Ocean Colour Land Surface Biophysical Properties Land Surface Temperature

The primary goals identified above drive the design towards a mission concept, which can routinely and uninterruptedly (i.e. operationally) deliver robust products with well-characterized accuracy and confidence limits. In turn, this has led to the identification of some improvements with respect to past missions and instruments, which through their technology and data processing heritage have guided the design of the Sentinel-3 system.

Sentinel-3 Mission Architecture In response to the user requirements, the Sentinel-3 system has been defined to support in a long-term sustainable operational fashion four core observing missions: surface topography, ocean colour, ocean and land surface temperature and land surface optical monitoring at medium resolution. Being an operational mission, it is based on the use of demonstrated observing techniques and existing data processing heritage. The Sentinel-3 mission aims at providing remote sensing data in routine, long term (20 years of operations) and continuous fashion with a consistent quality and a very high level of availability for supporting operational oceanography and global land applications. Figure 8 provides the overall architecture of Sentinel-3 plus all the other elements necessary for the delivery of operational products including the already mentioned Marine Core Services, the value addes the need for Precise Orbit Determination (POD), and the need for the data delivered by the mid inclination radar altimeter satellite Jason. The surface topography mission to be fulfilled by Sentinel-3 has a primary objective to provide accurate, high density altimetry measurements from a high inclination orbit with long exact repeat cycle, to complement the JASON (CNES, 2008) mid inclination ocean altimeter series. Ocean topography measurements support meso-scale circulation and sea-level monitoring as well as measuring significant wave height which is essential to operational wave forecasting. In addition, sea ice measurements similar to the CryoSat (ESA 2008) mission (though from a slightly different orbit) are supported. The altimeter configuration, a single-antenna radar altimeter with aperture synthesis processing for increased along-track spatial resolution, balances continuity and improved performance needs. Among others, it will extend observations to inland waters and coastal zones. The altimeter will be

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Fig. 8 Sentinel-3 Arhitecture and supplementary elements necessary to provide Operational Oceanography products

supported by a Precise Orbit Determination (POD) system and microwave radiometer (MWR) for correcting accompanying water vapor induced propagation delay errors. The altimeter will be able to track over a variety of surfaces: open ocean, coastal sea zones, sea ice and inland waters. The optimal mode of tracking will depend of the surface over-flown, with changes pre-programmed in the satellite to minimize data loss. The Ocean and Land Color Instrument (OLCI), based on the ENVISAT MERIS instrument, fulfils ocean color and land surface cover mission objectives. The Sea and Land Surface Temperature Radiometer (SLSTR), based on the ENVISAT AATSR instrument, in turn supports the ocean and land surface temperature observation requirements. Unlike AATSR, SLSTR implements a double scanning mechanism for a much larger swath, providing almost horizon-to-horizon coverage and allowing for the synergetic use of both OLCI and SLSTR instruments over the broad region of swath overlap. The Sentinel-3 satellite is a low Earth orbit satellite that includes a mediumsized spacecraft, large swath/medium spatial resolution optical instruments and a radar altimeter system. The orbit selection, the optimised satellite mechanical configuration and its flight attitude result from intensive mission analysis studies and system trade-offs performed during the definition phase in collaboration with ESA system team, leading to an improved system capacities (with respect to ENVISAT) including features such as the altimeter SAR mode, and additional spectral bands for the optical payload. The satellite is compact and is compatible with small launchers of the type VEGA or Rockot. The satellite accommodates six different payloads

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with specific sizes, interfaces, severe Earth and calibration field of view constraints, thermal requirements for radiators cold space access. This large number of payloads drives the satellite configuration. The resulting satellite architecture is depicted in Fig. 9 in stowed configuration and in Fig. 10 in deployed configuration. The sun-synchronous polar orbit chosen is at 814 km altitude (14 + 7/27 revolutions per day) with a local equatorial crossing time of 10:00 a.m., as a compromise between optical instrument and altimetry needs. The present baseline of two simultaneously-orbiting satellites supports full imaging of the oceans in less that 2 days after taking Sun-glint contamination into account (see Table 2), whilst delivering global land coverage in just over 1 day at the equator.

MERIS 2 instrument

SLSTR instrument

Altimeter instrument

Radiometer instrument

POD system

Processing chain based on MERIS 2 data operational from day 1

Processing chain based on altimeter, radiometer and POD system data operational from day 1 Processing chain based on SLSTR data operational from day 1 Hybrid processing chain Combining SLSTR and MERIS 2 data To become operational after TDB months of validation

Surface Topography products

SLST products

Processing chain based on MERIS 2 data operational from day 1

Land products

Ocean Colour products

Fig. 9 Sentinel-3 derivation of mission products from the instruments it carries

Fig. 10 Sentinel-3 stowed configuration

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Table 2 Satellite features Launch mass

1240 kg

Main body dimensions (stowed conf., including appendages) Pointing type Absolute pointing error Pointing knowledge Observation data (average) PLTM downlink data flow

Height (X): 3.854 m Width (Y): 2.270 m Length (Z): 2.245 m Geodetic < 0.1 deg < 0.05 deg 103 Gbit/orbit 300 Mbit/s Boxed structure made of aluminium sandwich panels (external panels) and CFRP skin with aluminium honeycomb sandwich both for load carrying structures (central tube and stiffeners) and optical support structure. Passive control with SSM radiators. Active control of the Bus centralised on the SMU. Autonomous thermal control management for most of the sensors. Unregulated power bus, with a Li-ion battery and GaAs solar array. Solar Array 1 wing, 3 panels, 10.5 m2, ∼1800 W EOL, Average power consumption in nominal mode: up to 1100 W Stepper motor SADM. Synchronised Solar Array Hold-down and Deployment mechanism. 3 axis stabilized Gyroless in nominal mode, thanks to a high performance Multi-Head Star Tracker and GNSS receiver. Use of thrusters only in Orbit Control Mode. Mono-propellant (Hydrazine) operating in blow-down mode Two sets of four 1 N thrusters/Propellant mass: ∼90 kg Centralised Satellite Management Unit (SMU) running applications for all spacecraft sub-systems processing tasks, complemented by a Payload Data Handling Unit (PDHU) for instruments data acquisition and formatting before transmission to the ground segment. S-band TTC for spacecraft sub-systems plus X-band TM for instruments telemetry. Authentication for satellite TC and Encryption for observation data TM.

Structure

Thermal Control

Power Supply

Mechanisms

AOCS

Propulsion Data Handling and Software

Communications

Sentinel-3 Satellite The selected configuration satisfies the optical and topography payloads instruments field of view and pointing needs, the basic need of all sensors being to be Earthpointed. In addition, the OLCI and SLSTR instruments also require a Sun-looking calibration, to be performed preferably before or after the picture-taking sequence. Considering the descending node Sun-synchronous orbit selected, the instrument calibration may occur when the satellite flies over the South pole, with a direct

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consequence on the satellite orientation with respect to its velocity vector. Considering the attitude of the satellite with respect to the sun due to the 10:00 LTDN orbit, the—Y lateral face of the satellite is constantly oriented toward the cold space. This cold face is devoted to the optical sensors (OLCI, SLSTR) and SRAL electronics. The satellite main characteristics can be seen in Table 2 (Baillion Y et al. 2007):

Sentinel-3 Optical Instruments OLCI OLCI is a push-broom spectrometer benefiting from MERIS heritage with a split of the FOV in 5 sub-assemblies (cameras). Sentinel-3 configuration includes 5 cameras depointed to the west to limit the sun-glint effect and thus comply with the mission requirement of global revisit. Each camera is constituted of a Scrambling Window Element to comply with the polarisation requirement, a Camera Optical Sub Assembly for the spectral splitting of the different wavelengths, a Focal Plane Assembly (FPA) with a CCD for the signal detection and a Video Acquisition Module (VAM) for the monitoring of the analogical signal. Each camera optical sub assembly includes its own grating and provides the 21 spectral bands expected by the mission. The control of the instrument is realised by a common electronic (OEU), which assumes the function of Instrument Control, Power Distribution and Digital Processing. A calibration assembly including a rotation wheel with five different functions for Normal viewing, Dark current, spectral and The OLCI instrument design (see Figs. 12 an 13) benefits from MERIS heritage. The configuration is based on the split of the field-of-view into 5 cameras, mounted on a common structure with the calibration assembly. Each camera optical sub assembly includes its own grating and provides the minimum baseline of 16 spectral bands required by the mission together with potential for accommodating optional bands for improved atmospheric corrections. In addition, the instrument has been Satellite cold face (–Y)

earth direction (+Z)

Fig. 11 Sentinel-3 deployed configuration

satellite flight direction (–X)

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Sun Baffle Radiator

Earth apperture hole Calibration Mechanisms

Baseplate

Fig. 12 OLCI external configuration

Fig. 13 OLCI internal configuration

depointed to the west in order to mitigate sub-glint contamination. The OLCI has an approximate mass of 150 kg and a volume of 1.3 m3 . OLCI is an “autonomous” instrument with simple interfaces with the spacecraft, thus allowing an easy integration and minimising the development risks.

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SLSTR The SLSTR measures Sea and Land Surface Temperature, with performance equivalent to or exceeding that of the ENVISAT AATSR. The SLSTR design and development are based on the re-use of AATSR concept. Its detectors cover the visible and the infrared spectrum, including thermal (TIR) and short wave (SWIR) infrared. The SLSTR uses rotary scan mirror mechanism(s) to produce a wide swath. It features ∼1 km spatial resolution at nadir for TIR channels and 500 m spatial resolution for visible and SWIR channels. As in AATSR, it has dual-view capability—inclined forward and near-vertical nadir—to provide robust atmospheric correction over a 750 km swath. The nadir and forward views are generated using separate scanners to allow for a wider swath than possible with the single conical scan ATSR design. The channels selection (1.6, 3.7, 10.8 and 12 ␮m in the IR and 0.55, 0.66 and 0.85 ␮m in the visible) include the AATSR and ATSR-2 channels for continuity. Additional channels at 1.378 and 2.25 ␮m enhance cloud detection, besides being used for new products. SLSTR instrument is dedicated to the measurement of Sea and Land Surface Temperature, with equivalent ENVISAT A/ATSR baseline performance. Consequently, wherever possible, the SLSTR proposed design and development are based on the reuse of ATSR concepts, supported by existing and qualified technologies. The proposed sensor design is based on the following main concepts:

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Photo Conductive detectors with two elements for TIR channels and on small multi-element arrays of Photo Voltaic detectors for the other channels. Infrared detectors are operated at 80 K. A dual view capability (inclined backward and near-nadir) to provide ATSR-style robust atmospheric correction over a 750 km swath. Both Backward and near nadir views share common focal plane optics and detectors in such a way as to ensure spectral and radiometric probity of the design and the resulting data. Rotary scan mirror mechanisms to produce a wide swath running at constant angular velocity. A flip mirror mechanism is foreseen to manage the swapping between the two views Ground Sampling Distance at nadir for the TIR channels is ∼1 km, while it is 500 m for Visible and SWIR channels. The complete suite of AATSR and ATSR-2 spectral channels in order to maintain continuity with the previous sensors. Accurate and stable in-flight calibration performed by means of suitable onboard radiometric sources.

The instrument (see Fig. 14) includes on-board radiometric sources for accurate and stable in-flight calibration. The infrared detectors are cooled to 80 K using active cooling.

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Oblique view –Y radiator

Nadir view

Blackbody

Fig. 14 SLSTR external configuration

The instrument is integrated on a single plate with its control electronics and cooling radiators. The SLSTR mass is approximately 90 kg.

Sentinel-3 Topography Instruments Package The topography payload is composed of the SAR Radar Altimeter (SRAL), the Microwave Radiometer (MWR) and the Precise Orbit Determination (POD) equipment, namely a GNSS Receiver supplemented by a laser retro-reflector (LRR). Their purpose is to determine very accurately the height of the Earth surface, and in particular the sea surface height relative to a precise Earth reference frame. The radar altimeter determines the range between the satellite and the surface by transmitting microwave pulses, which hit the surface of the Earth and return back after a certain delay. This time delay is derived very precisely after on-ground processing of the altimeter data. Knowing the speed of the propagation, the delay is then converted into range. However, the propagation speed through the atmosphere is variable. The ionosphere and the troposphere introduce additional delays dependent on the density of electrons in the ionosphere, the density of gases (dry troposphere) and the moisture content (wet troposphere) in the troposphere. The wet troposphere delay is removed using the MWR data. The MWR determines the amount of water contained in the propagation path of the radar pulses. The RA transmits pulses alternatively at two different carrier frequencies. Comparing the relative delay of both measurements, the frequency-dependent part introduced by the ionosphere is then derived and compensated for. The influence of the dry troposphere (density

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Fig. 15 SAR Radar Altimeter package

of atmospheric gases) is less variable and can be determined sufficiently accurately using meteorological data and models. In order to achieve the ultimate aim of precision measurement of the surface height relative to the terrestrial reference frame, accurate measurements of the satellite location are needed. To this end, a geodetic-quality GNSS receiver, complemented by the laser retro-reflector, are included and guarantee the overall centimetre accuracy required for the Sentinel-3 topography mission.

SAR Radar Altimeter (SRAL) The SRAL instrument is a dual-frequency, nadir-looking microwave radar which employs technologies inherited from the CryoSat and Jason altimeter missions. The main range measurements are performed in Ku-band, while a second frequency at C-band is used to compensate the effects of the ionosphere. A conventional pulse-limited, low-resolution mode (LRM) employs an autonomous closed-loop echo tracking technique, and is the primary operational mode for observing level surfaces with homogeneous and smooth topography, like that of the open ocean or the smooth central ice-sheet plateaux. Other applications require topography data over more variable surfaces, so two features are implemented in Sentinel-3 SRAL which can be used independently or in combination: the SAR mode, similar to that of the CryoSat SIRAL instrument, and the open-loop tracking mode. In the SAR mode, the horizontal spatial resolution is enhanced in the

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Table 3 SRAL features LRM Frequency (GHz) Bandwidth (MHz) PRF (Hz) Pulse length (us) Tracking window (m) RF power—peak (W) Antenna beamwidth (◦ ) Data rate (Mbits/s) Power (W) Mass (Kg)

Ku-band 13.575 350 1650 (average) 49 60 7 1.28 0.1 86 < 60

SAR C-Band 5.41 320 275 (average) 49 66 32 3.4

Ku-band 13.575 350 17800 (burst) 49 60 7 1.28 11800 (uncompressed) 95

C-band 5.41 320 157 (average) 49 66 32 3.4

along-track direction. This is achieved by a high pulse repetition frequency (about 10 times higher than in LRM) and by processing the received echoes on-ground by exploiting the Doppler information. This mode will be mainly used over sea-ice and ice-sheet margins, as well as in-land water and coastal ocean. The open-loop tracking mechanism is mainly used over discontinuous surfaces (like land-sea transitions) or fast varying topography (i.e. ice margins). In this mode, the tracking window of the SRAL is controlled based on the a-priori knowledge of the surface height, from existing high resolution global Digital Elevation Models (DEM), combined with knowledge of the location of the satellite from the GNSS receiver. The main advantage is that the acquisition of the measurements is continuous, avoiding the data gaps typical of closed-loop tracking, which has difficulties to track rapid topographic changes experienced at coastal margins or in mountainous regions.

Microwave Radiometer (MWR) The MWR measures the thermal radiation emitted by the atmosphere and the sea surface, and permits the determination of the wet troposphere induced propagation delay experienced by the altimeter pulses. The baseline design of the microwave radiometer includes 3 channels, each addressing a different geophysical parameter. The lowest frequency channel at 18.7 GHz—where the troposphere is transparent— is mainly influenced by the sea-surface reflectivity. This allows separation of the atmospheric signal from the sea-surface contribution in each of the other two channels. The second channel at 23.8 GHz is for tropospheric water vapour determination, while the third channel at 36.5 GHz addresses the influence of nonprecipitating clouds. The observed signals are calibrated by comparison to a stable and precisely known reference noise source, which in the MWR is based on the noise injection concept. The MWR mass is approximately 26 kg and its power consumption is 38 W.

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Precise Orbit Determination (PoD) Equipment The POD equipment provides the satellite altitude over a reference frame to an accuracy of 2 cm after post processing. It consists of a geodetic Global Navigation Satellite System (GNSS) receiver and a laser retro reflector (LRR).The GNSS receiver is designed to operate with the Global Positioning System (GPS) satellites for the first generation of the Sentinel 3 and with the GPS and the Galileo satellite systems for the following generations. The receiver can track up to 12 GNSS satellites at the same time. The signals transmitted by the navigation satellites are disturbed by the ionosphere through electromagnetic interaction, in a similar manner as the altimeter pulses. This effect is corrected through a differential technique that uses two signals at different frequencies in the range between 1160 and 1590 MHz. The GNSS receiver produces an on-board (i.e. real-time) position to around 3 m accuracy in satellite altitude. This is needed to control the operation of the openloop tracking mode of the SRAL and is also used for platform navigation. Ground processing provides the satellite altitude to a < 8 cm accuracy within 3 hours for operational applications and 2 cm after some days. The mass of the GNSS receiver is approximately 11 kg and the power consumption is 20 W. The laser retro reflector (LRR) is a small, passive optical device consisting of a number of corner cube mirrors designed to reflect laser signals from Satellite Laser Ranging stations. Laser tracking provides ranging to an accuracy of < 2 cm and will be used in the commissioning phase and regularly during the mission to validate the POD solutions. The LRR mass is approximately 1 kg.

Satellite Programmatics The Sentinel-3 (Aguirre et al. 2007) satellite concept is technically mature. Therefore, at unit and subsystem levels, the major part of the qualification is achieved on a Proto Flight Model, even if partial STM and EM will provide prequalification on dedicated aspects for an even better risk mitigation. The instruments design and development plans consider EM and PFM models. The satellite development is based on a Proto Flight approach. It is structured around the following satellite models, built from lower level items:

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A Virtual EM, incrementally constituted from a digital avionic test bench. EM units are successively integrated. Avionics, system performance verifications and preliminary electrical compatibility checks are performed on this model. A Proto Flight Model to complete the full functional and performance qualification of the spacecraft, including redundancy chains, under environmental conditions.

The definition phase has been closed by February 2007 after a successful System Requirements Review. The start of the implementation phase is scheduled for Mid of October 2007 for a launch in End 2012.

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Conclusions The successful evolution of the concept of operational oceanography over the last 5–10 years has led to the development of a critical mass in ocean forecasting capabilities as well as the establishment of successful operational services. Operational oceanography will:

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Improve atmospheric weather forecasting by providing a better understanding of global ocean processes that govern weather patterns. Improve coastal zones monitoring required by aquaculture, sea-defenses and tourism in response to growing population pressure Provide global open ocean and ice monitoring services necessary to assess the health of the oceans Allow the verification of numerous conventions, which embody the requirements for measuring various ocean parameters globally in a concerted, systematic way. The Kyoto Protocol, the Framework Climate Convention, the European Water Framework Directive, the Biodiversity Convention and the EU Marine Strategy, make obligatory for states to monitor and manage the exploitation of the marine and coastal environment Provide marine safety and security solving problems associated with marine pollution, shipping accident sand passenger vessels safety Operational missions are the only way to provide the long term, consistent quality data-bases required to study the regulating effect which ocean processes exert on climate and how climate change

Thanks to the framework provided by the GMES programme Operational Oceanography is becoming a well-established reality. GMES is providing a long term framework for flying the satellites needed to feed with data the future European Marine Core Service where the satellite data will be assimilated in conjunction with other in-situ data sources into numerical models producing ocean state estimations forecasts. The outputs from the numerical models are used to generate value-added data products for special applications, often at regional or local level The mission Sentinel-3 makes a considerable contribution towards fulfilling the requirements of the users to deliver data for operational oceanography and also will contribute for the delivery of global land services.

References Aguirre M, et al., 2007, Sentinel-3 The ocean and medium resolution land mission for GMES operational services, ESA Bulletin 131 August 2007 Baillion Y, et al., 2007, GMES SENTINEL 3: A long-term monitoring of ocean and land to support sustainable development, IAC-07-B.1.2.04 CEOS Secretariat, 2008, Conclusions of the CEOS Ocean Surface Topography Constellation Strategic Workshop Assmannhausen, Gemany. January 29–31, 2008 CEOS, 2008, Committee on earth observation satellites http://www.ceos.org/pages/overview.html CNES, 2008, Jason altimetry mission for the oceans observation http://132.149.11.177/JASON/

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Desaubies Y, et al., 2006, Towards GMES Marine Core Services, the Mersea Consortium on EC FP-6 GMES Marine Service Day, Brussels May 2006 Dorandeau J, et al., 2006, Sentinel-3 definition optimization of Sentinel-3 orbit and data sampling for meso-scale observation CLS-DOS-NT-06-085, CLS, 5 July 2006 Drinkwater M, 2007, Sentinel-3 Mission Requirements Document, CNES 2008EOP-SMO/ 1151/MD-md, ESA February 2007 ESA, 2006, harmful algal blooms monitored from space in Chile, http://www.esa.int/esaEO/ SEMUS5AATME index 1.html#subhead1, 13 June 2006 ESA, 2008,Cryosat ESA ice mission description in http://www.esa.int/esaLP/LPcryosat.html GMES, 2006, Global Monitoring for Environment and Security http://www.gmes.info Ifremer-ESA, 2008, Medspiration/Marcoast regional sea surface temperature products available in 24 hours. http://www.medspiration.org/data access/kml/10 April 2008 Le Traon P, et al., 2005, Definition scenarios and roadmap for operational oceanography. Final report to ESA contract 18034/04/NL/CB, April 2005 LeTraon, P-Y, et al., 1999, Operational Oceanography and Prediction – a GODAE Perspective, OceanObs’99 Conference, San Raphael, France MERSEA, 2008, Marine environment and security for the European area, ocean and marine applications for GMES, in http://w3.mersea.eu.org and in http://strand1.mersea.eu.org/ Montenbruck O, 2006, GNSS system requirements for Sentinel-3, SEN3-DLS-SPC-010, DLR, 24 November 2006 Ryder P, et al., 2007, GMES fast track marine core service, executive summary of the strategic implementation plan, document GAC/2007/2, ESA-EU GMES Advisory Council 2007 Scharroo R, 2008, CEOS Altimeter Constellation Workshop, Altimetrics LLC, January 2008

Advanced Space Technology for Oil Spill Detection Maral H. Zeynalova, Rustam B. Rustamov and Saida E. Salahova

Abstract Environmental pollution, including oil spill is one of the major ecological problems. Negative human impacts demands to develop appropriate legislations within the national and international framework for marine and coastal environment as well as the onshore protection. Several seas, for instance the Mediterranean, the Baltic and the North Seas were declared as special areas where ship discharges are completely prohibited (Satellite Monitoring, LUKOIL). In this regard environmental protection of the Caspian Sea has a priority status for Azerbaijan as a closed water basin ecosystem. This area, as a highly sensitive area in the World requires permanent ecological monitoring services where oil and gas from the subsurface of the Caspian Sea is developing almost more than a century. This status of the Caspian Sea is expected to be retention at least for the coming fifty years. Remote sensing is a key instrument for successful response to the onshore and offshore oil spills impacts. There is an extreme need for timely recognition of the oil spilled areas with the exact place of location, extent of its oil contamination and verification of predictions of the movement and fate of oil slicks. Black Sea region is expected to have a dramatic increase in the traffic of crude oil (mainly from the Caspian region). The main reason for these changes is the growth of oil industry in both Kazakhstan and Azerbaijan. The real substantial changes in tanker movements and routs are not clear till now. A necessity for a continuous observation of the marine environment comes afore when clarifying the tendencies of changes in the concentration of the particularly dangerous polluting substances as well as the behavior of different kinds of polluting substances in the detected area i.e., creation of a system for monitoring the pollution (L.A. Stoyanov and G.D. Balashov, UNISPACE III, Varna, Bulgaria). The exploration of geological and oil production started in the shelf of the Caspian Sea a long time ago. The Caspian Sea is a highly sensitive region on ecological and biodiversity point of view. Oil dumps and emergency oil spill have an

M.H. Zeynalova (B) Institute of Botany, Azerbaijan National Academy of Sciences, Baku, Azerbaijan e-mail: maral [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 5,

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extremely bad influence on the marine and earth ecosystem and can lead to the ecological balance. Certainly the general issue of oil and gas pipeline safety includes aspects of natural disasters and problems related to the environment. After successful construction of the Baku-Tbilisi-Ceyhan oil pipeline and Baku-Tbilisi-Erzrum gas pipeline these aspects especially became very important for Azerbaijan and definitely, for the region. The Baku-Tbilisi-Ceyhan Crude Oil Export Pipeline comprises a regional crude oil export transportation system, approximately 1750 in overall length. Generally, oil spill monitoring in the offshore and onshore is carried out by means of specially equipped airborne, ships and satellites. Obviously, daylights and weather conditions limit marine and aerial surveillance of oil spills. Keywords Space technology · Space image · Oil spill · Detection

Introduction Generally, oil spillage is categorized into four groups: minor, medium, major and disaster. Minor spill neither takes place when oil discharge is less than 25 barrels in inland waters nor less than 250 barrels on land, the offshore or coastal waters that does nor pose a threat to the public health or welfare. In case of the medium spill the spill must be 250 barrels or less in the inland water or from 250 to 2 500 barrels on land, offshore and coastal water while for the major spill, the discharge to the inland waters is in excess of 250 barrels on land, offshore or coastal waters. The disaster refers to any uncontrolled well blowout, pipeline rupture or storage tank failure which poses an immediate threat to public health or welfare. Satellite-based remote sensing equipment installed in the satellite is used for monitoring, detecting and identifying sources of accidental oil spills. Remote sensing devices include the use of infrared, video and photography from airborne platforms. In the mean time presently a number of systems like airborne radar, laser fluorescence, microwave radiometer, SAR, ERS 1, ERS 2, ENVISAT and LANDSAT satellite systems are applied for the same purposes. Currently more than a dozen satellites are in the orbit producing petabytes of data daily. Detailed description of these satellites, major characteristics of sensors can be summarized as follows:

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Spatial resolution of sensors ranges from 1 meter (e.g. IKONOS) to several kilometers (e.g. GEOS); Satellite sensors commonly use visible to near-infrared, infrared and microwave portions of electromagnetic spectrum; Spectral resolution of satellite data ranges from single band (Radarsat) to multibands (e.g. MODIS with 36 bands); Temporal resolution (repeat time) varies from several times a day (e.g. Meteosat); The majority of satellites are sun synchronous and polar orbiting, crossing the equator at around 10 a.m. local time during their descending pass;

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Digital data are available in both panchromatic (black and white) and multispectral modes.

Using the recent advanced space technology, the following methodology can be applied for the oil spills detections:

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Development of oil spill detection methods for the purpose of practical oil spill surveillance related to the space imagery with application of any weather conditions; Adaptation of the observation to other systems to predict the oil spill spread direction and flow rate characteristics, determination the pollutant contaminations; Development of appropriate data and user interface.

There is a need for effectively direct spill countermeasures such as mechanical containment and recovery, dispersant application and burning, protection of sites along threatened coastlines and the preparation of resources for the shoreline clean-up. As it is mentioned in the beginning, the remote sensing is one of the main methods for an effective response to the oil spills environmental monitoring. Timely response to an oil spill requires rapid investigation of the spill site to determine its exact location, extent of oil contamination, oil spill thickness, in particular. Policy makers, managers, scientists and the public can view the changing environment using the satellite images. Remote sensing is the discipline of observing the Earth’s surface without direct contact with the objects located at the surface. It allows obtaining information about the planet and human activities from a distance which can reveal interesting features that may not be possible or affordable from the ground level. One of the applications of remote sensing is water and coastal resources. It is essential to undertake the following aspects while using the remote sensing method:

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Determination of surface water areas; Monitoring the environmental effects of human activities; Mapping floods and flood plains; Determination of the extent of snow and ice; Measuring glacial features; Mapping shoreline changes; Tracing oil and pollutions.

The fact that remote sensing allows multi-temporal analysis is also very important. This means that an area of interest can be monitored over time so that changes can be detected. It allows analyzing phenomena like vegetation growth during different seasons, the extent of annual floods, the retreat of glaciers or the spread of forest fires or oil spills (Vhenenye Okoro, 2004). Remote sensing is a useful method in several modes of oil spill control, including a large scale area of surveillance ability, specific site monitoring and advantages of technical and technological assistance in emergency cases. There is a significant capacity of providing essential information to enhance strategic and tactical

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decision-making, decreasing response costs by facilitating rapid oil recovery and ultimately minimizing impacts. Observation can be undertaken visually or by using remote sensing systems. In remote sensing, a sensor other than human vision or conventional photography is used to detect or map oil spills.

Oil Spill Detection Oil production and transportation is started on the offshore “Azeri – Chiraq – Guneshli” oilfield, located at the Azerbaijani sector of the Caspian Sea. Therefore development and implementation of onshore and offshore oil spill monitoring and detection are highly important for the Caspian Sea basin countries. Figure 1 shows the overall map of the Caspian Sea region countries. Oil statistics of the major Caspian Sea oil producing countries are presented in Table 1. For visual observations of oil spill from the air using the video photography are the simplest, most common and convenient method of determining the location and extent (scale and size) of an oil spill. There are a number of sensors on surveillance of the sea surface:

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Microwave radiometers which allow the determination of the oil thickness; Ultraviolet and infrared scanners which allow to detect respectively very thin and very thick oil films; Laser fluorescence sensors which allow the determination of oil type.

Fig. 1 Overall map of the Caspian Sea region countries

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Table 1 Statistical information of oil producing countries Azerbaijan

Kazakhstan

It is assumed that the Guneshli oilfield will meet the domestic needs and the export volumes will be as fellows:

Currently the country meets its domestic needs. Below are presented only the export volumes from the Tengiz oil field: 1998 – 7.00 m tones 2005 – 35.0 m tones 2010 – 35.0 m tones

1997 – 1.90 m tones 1998 – 3.75 m tones 2003 – 10.00 m tones 2010 – 32.75 m tones

Application of remote sensing method for spilled oil can be discovered using a helicopter, particularly over near-shore waters where their flexibility is an advantage along intricate coasting with cliffs, coves and islands. For the spill response efforts to be focused on the most significant areas of the spill, it is important to take into consideration relative and heaviest concentrations of oil. Geographical positioning systems (GPS) or other available aircraft positioning systems creates a positive environment for localization of the oil location. Photography, particularly digital photography is also a useful instrument as a recording tool. It allows viewing the situation on return to base. Many other devices operating in the visible spectrum wavelength, including the conventional video camera are available at a reasonable cost. Dedicated remote sensing aircraft often have built-in downward looking cameras linked with a GPS to assign accurate geographic coordinates. In the open ocean spills show a less need for rapid changes in flying speed, direction and altitude, in these instances the use of low altitude, fixed-wing aircraft proved to be the most effective tactical method for obtaining information about spills and assisting in spill response. Oil spill detection is still performed mainly by visual observation which is limited to favorable sea and atmospheric conditions and any operation in rain, fog or darkness is eliminated. Visual observations are restricted to the registration of the spill because there is no mechanism for positive oil detection. Very thin oil sheens are also difficult to detect especially in misty or other conditions that limit vision. Oil is difficult to discover in high seas and among debris or weeds where it can blend in to dark backgrounds such as water, soil or shorelines. Huge naturally occurring substances or phenomena can be mistaken for spilled oil. These include sun glint, wind shadows and wind sheens, biogenic or natural oils from fish and plants, glacial flour (finely, ground mineral material usually from glaciers) and oceanic or revering fronts where two different bodies of water meet. The usefulness of visual observations is limited, however, it is an economical way to document spills and provide baseline data on the extent and movement of the spilled oil. Estimation of the quantity of oil observed at sea is the main issue for the detection of the oil spill. Observers are generally able to distinguish between sheen and thicker patches of oil. However gauging the oil thickness and coverage is not always easy and it can be more difficult if the sea is rough. It is essential to view all such estimates with considerable caution.

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Purpose of the remote sensing equipment mounted in aircraft is increasingly used to monitor, detect and identify sources of illegal marine discharges and to monitor accidental oil spills. Remote sensing devices except infrared video and photography from airborne platforms, thermal infrared imaging, airborne laser fluourosensors, airborne and satellite optical sensors use satellite Synthetic Aperture Radar (SAR). Advantages of SAR sensors over optical ones is their ability to provide data in poor weather conditions and during darkness. Remote sensing method operates detecting properties of the surface such as color, reflectance, temperature or roughness of the area. Spilled oil can be detected on the surface when it modifies one or more of these properties. Cameras relying on visible light are widely used and may be supplemented by airborne sensors which detect oil outside the visible spectrum and are thus able to provide additional information about the oil. The most commonly applied combinations of sensors include Side-Looking Airborne Radar (SLAR) and downward-looking thermal infrared and ultraviolet detectors or imaging systems. A number of remote sensors placed on Earth observation satellites can also detect spilled oil as well. Optical observation of spilled oil by the satellite requires clear skies, thereby limits the usefulness of such system. SAR is not restricted by the presence of cloud, thus it is a more useful tool. However with radar imagery, it is quite difficult to be certain if an anomalous feature on a satellite image is caused by the presence of oil. Consequently, radar imagery from SAR requires expert interpretation by suitably trained and qualified personnel to avoid other features being mistaken for oil spills. However, there is a growing interest of developing SAR to deploy on satellite platforms. Oil on the sea surface dampens some of the small capillary waves that normally are present on clean seas. These capillary waves reflect radar energy producing a “bright” area in radar imagery known as sea clutter. The presence of an oil slick can be detected as a “dark” area or one with the absence of sea clutter. Unfortunately, oil slicks are not the only phenomena that can be detected in similar manner. There are many other interferences including fresh water slick, calm areas (wind slicks), wave shadows behind land or structures, vegetation or weed beds that calm the water just above them, glacial flour, biogenic oils and whale and fish sperm. SAR satellite imagery showed that several false signals are present in a large number of scenes (Bern et al., 1993; Wahl et al., 1993). Despite these limitations, radar is an important tool for oil spill remote sensing since it is the only sensor capable of searching large areas. Radars, as active sensors operating in the microwave region of the electromagnetic spectrum are one of the few sensors that can detect at night and through clouds or fog (Schnick S, InSAR and LIDAR, 2001).

Oil Spill Monitoring and Data Development The Method of Oil Spill Monitoring Due to the operation of the oilfield “Azeri – Chirag – Guneshli” (ACG), located in the Azerbaijani sector of the Caspian Sea oil production was increased. From

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the beginning of 1997 development of ACG up to December, 1st, 2006 Azerbaijan International Operating Company (AIOC) could extract a crude oil from interior of the Caspian Sea already 81,25 million tons of oil where oilfield “Chirag” produced 51,06 million tons. The pipeline will extend the capacity and as a result of this it is a need of creating a reliable monitoring system for the more sensitive areas with the greatest oil spill risk. Exploration work and oil production began on the Caspian Sea shelf a long time ago. The Caspian Sea is characterized by an extreme ecological sensitivity and a high biodiversity. Oil damps and emergency of oil spill are an extremely bad influence for the offshore and onshore ecosystems of Absheron peninsula and can lead to an ecological disturbance. Aerial surveys of large areas of the sea to check the presence of oil spills are limited to daylight hours in good weather conditions. Satellite imagery can help greatly in identifying oil spills on water surface. The current challenge to remote sensing and GIS-based investigations is to combine data from the past and the present in order to predict the future. In the meantime it is likely that a long term or integrative study will combine remote sensing data from different sources. This requires a calibration between remote sensing technologies. Discrepancies in post-launch calibrations of certain remote sensing devices may cause artifacts such as surface area change, and so may the shift from one remote sensing source to another. However, it is possible to integrate cartographic and multi-source remote sensing data into a homogeneous time series. Remote sensing plays an integral role in environmental assessment. Remote sensing will never replace the field work and observations but it offers a great support in huge areas as follows:

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Remote and difficult access areas like dense forests, glaciated areas, swamps, high elevation, etc; Areas undergoing rapid changes; Countries with poor infrastructure and limited transportation; Areas of active natural hazards and disasters: flooded areas, active volcanic regions, forest fires, earthquake and landslide hazardous areas, etc; Construction of a broad overview or a detailed map of a large area.

Remote sensing techniques can increase the speed in which one can analyze a landscape and therefore help make quick and focused decisions. Among the available remote sensing technologies producing high spatial resolution data, aerial photography was superior to space-borne data, despite the higher spectral resolution of the latter. However, digital air-borne multi-spectral imagery such as the Compact Air-Borne Spectrographic Imager (CASI) is at least as accurate as aerial photography for the same purpose and it is less expensive to obtain and therefore more cost effective. It is also important to proceed in the evaluation of new scientific application of more common imaging techniques such as video and photography from low-flying aircrafts. In space-borne remote sensing, the IKONOS satellite was the first one to challenge the very high spatial resolution

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(1 m resolution) data obtained from air-borne remote sensing technology. The EROS satellite has a spatial resolution of 1.8 m but no multi-spectral capability. However, its future sensors are reported to generate multi-spectral combined with a spatial resolution of 0.82 m. In the mean time imagery, the QUICKBIRD satellite leads the quality list of optical remote sensing with panchromatic imagery of 0.70 m spatial resolution and multi-spectral imagery of 3 m spatial resolution (W. Ziring et al., Earth Mapping Information, 2002).

Required Parameters Spatial resolution requirements are various but it is necessary to consider even for massive oil spills. It is well known that spills at sea from windrows with widths are often less than 10 m. A spatial resolution is greater than it is required to detect these spills. Furthermore, when considering oil spills, information is often required on a relatively short timescale to be useful to spill response personnel. The spatial and temporal requirements for oil spills depend on what use would be given to the data. Table 2 estimates spatial and time requirements for several oil tasks (Brown and Mervin, Ottawa, Canada). At present time such opportunities are available on board the European Space Agency’s ENVISAT (radar ASAR) and ERS-2 satellites and the Canadian Space Agency’s RADARSAT satellite. Oil spillage on the water surface forms oil sheen. When oil is forming a thin layer on the sea surface it will damp the capillary waves. Due to the difference in backscatter signals from the surface covered by oil and areas with the lack of oil, radar satellites may detect oil spill sheens at the sea surface. Oil spills on radar images can be characterized by following parameters: – – – –

form (oil pollution are characterized the simple geometrical form); edges (smooth border with a greater gradient than oil sheen of natural origin); sizes (greater oil sheen usually are slicks of natural origins); geographical location (mainly oil spills occur in oil production areas or ways of oil transportation). Table 2 Spatial and time requirements for oil tasks Minimum resolution requirements

Task

Large spill (m)

Small spill (m)

Maximum time during which useful data can be collected (h)

Detect oil on water Map oil on water Map oil on land/shore Tactical water cleanup support Tactical support land/shore Thickness/volume measurement Legal and prosecution General documentation Lang-range surveillance

6 10 1 1 1 1 3 3 10

2 2 0.5 1 0.5 0.5 1 1 2

1 12 12 1 1 1 6 1 1

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Besides an oil spillage area scanning of sheen thickness allows to define the quantity of the spilled oil. Depending on the temperature of water, properties of oil (viscosity, density) thickness of oil spill layer will be different. A critical gap in responding to oil spills is the present lack of capability to measure and accurately map the thickness of spilled oil on the water surface. There are no operational sensors, currently available that provide absolute measurement of oil thickness on the surface of water. A thickness sensor would allow spill countermeasures to be effectively directed to the thickest portions of the oil slick. Some infrared sensors have the ability to measure relative oil thickness. Thick oil appears hotter than the surrounding water during daytime. Composite images of an oil slick in both ultraviolet and infrared sensors showed able to show relative thickness in various areas with the thicker portions mapped in infrared and the thin portions mapped in ultraviolet. Oil spills on the sea surface are detectable by imaging radars, because they damp the short surface waves that are responsible for the radar backscattering. The oil spills appear as a dark patches on radar images. However, natural surface films often encountered in the coastal regions with biological activity also damp the short surface waves and thus also give rise to dark patches on radar images. Whereas, the shape can identify oil spills. Furthermore, remote sensing can be in use of initializing and validating models that describe the drift and dispersion of oil spills. Figure 2 shows an example of oil spill of the Absheron peninsula oil spill taken by ENVISAT ASAR. This figure reflects a necessity of the permanent monitoring of the Caspian Sea for more sensitive areas.

Fig. 2 ENVISAT ASAR image in the Caspian Sea near the Absheron peninsula for oil spill due to the offshore oil production

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Underwater stream and wind transfers the oil placed on the sea surface. Oil moving speed makes approximately 60% from the underwater stream speed and 2–4% from the wind speed (Sh. Gadimova, Thailand, 2002). The following demonstrates disadvantages of the radar satellite images: – in some cases signatures of oil spill are difficult to distinguish a biogenic origin and other sea phenomena; – presence of wind have an essential influence on oil spill definition on the water surface. At a gentle breeze (0–3.0 m/s), the water surface looks dark on radar images. In this case oil sheens merge with a dark background of the sea and identification of pollution becomes impossible. The speed of wind between 3–11 m/s is a sufficient suitable case for identification of oil spills, slicks seem a dark on a light water surface. In the high speed of a wind oil spill identification will be inconvenient as they disappear from images owing to mixing with the top layer of water. For more optimum monitoring of sea oil spill is recommended to carry out the following: (i) analysis of sea surface currents; (ii) analysis of the information about the sea level, wave height and wind speed; (iii) analysis of the meteorological information, allowing to estimate speed and direction of a spot. Figure 3 shows southern of the Caspian Sea at the Volga estuary. This river carries a heavy load of pollutants originating from fertilizers washed out from agricultural fields and from industrial and municipal plants. They serve as nutrients for the marine organisms which experience a rapid growth and then generate biogenic surface slicks. The oceanic eddies which become visible on the radar images because the surface slicks follow the surface currents are very likely wind-induced. The most remarkable feature on this image is the mushroom-like feature consisting of two counter-rotating eddies. This is one more example of application of space technology for environmental monitoring of the sea surface. Except foregoing mentioned areas, an application of satellite monitoring for pipelines can include below indicated problems as:

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detection of oil/gas leaking; no authorized intrusion into a safety zone of object; detection of failures and an estimation of ecological damage; detection and monitoring of pipelines moving (can be caused soil substance).

Table 3 demonstrates the basic parameters of used equipment for oil spill monitoring.

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Fig. 3 Southern of the Caspian Sea at the Volga estuary (ERS-2 image acquired 12 October 1993, imaged area: 100 km × 100 km)

Table 3 The basic parameters of used equipment

Title

Satellite

Number of spectral wavelength, ␮m

MODIS

Terra Aqua

36 (visible, IR)

SAR

RADARSAT-1

1 (C channel, 5.6 cm)

ASAR

ENVISAT

1 (C channel)

Spatial resolution, m

Swath, km

Shooting repetition

250, 500, 1000 8. . .. 100

2300

1–2 times a day

50 . . .. 500

25 . . .. 150

56 . . .. 400

One time in a day and 1 time within 6 days Not less than one time within 5 days

Remote Sensing and GIS – Integration of Remote Sensing Information Remote sensing is broadly defined as the technique for collecting images or other data about an object from measurements made at a distance from the object. It can refer, for instance, to satellite imagery, to aerial photographs or to ocean bathymetry explored from a ship using the radar data. However, it is considered only optical images acquired by space-borne or air-borne sensors. Over the last few decades remote sensing technology was used increasingly by the scientific community to describe and monitor a variety of systems on a local or global scale. This technology evolved from pure visual imagery (e.g. panchromatic

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aerial photographs) to multi-spectral imagery (e.g. thematic map). The spatial resolution improved and reached a level at which the quality of public available spaceborne imagery challenges that of air-borne imagery for the first time. GIS are in wide use as tools to digitize remotely sensed or cartographic data complemented with various ground-truth data which are geocoded using global positioning systems (GPS). GIS can help analyze the spatial characteristics of the data over various digital layers. If sequential data are available, quantification of spatial changes becomes possible through overlay analysis. GIS is an expanding information technology for creating database with spatial information which can be applied to both human settlements (e.g. demographic databases) and to the natural environment (e.g. distribution of populations and environmental factors). Most importantly, the combination of both types of database can ensure sustainable management. GIS will continue to improve as an essential acquisition tool and analysis tool respectively not only in the analytical description of spatial subjects, but also in environmental planning, impact assessment, disaster management and simply monitoring remote sensing (Dahdouh-Guebas et al. 2002b, 162(4)). The integration of space imagery with geographic information systems allow accurate geo-positioning of pipeline vector information to the local land use and topography representation becomes a very useful planning and decision support tool. Location of the linear elements infrastructure can be placed as a vector file over a one-meter spatial resolution satellite image and colored red. Sensitive environmental areas are then identified as green through a land classification analysis on the GIS product. Location of other elements on the surface like roads, agriculture areas and infrastructures are also clearly distinguishable in case of the availability of the high spatial resolution of space imagery (Dahdouh-Guebas, F., N.: 2002a, 4(2), Wiiliam E. Roper and S. Dutta, USA). The main disadvantage of some new remote sensing technologies for instance as IKONOS is their commercial nature and the very high process charged are a limiting factor that prevents the scientific community to access these data. This is particularly true for developing countries and the republics of the former Soviet Union, the government of which may bear the high cost of aerial surveys. But make the photographs available at a marginal cost to the local academic institutions, far below the price of satellite imagery with the same resolution. Many publications exist on the effects of global change for marine environments, including oil spill effects. Apart from the integration of past and present data scientists should put a lot of efforts to the prediction of future scenarios and the establishment of early warning systems in order to help guarantee the survival of sustainable ecosystems.

Vegetation as Tool for Oil Spill Monitoring A definition of the most effective method for providing suitable and successful transportation of oil and gas through the pipelines and solution of problems related to the ecology of environment is the main requirement aspect of oil and gas safety

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transportation. Annually collects the statistical data which presents information on incidents as a result of intervention of the third party, ground landslides or spillage of methane. The purpose of investigations for finding out a new way of problem solution is development of the new approach of management for the infrastructure with use of satellite monitoring system. This approach allows pipeline operators to carry out permanent monitoring indicated of pipeline status in any weather conditions and day. Certainly general issue of oil and gas pipeline safety includes aspects of the natural disaster and problems related to the environment.

Pollution of Soil by Hydrocarbon Raw Stock and its Biological Activity Natural restoration of fertility of soil by oil pollution occurs for a longer term than in case of other technogen pollution. The sharpl changes of the water penetration owing to hydrofobization structural separateness are not moistened and water as though “fails” in the bottom horizons of a profile of soil; humidity decreases (Minbayev V.Q., Kazan, 1986). Oil and oil products cause practically full depression of functional activity of flora and fauna. Inhibitions is ability to live of the majority of microorganisms including them fermentation activity. Management of biodegradation processes of oil should be directed firstly on activation of microbic communities, creation of optimum conditions of their existence (Ismayilov N.M., Soil Ecosystem, 1984). The big heterogeneity of distribution of oil components in the soil of different areas of oilfield that depends on physical and chemical properties of concrete soil differences, quality and structure of the acted oil (Pikivskiy and Solnceva, Ecosystem, 1981) is indicated. As a result of this autopurification condition of an environment from toxic organic substances technogen origins in landscape zones and areas become different (Glazkovskaya M.A., Priroda, 1979). The soil with the possessing property of disperse heterogeneous body operates as chromatographic a column where there is a level-by-level redistribution of components of oil. It demonstrates that oppression of plants begins when the quantity of oil hydrocarbons (HC) in soil becomes 1 kg/sm2. A small amount of HC (5 g/100 g ground) stimulates activity of microflora (Slavnina T.P., Krasnoyarsk, 1984). However process of nitrification inhibits any concentration of HC; nitrification is the most sensitive process on “oil” pollution of soil (Dzienia Y.S., Microbiology, 1979). The most important conditions of the vigorous activity of microflora at the presence of oil pollution are also humidity and temperature of soil (Harper Y.J., Soil., 1939). Satin (Stellaria media L.), quack grass (Elytrigia repens L.), and cockspur (Echinochloa crusgalli L.). were discovered within the conducted investigation in a number of the oily polluted areas. This stability makes a possible of using of these vegetations for side ration during the fetor cultivation.

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Echinochloa crusgalli L., %

Days Oil Doze, %

4

6

8

15

5

8

15

0 1 2 4 6 8 10

44 38 22 32 26 19 10

60 47 33 43 37 40 25

72 56 47 56 49 46 39

73 59 53 56 59 50 55

51 42 30 36 26 24 14

62 48 32 42 36 38 22

70 61 58 54 56 50 45

During the crop of seeds these vegetations in oily polluted soils shoots of a wheat grass appeared on 3-rd, satin on 4-th and cockspur – on 5-th day (Table 4). Laboratory and field site visit investigations demonstrated that toxicity of the soil is in direct dependence on intensity and duration of pollution. It is discovered that the degree of inhibition of growth and development of vegetation is proportional to the oil doze. So, oil pollution rendered negative influence on germination of a wheat grass right after seeding of seeds in a soil. It explains both toxicity of the oil and acquirement by soil of waterproof properties. The similar picture is observed with the satin seeds and cockspur (Table 5). Within 4 days satin shoots and through 5 – cockspur shoots the similar as well as a wheat grass appeared disjointedly where the higher the concentration of oil there is a less a number of sprouts. Inhibition actions of oil were observed at the level of pollution above than 2%. An energy germination which is taken into account within 3–10 days from the date of crop in the control was equaled 100%. In process of germination of seeds with increase in a doze of polluted subsistence this value decreases and at 20% pollution of soil seeds of quack grass, satin and cockspur at all did not sprout.

Table 5 Growth and development of vegetative bodies of satin depending on a level of oil pollution (average statistical data is presented) Morphological Feature The length of cone The number of leaf The length of leaf, mm The width of average leaf, mm The length of the main root, mm Overall length of root, mm The length of lateral root, mm

Days 0

1

2

4

6

8

10

92,65 7,9 7,8 6,1 47,10 138,5 9,68

36,57 4,9 3,88 2,95 14,05 49,95 5,8

26,7 4,29 2,36 1,44 11,43 44,70 5,69

22,75 3,75 2,03 1,2 9,38 26,25 7,88

15,00 3,46 1,64 0,94 9,53 28,87 5,81

16,33 3,67 1,99 1,08 5,67 27,2 4,24

15,87 3,8 1,84 1,06 5,93 19,4 4,18

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Remote Sensing as a Tool of Protection of the Linear Infrastructure Remote sensing technology includes as sensors of imaging and non-imaging sensors data. Remote sensing and others geospatial information technologies provide a spatial and time basis for all stages of any possible terrorist threat. To these stages would be including following phases: Detection – new digital methods allow for the received data operative comparison spatial and temporal imaging and non-imaging information of the sensors for effective detection and analyzing of possible threat. Processing and analyzing the received information, it is possible to find out the elements of the potential threat and terrorist targets. Preparedness – personnel who involved for planning of emergency situations require current, correct geospatial information which should be in interrelation with an existing database. The up to date data of remote sensing helps schedulers in their work in planning the appropriate actions for prevention terrorist attacks, prediction, prevention and reduction of the risk action of the nature and other critical situations. Prevention – elements found out by means of analysis of the geospatial information provide an opportunity acceptance of the appropriate decisions for prevention of terrorist actions and attacks. Caparisoning of this information with the additional information related to the local place, for example, land cover, border of separate elements of the local place and water, and air space etc. may promote liquidation of attempts of terrorist attacks. Protection – remote sensing data in particular are very important for the analysis of vulnerability of the critical infrastructure of pipeline systems. Support technology of infrastructure for decision making as visualization of a stage and modeling of possible incident helps in protecting potential attacks and designing protective tactics and strategy. Such technologies also promote to consider of interaction of the pipeline systems with others geographically connected critical infrastructure, such as systems of water supply, settlements, power stations, railways etc. Response – efficiency of liquidation of consequences of natural disaster or human factor is possible when rapid and operative analysis of images and other acquired data received through appropriate sensors before and after disaster is carried out. Within such approach is possible to estimate a situation and make the right decision. It is necessary to note that it may promote for successful liquidation of consequences of natural disaster and also terrorist attacks as well. As far as it is identified that it is considered to apply of two types of examination pipelines for definition of leakages, so-called survey and patrolling. In the first case the purpose is detection of leakages in instrumented equipment. In the pipelines, classifying as a high risk the monitoring of leakage is recommended to conduct four times per year, as an average risk, two times and low risk, once a year. The main pipelines on transportations of oil and gas are under the ground approximately with 1 m depth. It is essential to take into account the following aspects for the zones in width of a route of 20 m along the pipeline:

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construction and ground works and excavation, imposing of cables, collectors, drainage systems and pipes, construction of buildings, under buildings, supports, etc.; hopper of soil, erosion, deep traces of the vehicles, flooded surfaces; new bushes and trees, discoloring vegetation of higher than the pipeline.

The appropriate authority person, who is in responsible for the safety of the pipeline should inform and coordinate any work carried out within the scale of 200 m for the both side of the pipeline. The system of detection of gas leakage should be capable of identification the smallest dozes of gas leakage up to a stream 0.01–10 m3/hr.

Application of Remote Sensing Methods Table 6 provides a qualitative representation application of technology of remote sensing for monitoring the pipeline which is acceptable and suitable for the technical and economic point of view. It is obvious, that full monitoring pipeline system needs application of various sensors and methods of gathering of information. LiDAR (Light Detecting and Ranging) – LiDAR – operation of this device is based on the laser radiation, working in a ultra-violet, visible or infra-red wavelength range. LiDAR systems found the wide application in the field of ecology of the environment. Presently experimental samples of the system are installed in the helicopters for detection of the major leakages in pipelines during the transportation of oil and gas. Thermography – the system is the optical converter of infra-red radiation to the visible spectrum range. The spectral range determining their area of spectral action there are in an interval ␭ = 3–5 ␮km and ␭ = 8–12 ␮km which are corresponding to the windows of transparency of the atmosphere. In case of the automated monitoring pipelines for transportation of oil and gas combination of radar and photographic systems with thermographic methods allows assessment of the image with high accuracy and this availability will increase a probability of detection and reduce the number of the false information.

Table 6 Availability of remote sensing for oil and gas pipeline monitoring Sensor system

Object recognition

LIDAR Thermography High-resolution optical systems Hyperspectral sensors Imaging SAR systems Interferometric SAR

X X Y X X

X = available basically, Y = possible suitable

Leakage oil and gas detection

Earth movement monitoring

X Y X Y X X

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Optical Systems of the high sanction – Optical systems of the high sanction are applicable for any platforms. For registration of the information as the digital image is using a linear photosensitive semiconductor CCD systems with quantity of elements about 12 000. Using the similar systems, adjusting them on various wavelength of spectrum it is possible of fabrication of multispectral complexes for the wide wavelength of radiation. Presently most widely used data of the satellite, as in special as well as in commercial purposes is the IKONOS satellite. The orbit of the satellite is at height of 680 km from a terrestrial surface with width of a covering of the image about 11 00 km. Operation of this system basically is the within the visible spectral range that limits the implementation of monitoring when the condition of weather is not applicable for receiving the information. The fact is the work of IKONOS depends on the condition of atmosphere. Hyperspectral Sensors – Hyperspectral sensors measure a degree of reflection of natural and artificial objects with the high spectral resolution which allow to identify different items existing on the surface of the ground. They are huge elements on the surface of the ground (pigments of vegetation, minerals, rock, artificial surfaces) give the different spectra of absorption. It allows carrying out the analysis and identification of images on the basis of the collected information. Display SAR (Synthetic Radar of the Aperture) Systems – SAR systems provide the holographic image of the local place, scanned by radar. Selecting the appropriate frequencies of spectral lengths is possible to achieve the spectral area which is transparent for the atmosphere. In this case atmospheric influences may not become a handicap for carrying out a permanent monitoring the earth a surface and detection of images. Change of resolution SAR demands of changing of the aperture and aerials of this system that limits its wide application. Interferometric SAR – Interferometric SAR uses the phase information contained in the radar waves of two or more SAR images to develop terrain models and detect ground surface movements in the centimeter range. With tandem operation of identical SAR satellites such as the combined flights of the European ERS-1 and ERS-2 and the planned operations of Radarsat II and Radarsat III, images of the same area can be recorded with very short intervals of one day (ERS) or even only a few minutes (planned by Radarsat). As regards pipeline monitoring, this method could conceivably be in use of detecting subsidence following water abstraction and the collapse of subterranean hollows or for monitoring slopes subject to slippage.

Remote Sensing Data Analysis Investigation of the petroleum hydrocarbons on a plot and its analysis is advisable to conduct before and after the oil spill, to characterize changes in vegetative condition through time. Figure 4 shows an example of the oil spill accident occurred due to the third party intervention. This area was used for further investigations as a spilled area indicated for a long term ecological monitoring site (David Reister et al., partnership programme).

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Fig. 4 Oil spilled area

An implementation of these studies started from the collection of remotely sensed data from ground, airborne and satellite and the results of all information were combined. Oil spill site has a plant canopy dominated by creosote bush (Larrea tridentata) shrub land. Qualitative field investigations indicated that upper plant canopy contact with the diesel fuel was manifest as etiolation that resulted in a grey to white color of the upper canopy and a white to slight reddening of the lower canopy graminoids and litter, partial and complete defoliation of shrubs, apparent high mortality of much of the above ground phytomass, including grasses, cactiods and biological crusts and darkening of the orange-red alluvial soil. It was an evident that the spill boundary could be delineated on the bases of smell, as diesel was still volatizing from the soil. These features were still valuable evident one year after the release. It is necessary to note that the canopy dominant, creosote bush is expected to recover from the diesel spill. This aspect of plant physiology is significant for studies of resilience in desert ecosystems. Following application of the oil, vegetation damage was assessed visually via changes in leaf color and leaf fall. It showed three main time frames for injuries:

r r r

immediate occurring during the initial growing season and cumulative, occurring after the initial growing season

Virtually all aboveground foliage that came into contact with the oil was quickly cleaned up. Turgidity was immediately reduced and foliage appeared dead within several days. The zone of contact was generally limited to the immediate areas and to areas of low relief in the pass of aboveground flowing oil (Jenkins et al., Arctic, 1978). In contrast, cottongrass tussock with a raised, upright growth form and species growing on areas of higher relief kept most of their aboveground biomass above the oil. These species continued to grow and flower despite their being surrounded by oil (Fig. 5).

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Fig. 5 Cottongrass tussock growing on spill plot despite surrounding oil

The features of vegetation and natural growth as physical and biological parameters depends of the oil spill interaction can be used a key instrument of spectral behaviors of information within the data processing of space images for linear infrastructures.

Remote Sensing Technology of Relevance to the Oil Spill Treaty Oil Spill Monitoring – The Bonn Agreement, officially known as The Agreement for Cooperation in Dealing with Pollution of the North Sea by Oil and Other Harmful Substance (1983) is an example of a rigorously enforced agreement within the context of the International Convention for the Prevention of Pollution from Ships (MARPOL). Under the Bonn Agreement, monitoring procedures were set up to track oil spills to the ships of origin. Because oil slicks change the surface roughness of water bodies under the windy condition that generally prevail on high seas and this registers as changes in backscatter on radar instruments, SAR images proved to be useful for spill monitoring. However, radar images generally give an unacceptable number of false positives, so the technology is only applicable as a surveillance tool in conjunction with infrared and ultraviolet sensors, used for reconnaissance and confirmation of potential slicks. Under the Bonn Agreement, photographic evidence is still required in order to bring a ship’s owner to prosecution. From 2002, the International Maritime Organization is required vessel tracking transponders on all commercial ships; this permits back-tracking of vessels to the scene of an oil slick several hours after the initial incident occurred. However, the potential for a fully automated system is some ways off (Alex de Sherbinin and Ch. Giri Rio de Janeiro, and October 2001). Opportunely and fast note in their own treatment of the subject that the legal systems in most countries still require the testimony of a person such as a coastguard officer, in addition to remote sensing images and photographs.

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Conclusion Advances in information systems, satellites imaging systems and improvement software technologies and consequently data processing led to opportunities for a new level of information products from remote sensing data. The integration of these new products into existing response systems can provide a huge range of analysis tools and information products that were not possible in the past. For instance, with the higher resolution of the space imagery and change detection of the linear infrastructure situational awareness and damage and assessment by impact of the variety of reasons can be implemented rapidly and accurately. All this presented information sources can be valuable in the response, recovery and rehabilitation phases of the preparedness management issue. The lack of periodically observation data for satisfaction needs in oil and gas spills is the main obstacle for the mentioned problem. In this regard satellite data can be playing a significant place. For more success in this sphere spatial and non spatial data would be integrated with the geographic information system. This system has to be integrated for the regional scale covering the whole regions state around the Caspian Sea. The presented above results show a sensitivity of parameters of various vegetations to the influences of oil pollution. Such behavior opens an opportunity of use of those behaviors of vegetations for monitoring of the linear infrastructures as environmental indicators. These indicators significantly could be in use as a key instrument within the data processing and interpretation of space images for safety and security issues of the transportations of oil and gas pipeline infrastructure. At the time available technologies for successful implementation of issues related to the pipeline safety were discussed. Depends of the existed huge of problems and tasks appropriate technology as well as system can be applied and carried out for these purposes.

Acronyms ACG AIOC CASI GPS HC MARPOL LIDAR SAR SLAR

Azeri-Chirag-Guneshli Azerbaijan International Operating Company Compact Air-Borne Spectrographic Imager Global Positioning Systems Hydrocarbons Convention for the Prevention of Pollution from Ships Light Detection and Ranging Synthetic Aperture Radar Side – Looking Airborne Radar

References Bern T-I., Wahl T. Anderssen, and R. Olsen (1993) “Oil Spill Detection Using Satellite Based Sar: Experience From A Field Experiment”, Photogrammetric Engineering And Remote Sensing, 59(3), pp. 423–428.

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Carl E. Brown, and F.F. Mervin, “Emergencies Science Division, Environmental Technology Centre Environment Canada”, Ottawa, Canada. Dahdouh-Guebas F., Kairo J.G., Jayatissa L.P., Cannicci S., and Koedam N. (2002a) “An Ordination Study To View Past, Present And Future Vegetation Structure Dynamics In Disturbed And Undisturbed Mangroves Forests In Kenya And Sri-Lanka”, Plant Ecology, 162(4). Dahdouh-Guebas, F., Zetterstrom, T., Ronnback, P., Troell, M., Wickramasinghe A., and Koedam (2002b) “Recent Changes in Land-use in the Pambala-Chilaw Lagoon Complex (Sri-lanka) Investigated Using Remote Sensing and Gis: Conservation of Mangroves vs. Development of Shrimp Farming”, in f. Dahdouh-Guebas (ed), Remote Sensing and GIS in the Sustainable Management of Tropical Coastal Ecosystems, Environment, Development and Sustainability, 4(2), pp. 93–112. Dzienia Y.S., and D.W.S. Westlake (1979) “Crude Oil Utilization by Fungi” Canadian Journal of Microbiology, 24. Gadimova Sh. (2002) “Use Of Space Technologies For Detection And Observation Over Pollution Of A Coastal Zone”, United Nations Regional Workshop on the Use of Space Technology for Disaster Management for Asia and the Pacific, Thailand. Glazkovskaya M.A. (1979) “Autopurification Ability Of The Environment”, Priroda, 3. Harper Y.J. (1939) “The Effect Of Natural Gas The Growth Of Micro-Flora”, Soil Science, 48. Ismayilov N.M. (1984) “Microbiological and fermentative activity of the oily contaminated soil”, Journal of Restoration of the oily contaminated soil ecosystem. Moscow. Jenkins T.F., L.A. Jonson, C.M. Collins, and T.T. McFadden (1978) “The Physical, Chemical and Biological Effects of Crude Oil Spills on Black Spruce Forest”, Interior Alaska. Arctic, 31(3), pp. 305–323. Minbayev V.Q. (1986) “The Problem of Land Cover in Petroleum Production Regions”, Kazan. Okoro V. (2004) “Pipeline Vandalisation And Oil Spillage Monitoring Using Remote Sensing: A Case for Nigeria” National Workshop on Satellite Remote Sensing, Nigeria. Pikivskiy U.I., and N.P. Solnceva (1981) “Geochemical Transformation Of Sod-Podzol Soil Under Influence Of Oily Flow”, Journal of Man-caused flow of substances of landscape and condition of ecosystem. Moscow. Reister D., R. Washington-Allen, and A. Stewart., (2001–2004) “Remote Sensing for Environmental Baselining and Monitoring”, Final Report, US DOE FEW FEAC320 Natural gas and oil technology partnership program. Roper E. W., and S. Dutta. (2006) “Oil Spill and Pipeline Condition Assessment Using Remote Sensing and Data Visualization Management Systems”, George Mason University, 4400 University Drive, MS 5C3, Fairfax, VA 22030, S&M Engineering Services, 1496 Harwell Ave., Crifton, MD USA 21114–2108. Kostianoy A.G., Lebedev S.A., Soloviev D.M., and O.E. Pichuzhkina (2005),“Satellite Monitoring of the Southeastern Baltic Sea”, Annual Report 2004 of LUKOIL. Lukoil-Kaliningradmorneft, Kaliningrad. Schnick S, and Tao V. (2001), “Application of LIDAR Technology For Pipeline Mapping And Safety” Proceeding of ISPRS WG III2, Workshop on Three-dimensional Mapping from InSAR and LIDAR. Canada. Sherbinin A., and Ch. Giri. (2001) “Remote Sensing in Support of Multilateral Environmental Agreements: What Have We Learned from Pilot Applications?” Prepared for presentation at the Open Meeting of the Human Dimensions of Global Environmental Change Research Community, Rio de Janeiro, 6–8 October. Slavnina T.P. (1984) “Influence Of The Oily And Oily Substances To The Soil Properties”, Melioration of the Siberian lands, Krasnoyarsk. Stoyanov L.A., and G.D. Balashov “Monitoring Of Oil Pollution In The Black Sea”, Gef Black Sea Environmental Programme, UNISPACE III Proceedings, Emergency Response Activity Centre on the Environmental and Safety Aspects of Shipping, Research Institute of Shipping, Varna, Bulgaria.

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Wahl, T., K. Eldhuset, and A. Skoelv (1993) “Ship Traffic Monitoring And Oil Spill Detection Using Ers-1.” Proceedings Conference of Operalization of Remote Sensing, ITC. pp. 97–105. The Netherlands. Ziring W., D. Hausamann, and G. Shreier (2002) “High-Resolution Remote Sensing Used To Monitor Natural Gas Pipelines”, Earth Observation Magazine –the magazine for Geographic, Earth, Mapping Information, March.

Part II

Innovative Tele-Heath Applications and Communication Systems

From Orbit to OR: Space Solutions for Terrestrial Challenges in Medicine S. Pandya

Abstract Beginning with a brief review of the dawn of the Space Age and the historical context that spurred such tremendous technological achievement, this chapter explores the use of space technologies in the context of their applicability to medicine on Earth. Space missions have become increasingly ambitious, calling for ever-more rigorous technologies to ensure functionality, survival and safety. The necessity for highly accurate, reliable and advanced technologies in space science and manned spaceflight has resulted in impressive advances in imaging, new materials and computer technologies. These advances have in turn been spun-off for application in medicine, a field that similarly demands highly precise, durable equipment. The chapter explores such medical spinoffs in the context of three categories: diagnostics & imaging, treatment & management and safety. Meanwhile, the need to understand human adaptation and physiological response in the harsh space environment has spawned an immense pool of research on the subject, the knowledge of which has also been applied towards understanding disease processes, treatments and management strategies on Earth. Topics explored here include spinoffs as they relate to particular aspects of the space environment, specifically radiation exposure, physiological response to micro-gravity, pressure, temperature & atmosphere, nutrition & diet and psycho-social issues. Special attention is given to telemedicine and its spinoffs, owing to its potential to address issues of healthcare accessibility and global development. These latter two topics are further explored in two case studies at the end of the chapter. Ultimately, space technologies are shown to be highly relevant and beneficial in day-to-day medicine on Earth, and continue to advance the limits of accuracy, efficiency and survival on Earth. Keywords Space medicine · Spinoff technology · Telemedicine · Healthcare accessibility

S. Pandya (B) University of Alberta, Sherwood Park AB, T8B 1C9 Canada e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 6,

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Introduction Few human endeavors can capture the public imagination like space exploration can. After all, the adventure, the grandeur and feats of scientific and technological achievement are of a level previously unseen in the history of human exploration. Nor do these advancements exist in a vacuum, so to speak. Given the level of durability and portability necessary to endure the harsh and weightless space environment, space technologies are developed to the highest levels of precision. These qualities can in turn be translated to apply to demanding terrestrial environments. This is particularly true for medicine, given its same necessity for reliable technology. After all, institutes like NASA and the American National Cancer Institute have a common need for cutting-edge technologies in the fields of informatics, minimally invasive detection, diagnosis, and disease and injury management. As such, space technologies intended for space medicine and for other purposes have since been tailored, or ‘spun-off,’ to apply to terrestrial medical needs. This is reflected in the number of research institutes that have arisen since the first days of manned spaceflight. In the competitive days of the Cold War, both the Americans and the Soviets poured funding into human spaceflight research, initially with NASA & ROSKOSMOS, and later with research centers dedicated solely to human spaceflight research, beginning with NASA’s Johnson Spaceflight Centre in

Image Credit: Google Image Bank, http://www.wallpapergate.com/postcard10481.html

Space exploration is one of the most exciting and ambitious ventures in space exploration

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1961 and the USSR’s Gagarin Cosmonaut Training Centre in 1960 (NASA 2005, YGCTC). Present-day space medical research has evolved tremendously since then, spawning space medicine research within – and between – major space agencies the world over, from the Canadian Space Agency (CSA 2006) to the Japanese Space Exploration Agency (JAXA) to the European Space Agency (ESA 2004). Nor is human adaptation to space limited to the agency-based programs: the present-day playing field is equally rife with university-based research departments, privatelyled research and development companies, national and international representation organizations and collaborative efforts between these institutions. For example, space medicine entities in the United States today include NASA’s Johnson Space Centre, the National Space Biomedical Research Institute (NSBRI 2008) (created as a result of a 1997 NASA funding competition), the Aerospace Medical Association, the Vanderbilt Society for Space Physiology and Medicine, based out of Vanderbilt University, and smaller, private companies like Orbital Outfitters, a company dedicated to spacesuit research. The story is the same internationally, too: beyond agency-led research centers, there are numerous private, national and international research organizations, from the International Academy of Aviation and Space Medicine to the French Institute for Space Medicine and Physiology to private pharmaceutical research. The remainder of this chapter shall explore the use of space technologies in the context of their use for addressing medical challenges on Earth. Beginning with a brief history of manned spaceflight, this chapter will first explore space technologies that have since been applied to medicine, before moving on to physiological challenges and health risks involved with manned spaceflight today. This latter section on human adaptation in the space environment will also present on-going research and countermeasures designed to mitigate these threats, which have since been applied to disease research in diagnostics, treatment and diagnosis in terrestrial medicine. The chapter will end with a special section on the burgeoning field of telemedicine, exploring space telemedical technologies that have been applied to similar environments and circumstances on Earth. Two case studies will further explore the necessity of telemedicine for addressing challenges in global health and development, and the application of space technology to telesurgery.

The Dawn of Human Spaceflight More than a quest for scientific return or adventurous exploration, the dawn of the Space Age was a product of the American-Soviet rivalries from the Cold War in the mid-20th century, a competition for global recognition as the dominant political, technological and nuclear superpower of the world. It is hardly surprising, then, that any accomplishment in the domain of space exploration during that time was not an achievement, but rather a challenge to the opposing side to do more and do it better. However, the era, tense though it was, also spawned one of the most scientifically productive and technologically innovative periods in human history.

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The Soviet satellite Sputnik was the first man-made object in space

Image Credit: Google Image Bank, http://missinglinkpodcast.files.wordpress.c om/2008/03/sputnik.jpg

Beginning with the launch of space-faring gizmos and crafts, the race quickly escalated. The Soviet launch of the satellite ‘Sputnik’ marked the first victory of the Cold War in late 1957 with the first man-made object in space. This was quickly followed by another Soviet victory, as Laika the dog became the first living organism in space. Of course, the Americans, not to be outdone, rallied back, sending Gordo the monkey to become the first primate to space. With this upward evolutionary trend, it became clear that a human sojourn was not far on the exploration horizon. Before this dream could be realized, however, a lot had to happen: neither Laika nor Gordo made it back alive. Laika died from overheating and stress mere hours into her journey while Gordo’s parachute failed to deploy upon reentry, leaving him to sink to the depths of South Atlantic upon return – hardly acceptable outcomes for a human mission given the high stakes involved. The details of any manned mission needed to be executed to perfection – and the animal ventures into space, while victories in and of themselves, were also intended as precursors to that coveted goal of a successful two-way manned mission. (BBC 2008; Harding 1989) Though cognizant of space as a hostile environment, scientists on both sides remained unaware of the full range of hazards involved with spaceflight: animal experimentation helped piece the puzzle together, yielding new information as to the consequences of extra-terrestrial travel. Subsequent generations of animals, from dogs to mice to flies, completed successful round-trip journeys to space, thus demonstrating that survival in micro-gravity was possible. This ultimately paved the way for the first human journey on 5 May 1961, with the 108 minute orbit of Soviet cosmonaut Yuri Gagarin, followed by US astronaut Alan Shepard less than a month later. These successful voyages opened the floodgates to human ventures into space. Gagarin and Shepard’s journeys were swiftly followed by ever-greater milestones in space travel, beginning with the first female space explorer in 1963, cosmonaut Valentina Tereshkova, continuing with the first space-walk in 1965 by Soviet explorer Alexei Leonov, and culminating with what became perhaps the most ambitious and adventurous undertaking in human history: the 1969 Apollo Moon landing by American astronauts Neil Armstrong and Buzz Aldrin. (BBC 2008; Harding 1989)

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Photo Credit: Google Image Bank, http://commons.wikimedia.org/wiki/Image: Neil_Armstrong_pose.jpg

The first space explorers. Soviet Cosmonaut Yuri Gagarin (left) was the first human in space, while his American counterpart, Neil Armstrong (right) was the first man on the Moon

Glorious though they were, these successes were not easily wrought: even with extensive testing, preparation and animal experimentation, both sides had their setbacks and tragedies. Cosmonaut Vladimir Kopmarov perished in 1967 when the parachute of his Russian Soyuz I capsule failed to deploy upon re-entry. That same year, 3 American astronauts were killed in a flash fire when the 100% oxygen atmosphere of Apollo I ignited. The sum total of these unfortunate incidents, taken with the evolving needs of human spaceflight as missions became longer, ventured into more unforgiving environments, and took on new goals, shaped the evolution of space medicine to its present form today: a field devoted to minimizing risk, maximizing functionality and accommodating physiological changes in the space environment. This evolution was accompanied by incredible advances in optics, physics, materials and related technologies. Best of all, these innovations prove themselves to be greatly useful in every day terrestrial applications, too. The next section explores those space technologies that have since been applied to terrestrial medicine. (BBC 2008; Harding 1989)

From Orbit to OR: Space Technologies That Have Transformed Medicine Medical technologies have come a long way in the twenty-first century, due in no small part to advances in other areas of science, from laser technology to materials engineering: automatic insulin pumps, portable x-ray devices, cataract surgery tools,

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CCD technologies used in the Hubble telescope are now used for breast cancer screening, decreasing the time, pain, scarring and costs compared to traditional biopsy procedures

Photo Credit: Marshall Space Flight Centre Technology Transfer Program, http://techtran.msfc.nasa.gov/at_home/ hospital2.html

high-tech imagers, implantable heart aids – they’ve all come from space. This next section briefly explores space-technology-inspired advances in three key areas of healthcare: diagnostics & imaging, treatment & care and safety.

Diagnostics & Imaging Medical imaging techniques are constantly being refined, and this effort has been aided by various space technologies over the years. Digital image processing techniques developed at NASA’s Jet Propulsion Laboratory to allow for computer enhancement of lunar pictures from the Apollo missions have since led to improved MRI and CT imaging (NASA-TTP n.d.). Techniques in astronomy have also refined imaging. The very same infrared sensors used to remotely observe the temperature of stars and planets are now being used to help surgeons map brain tumors. Charge-Coupled Device chip technologies stemming from the Hubble Telescope have greatly furthered breast cancer detection techniques, allowing breast tissue to be imaged more clearly and efficiently, thus increasing resolution so as to be able to distinguish between malignant and benign tumors without resorting to surgical biopsy. Moreover, the procedure is ten times cheaper than a surgical biopsy, and greatly reduces the pain, scarring, radiation exposure and time associated with surgical biopsies (The Space Place 2004). Breast cancer diagnosis has also been helped along by NASA-derived solar cell sensors that lie under X-ray film and emit a signal after the film has been adequately exposed, thereby reducing radiation exposure and doubling the number of assessments that can be done per X-ray machine. Elsewhere, NASA ultrasound technology has also been spun-off to create an Ultrasound Tissue

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Damage Assessor that can assess burn depth, in turn increasing the propriety of prescribed treatments and saving lives. (NASA-TTP n.d.) Other diagnostic devices have been helped along by space technologies: battery technologies, for example, have been spun-off to create a temperature capsule for measuring internal body temperatures, while NASA image processing techniques have been adapted to create an ocular screening test for young children by flashing light at the retinas and analyzing the resultant retinal reflex by way of a photorefractor, thereby imaging each eye. NASA studies in fluid dynamics, finally, have been spun off to create a urinalysis system that automatically extracts and transfers sediments to an analyzer microscope. (The Space Place 2004)

Treatment & Care Such innovations have also found their way into treatment and management aspects of medicine. For example, Goddard Spaceflight Centre’s spacecraft electrical power system has been applied to an Advanced Cardiac pacemaker, thus eliminating the need for recurring surgeries to implant a new battery. Cardiac pacemakers have also benefitted from a multitude of other NASA-spawned technologies to generate programmable pacemakers that communicate via wireless telemetry. Cardiology has also benefitted in other respects: for example, “cool” or excimer lasers have been applied to angioplasty, such that the laser is able to clean clogged arteries with high precision without damaging blood vessel walls, creating an alternative to balloon angioplasty that results in fewer complications. (The Space Place 2004) Satellite technologies, too, have been put to good use in medicine to create a human tissue stimulator implanted in the body to help patients control chronic pain and involuntary motion through electric stimulation of specific nerve and brain centers (The Space Place 2004). Diabetic foot patients, meanwhile, have benefited through a shock absorption footwear system based on magneto-rheological fluids, thereby preventing foot injuries (The Space Place 2004). Nor have advanced ultrasound imaging techniques been limited to diagnostic spinoffs: while diagnostic ultrasound can be used to image tumors, trauma and lesions, High-Intensity Focused Ultrasound devices that can destroy unwanted tissue or cauterize a lesion without resorting to invasive surgical treatment are currently under development (NSBRI 2008).

Safety Prevention is one of the most important and cost-saving measures in public health, and safety measures go a long way towards preventing injury and disease. Spinoff technologies have a role to play here, too. Aerogel, for example, the most effective insulating material in the world, was originally used to insulate Mars probes, but now also lines the jackets of extreme-weather jackets commissioned for Antarctic missions (ESA-TTPb 2008). On the other side of temperature extremes, NASA

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pyrotechnic technologies have been used to create lightweight cutters used to free trapped motor vehicle collision victims. Along similar lines, fire protective paint first developed for the Apollo re-entry module is now used in high-rise buildings as a coat on steel beams. Other public safety measures stemming from spinoffs include better vehicle brake linings arising from high-temperature composite space materials and clean-room laminar air-flow techniques now used to decrease exposure to exhaust fumes at tollbooths. (The Space Place 2004) Of course, beyond diagnostics and treatments, physiology, behavior and mechanisms of disease are crucial to truly understand and limit an illness, and research goes a long way towards furthering our understanding of disease processes. As the next section will show, research on human adaptation in the space environment has created a wealth of knowledge and advances in for diseases that follow similar physiological patterns on Earth. From pyrotechnic technologies, NASA has developed lightweight Life Shear cutters to free vehicle collision victims trapped in wreckages

Photo Credit: NASA, http://www.hq.nasa.gov/pao/History/presrep95/ techtran.htm

Thriving in Space: Challenges & Solutions in Space Medicine By far, one of the most exciting and ambitious ventures in space exploration is human spaceflight; this endeavor, more than any other, has captured the public imagination and inspired future generations of explorers and scientists. Yet survival in space is no easy task: the space environment, after all, is an extremely hostile place, and it takes much preparation and protection in order to protect the fragile human body from the harsh space environment. Space is a place of extremes and wild fluctuations – radiation and temperature are examples. Beyond these parameters, there are other considerations, including micro-gravity, the vacuum of space, the potential for exposure to harmful organisms, and the threat of dust, debris & micro-meteoroids. For the majority of human beings

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Photo Credit: ISS Project, http://blog.genyes.com/index.php/2007/05/25/international-space-station-projectglobal-collaboration-opportunity/

As space missions increase in duration and complexity, more risk factors and countermeasures come into play for astronauts. Stays aboard the International Space Station (above) can last as long as 6 months

that have yet to venture beyond the confines of Earth’s lower atmosphere, these are issues of minimal concern. After all, the atmosphere does a more-than-adequate job of deflecting most of the sun’s UV radiation, thermally insulating the planet, providing a breathable mixture of gases at just the right pressure and burning up most wayward meteors, while the Earth’s magnetic field provides an added layer of protection against cosmic and solar radiation. The Earth’s gravitation pull, meanwhile, forms the cornerstone of life: all organisms have evolved in some way to adapt to and occasionally benefit from Earth’s gravity. With respect to all of these elements, the story changes considerably in space. As such, manned spaceflight is risky business – and to compound the problem, space medicine today can no longer content itself with ensuring ‘mere’ survival. Ambitious projects from six-month-long stays aboard the International Space Station (ISS) to delicate maneuvers on extra-vehicular activities (EVAs) to up-and-coming projects such as NASA’s planned lunar base and eventual foray to Mars mean that the challenge of a human presence in space is no longer one of surviving, but rather one of thriving in space. Meanwhile, the triple threats of the hostile space environment, the body’s physiological response and the need to accommodate human activity demand meticulous mitigation, training and technological support. However, as this chapter will show, the physiological problems that plague astronauts aren’t so different from many of the diseases and disorders that plague the remaining

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99.999994% of earth-bound humans. Thus, ongoing research in space medicine bears important applications to medicine on Earth.

Radiation Radiation comes in two forms, electromagnetic (non-ionizing) and ionizing, both of which become problematic anywhere beyond Earth’s magnetosphere, which extends tens of thousands of kilometers into space. The difference between the two stems from their energy levels; ionizing radiation is high energy, and is able to strip atoms of their electrons, while electromagnetic radiation, being of low energy, is not. Electromagnetic radiation, consisting of low energy ultraviolet (UV), visible, infrared, microwave and infrared emissions, are no longer filtered out past this boundary, and thus have the potential to cause significant radiation burns, through the sun’s UV rays, for example. To compound the problem, ionizing radiation, consisting of high energy UV rays, x-rays and gamma radiation, is no longer filtered out either, and due to its high energy, becomes the foremost problem when considering radiation. This high-energy ionizing radiation in space is typically attributed to three sources: Galactic Cosmic Radiation (GCR), Solar Cosmic Radiation (SCR) and Van Allen Belt particles. Of these, GCR is the most penetrating, since it is the highest in energy, whereas SCR becomes significant during large solar flare events, which result in increases in x-ray emissions: even the best spacesuits today would be unable to protect an unlucky astronaut caught outside during an EVA or lunar/Martian ground excursion over in the event of a solar flare. (Eckart-a 1996; Eckart-b 1999) The International Space Station, nestled in a stable orbit at approximately 400 km, is largely free of these concerns, being firmly within the reach of the magnetosphere, whereas any other destinations of interest, including the Moon and Mars, are not. The Moon’s magnetic field is negligible, and Mars, though farther from the sun, has a magnetic field only 1/10 000th that of Earth’s – at best (Luhmann and Russell 1997). To put this into perspective, the average Earthling absorbs

Photo Credits, left to right: IEAP; http://www.ieap.uni-kiel.de/et/ag-heber/cospin/gallery.php, Astronomy Cafe http://www.astronomycafe.net/qadir/ask/a11789.html;Futurismic, http://futurismic.com/2008/04/03/study-findsno-solar-link-to-climate-change/

Beyond the confines of Earth’s magnetic fields, high-energy radiation sources such as Galactic Cosmic Radiation from galaxies (left), van Allen particles (center) and Solar Cosmic Radiation (right) become a significant risk for living creatures

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approximately 1.7 mSv of radiation on Earth in one year. By comparison, an intrepid explorer traveling in a radiation-shielded spacecraft would still be exposed to approximately 50 mSv after passing through the Earth’s Van Allen belts and GCR flux and completing a roundtrip to the Moon. Venturing further, between travel in deep-space for six months at a time and an 18-month ground stay on Mars, an astronaut might be exposed from anywhere between 730 mSv up to 1 Sv, or averaging that out over one year, about 400 mSv – nearly 400 times the exposure on Earth. (Eckart-a 1996; Eckart-b 1999) The issue with radiation damage lies in the biological damage that can occur, especially to DNA, potentially causing unchecked cell division and cancers of the lung, breast, gastrointestinal tract and/or leukemia. Acutely, large doses of radiation over a short period of time can result in radiation sickness, resulting in radiation burns, nausea, vomiting, hair loss, fatigue, anorexia, diarrhea and hemorrhage up to two weeks post-exposure. Although individual effects depend on sex, stamina and exposure dose and during, the risk of fatal cancer generally increases by 2–5% for every 500 mSv dose of radiation. (Eckart-a 1996; Eckart-b 1999) Nor is the issue limited to human health hazards: the same ability to damage and disrupt DNA applies to plants, presenting issues for any life-support systems incorporating agriculture. Even inanimate objects are affected by radiation exposure: depending on the rate of absorption, total exposure and transient changes in radiation levels, radiation will affect the mechanical, electrical and optical properties of different materials, leading, in some cases, to system breakdowns. More recently, certain medications and antibiotics have been found to have a decreased shelf-life and compromised stability in space, and increased radiation exposure is thought to be the main cause. (Eckart-a 1996; Eckart-b 1999) These concerns have spawned a large body of work as to radiation detection, protection and injury repair, many of which can be applied to high-radiation environments on Earth. The newest detection technologies have made considerable gains in accuracy and portability. For example, while neutrons can account for one-third of the total dose of radiation that astronauts are exposed to, most instruments do not adequately measure neutrons at particularly high energies, thus missing the secondary neutrons that accompany galactic cosmic rays, for example (NSBRI 2008). While no compact, portable, real-time neutron detector instruments are currently available, NSBRI researchers are working to create a neutron detector that would be lightweight and portable. Meanwhile, NASA technology has already created a commercially available microwave radiation detector weighing only 4 ounces and bearing the dimensions of a pack of gum. The device is designed to clip to a belt loop or shirt pocket and sound an audible alarm when environmental microwave radiation reaches a preset level (The Space Place 2004). Such devices hold important benefits for radiation safety on Earth, too: after all, radiation can be a problem in nuclear power plants, high elevations (especially over the poles, where the magnetic fields are weak), and in research labs. Research projects centered on creating new radiation-resistant materials for ships and spacesuits will be similarly useful for protection in high-radiation environments on Earth.

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Research in space radiation protection has led to the development of nanoparticles capable of finding, flagging and delivering reparative enzymes to the cell once damage has occurred. Such protection will prove equally beneficial to radiation therapy and radiation toxicity patients

Photo Credit: Centre for Biologic Nanotechnology, University of Michigan Ann Arbor: science.nasa.gov/.../y2004/28oct_nanosensors.htm

In addition to advances in radiation-resistant materials, there is also a need for post-injury repair. One NASA-NSBRI initiative, for example, is looking at a pharmaceutical that can lengthen specific parts of the cell cycle during cell division to allow more time to check its genes for any damage, radiation-induced or otherwise, and subsequently repair its DNA, or in cases of severe damage, destroy the injured cell (Science at NASA-a 2002). The solution focuses on the use of nanoparticles to find, flag and deliver pharmaceuticals in extremely tiny drug-delivery capsules only nanometers in size, smaller than even a wavelength of visible light! Since radiation-damaged cells bear CD-95 protein markers on the outsides of their cell membranes, the nanoparticles include complementary molecules that can bind to the CD-95 markers and release the nanoparticles into the cell. Once inside, the nanoparticle can deliver cell-repairing or cell-killing enzymes, depending on the extent of the damage. (Science at NASA-d 2002) These findings are further enhanced by research studying species that fare extremely well in the face of high radiation exposure. Some projects centre on evaluating the effects of various types of radiation on the immune and blood-forming system, and the potential benefits of various drug and dietary interventions, while others still focus on reducing radiation effects from low doses of high-energy ionizing radiation (NSBRI 2008). Beyond ensuring astronaut health and safety in the future and increasing radiation safety on Earth, such research holds immense value for cancer therapy. By reducing effects from low-dose high-energy radiation, for example, radiation therapy can be made safer and less unpleasant for the patient.

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Likewise, DNA-repairing enzymes, dietary interventions and nano-drugs will do much to increase patient outcomes in cancer, one of the most prevalent and deadly diseases on Earth.

Partial- & Micro-gravity Environments Microgravity, fun though it may be, also presents one of the single biggest challenges towards astronaut health

Photo Credit: NASA, http://www.nasa.gov/vision/space/features/2004ASCANs_on e-year.html

Apart from radiation, microgravity has to be the single biggest issue for human spaceflight. Life on Earth is a product of gravitational adaptation; hence it comes as no surprise that micro-gravity wreaks universal havoc with all of the body’s major systems, including the cardiovascular, immune, musculoskeletal, neurovestibular and metabolic systems. Whether aboard the ISS in Low Earth Orbit (LEO) or in deep space, Earth’s normal gravitational pull of 9.8 m/s2 drops to mere ten-thousandths of the normal value, resulting in a condition of micro-gravity, or weightlessness, though by different mechanisms. While still relatively close by in LEO, a vessel falls in a circular trajectory around the Earth, so even if the Earth’s gravitational pull is still 90% of its value on the ground (owing to the inverse-square relation between gravity and distance), the spacecraft and its contents are in a relative state of freefall since the craft’s outward centripetal force balances with the inward gravitational pull as it circles the Earth. Conversely, micro-gravity in deep space is due to the Earth’s gravitational pull declining with increasing distance, and the added pulls of nearer bodies, for example the Moon or nearby asteroids. Either way, the resulting environment and physiological effects are the same, nor is the problem solved upon landing in the case of a lunar or Martian voyage: both the Moon and Mars offer only a fraction of the Earth’s gravitation, at 17% and 38%, respectively. Although the human body’s physiological adaptation to a partial gravity environment is less known, the effects in micro-gravity have been extensively studied. (Eckart-b 1999) Cardiovascular Effects: Fluid Shift. The body’s cardiovascular system is affected in several ways. The body’s red blood cell and hemoglobin counts decrease, resulting in a reversible anemia that may be related to fluid redistribution. On Earth,

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blood and interstitial fluids in the upright body typically pool in the feet due to gravity. When this normal pull disappears, the body undergoes ‘fluid shift,’ whereby the fluids redistribute themselves through the body. As a result of having more fluid shifted towards the head, the astronaut becomes more congested and retains more fluid in the face, a condition known as ‘Moon Face.’ This fluid shift also causes thinning of the legs, where the fluid normally resides, and trunkal expansion. (JAXA-a 2004; Buckey 2006; Eckart-a 1996; Eckart-b 1999) The other consequence of upward fluid shift has to do with baroreceptors, which are mechanical stretch receptors situated in the aortic arch and carotid arteries designed to sense excess pressure and volume and respond accordingly. The system tends to backfire somewhat in this scenario, however: while the total blood volume remains unchanged, because the volume has moved upwards toward the heart and torso, the baroreceptors are stretched and interpret this as an excess in fluid volume, in turn stimulating the body to urinate more frequently in an effort to eliminate the ‘excess’ volume. Frequent urination, added to the fact that many astronauts refuse to ingest or drink anything before takeoff to avoid nausea, increases risks of dehydration and electrolyte imbalance due to excess salt excretion. Initially, the excess fluid load causes the heart to hypertrophy, but the subsequent fluid loss and decreased volume load decreases the cardiac work load, resulting in cardiac atrophy, and an average decrease in muscle mass of 8–10% post-flight, although the heart eventually readapts. (Buckey 2006) One of the major effects of fluid shift manifests upon return to Earth: now that the body has become accustomed to fluid redistribution in a micro-gravity setting, the return of gravity causes blood to drain from the head, causing orthostatic intolerance and fainting for the first few days of return until readaptation occurs. Nor is this problem limited to astronauts; orthostatic hypotension can strike Earth-dwellers for any number of underlying causes, ranging from heart failure and an accompanying

Photo Credit, "The Bone"(Vol. 11 No.2 1997.6) Medical View Co., Ltd.: http://iss.jaxa.jp/med/index_e.html

Micro-gravity causes ‘fluid shift,’ whereby blood and interstitial fluids normally drawn downwards by gravity shift towards the trunk and head, resulting in numerous consequences, including facial edema, congestion, increased cardiac load and increased frequency of urination. In addition, upon return to Earth, the deconditioned body is susceptible to orthostatic hypotension for the first few days upon exposure to gravity

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decrease in its ability to pump, medication, pregnancy or even a hot shower. Some people have extremely sensitive baroreceptors and faint even upon getting out of bed in the morning. NASA and the Brigham and Women’s Hospital in Boston have conducted joint animal research, computer simulations and bed-rest studies on Earth to mimic the consequences of fluid-shift in space. One potential solution that has arisen from this is Midodrine, the first drug to be approved by the United States Food and Drug Administration to treat orthostatic hypotension by constricting blood vessels and increasing blood pressure. The drug is equally applicable to astronauts returning from a mission in space and Earth-bound sufferers of orthostatic hypotension. (Science at NASA-b 2002) Cardiovascular Effects: Arrhythmias. Aside from fluid shift, astronauts have also been known to experience cardiac arrhythmias when weightless, although it is not clear whether this effect is due to weightlessness itself or underlying cardiac disease exacerbated by stress (Buckey 2006). In order to mitigate deconditioning resulting from prolonged space visits, the Cardiovascular Alterations Team at NSBRI (NSBRI-CAT 2008) is looking at various exercise training regimens, drug therapies and nutritional interventions. NSBRI-CAT is also working with NASA’s Johnson Space Centre to develop cardiovascular screening programs for potential astronauts to minimize the probability of developing cardiovascular complications or disease during a mission (NSBRI 2008). As part of this screening-work, NSBRI-CAT has developed a test known as the T-wave alternans test, to be performed in conjunction with a stress test, and subsequently detect subtle beat-to-beat variation in the heart’s electrical activity that might otherwise go undetected by electrocardiograms. In so doing, the test can be used to identify individuals at risk for sudden cardiac risk. Although intended for astronaut selection, the T-alternans test can equally be used to identify patients at risk for sudden cardiac death, thereby giving them a chance for preventative therapy. This is especially relevant giving the prevalence of sudden cardiac disease, which strikes one in seven US citizens. (NSBRI 2008) Musculoskeletal Effects. The musculoskeletal (MSK) system also feels the effects of weightlessness, with the brunt of the impact falling on weight-bearing bones and muscles of the musculoskeletal (MSK) system, including the tibias (shinbones), femurs (thigh-bones), pelvis, spine and accompanying muscles. Just like cardiac muscle, the disappearance of a normal load causes muscle atrophy and bone calcium-leaching (osteoporosis) in proportion to the time spent in microgravity. Additionally, slow-twitch fibers in the muscles are replaced by fast-twitch fibers. This excess loss of calcium from the bones can also increase the formation of large kidney stones, resulting in quite a lot of pain and discomfort. Moreover, the magnitude of gravity needed to bypass these adverse events is unknown, thus the partial gravity of Mars and the Moon may not be sufficient to prevent bonedensity loss and muscle atrophy. (Buckey 2006; Eckart-a 1996; Eckart-b 1999; JAXA-a 2004) At NSBRI, the Muscle Alterations and Atrophy Team is studying various strategies to counteract muscle-wasting, from high-resistance exercise regimes to human

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Photo Credit: JAXA, http://www.jaxa.jp/article/special/kibo/nikawa_e.html

After spending time in microgravity, the muscle structure is considerably altered (right) as compared to pre-flight (left), due to decreased protein production and increased muscle protein degradation (right)

powered artificial gravity to everything in between, including nutritional, physiological, cellular and genetic differences. Their counterparts at JAXA, meanwhile, are conducting bed-rest study to simulate muscle and bone unloading, along with fluid shift, and developing procedures to minimize MSK wasting (NSBRI 2008, JAXA-b 2005). These in turn hold benefits extending beyond the astronaut population: understanding mechanisms behind muscle wasting holds wide applicability for the chronically bedridden and for those suffering from neuropathic and musclewasting diseases, such as polio and muscular dystrophy. On the flip side, resistance training can also be spun off to further enhance muscle performance. For example, one of the high-resistance trainers developed to maintain muscle mass for astronauts has found its way into the training regime of the Barcelona Football Club and the Swedish Olympic athletics team, owing to is compactness and portability (ESA-TTPb 2008). Just as importantly, space agencies the world over are extensively researching bone wastage and the accompanying osteoporosis that occurs on a spaceflight. This is particularly important given the millions of individuals worldwide that are at risk for, or suffer from osteoporosis. Statistics from the World Health Organization (WHO 2007) and its partner organization, the International Osteoporosis Foundation (IOF 2007) suggest that 75 million people in Japan, Europe and the United States currently suffer from osteoporosis, while 33% of women and 20% of men over 50 will experience some type of osteoporotic fracture (IOF 2007). Monitoring techniques, drugs such as bisphosphonates, dietary measures and exercise regimes stand to benefit the millions of osteoporosis sufferers worldwide (JAXA-a 2004), and research from the NSBRI Bone Loss Team suggest that a combination of drug and exercise-based countermeasures are the best potential solutions for bone loss (NSBRI 2008). Like the bones, the bone marrow and immune system are also affected in microgravity: the bone marrow shrinks, causing anemia and defective T-lymphocytes, potentially leaving the host vulnerable to invading pathogens. Compromised

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SpiraFlex high-resistance trainers developed for use on the International Space Station are now used in fitness clubs as part of a specially-designed resistance performance program

Photo credit: NASA, http://www.sti.nasa.gov/tto/spinoff2001/images/68.jpg

immunity is particularly dangerous because of the high-radiation environment where the increased rate of cellular damage and mutation translate into an increased risk of cancer (Eckart-a 1996, Eckart-b 1999). Neurovestibulary Effects. Nor do other systems escape ill effects: the neurovestibulary system, which relies on gravity for proprioception, or awareness of body position, must learn to readapt in its first days in microgravity, until which time the body may suffer what is known as ‘space adaptation sickness,’ not entirely unlike motion or sea sickness. During this period, 60–70% of astronauts will experience mild to severe nausea, dizziness, headaches and vomiting, and even a shift in the astronaut’s visual frame of reference, none of which are particularly conducive to working in space. As such, pharmaceutical interventions such as scopolamine and promethazine hydrochloride are administered to reduce queasiness and restore functionality. Research from JAXA estimates that promethazine hydrochloride is approximately 30 times more effective in reducing discomfort due to motion sickness than more common drugs, such as travelmine and TravelMate (JAXA-a 2004). The Sensorimotor Adaptation Team at the NSBRI, meanwhile, is developing diagnostic techniques, treatments and preflight and in-flight training procedures to promote more rapid adjustments between gravitational environments, namely weightlessness and Earth. This research is promising for the more than 90 million Americans who suffer from neurovestibulary balance disorders and the 80 millions who have experienced clinically significant dizziness during their lifetime (NSBRI 2008). Metabolic and Endocrine Effects. Metabolism and the endocrine systems are also altered: drugs are metabolized differently in space, while the stresses of the space travel trigger various hormonal and neurotransmitter systems such as the corticosteroid and noradrenaline pathways. Of course, most of this sympathetic “fight-flight-fright” activation is due to mission stress; however, the effects of weightlessness on the endocrine system are still not fully understood. On-going

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research as to the effects of microgravity on metabolism zeroes in on several areas of interest, including renal function, drug-metabolizing enzyme activity, organ size, cardiac output and organ blood flow, since blood circulation, distribution and enzyme content are all markers of metabolism function (Vanderbilt 1999).The results from these metabolism studies could further enhance understanding of metabolism function and drug breakdown, lending new insights into metabolic disorders and mechanisms of drug action. Microgravity and Aging. The sum total of research into MSK, osteoporotic, cellular and metabolic changes also holds much promise for aging research. Weightlessness closely mimics the effects of old age, because as one source puts it, “the elderly fight gravity less”: being sedentary in old age triggers the cycle of muscle and bone atrophy, cardiovascular changes and metabolic issues. By searching to identify the cellular processes and signals that differentiate young, strong, healthy bones and older, injured ones, researchers have the potential to create treatments, exercises and pharmaceuticals that can mitigate, halt and possibly even reverse the aging, disease and injury process that inevitably sets in over time (Science at NASA-c 2001).

Pressure, Temperature & Atmosphere Microgravity and radiation aside, without protection, space is completely and utterly inhospitable owing to its near-perfect vacuum and average temperature of 3 K. When space “begins” beyond the Karman line 100 km above the Earth, the pressure is

Spacesuits are essential to protect astronauts against temperature and pressure extremes and unbreathable atmospheres, and the materials, monitoring technologies and portable breathing systems are often spun-off for various uses on Earth – medical and otherwise

Photo Credit: Mario Di Maggio, http://www.dimaggio.org/images/ AIG/Newsletters/Astronaut.gif

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principally limited to radiation pressure from the sun and dynamic pressure from solar winds, and becomes so small as to be negligible. Even altitudes beyond 20 km require the pressurized protection of a spacesuit, and any individual unfortunate to find him or herself exposed without protection would sustain irreversible damage after 90 seconds’ exposure, and would face certain death for any period beyond that (Harding 1989). Assuming the unlucky astronaut has the wherewithal to immediately exhale to prevent the rapidly expanding bodily gases from causing lung, eardrum and sinus rupture, there are still other dangers. The vapor pressure of water at body temperature lies at 6.7 kPa, thus bodily fluids boil off at any point below this, causing ebullism. Luckily, the skin and larger blood vessels are elastic and fairly resilient, so rather than rupturing, the body will

ESA’s space monitoring technologies have been paired with electrical signal processors and a data collection unit to create “Mamagoose” pajamas that monitor respiratory patterns in infants, sounding off an alarm when an abnormality is detected, helping prevent SIDS and respiratory-disorder induced deaths

Photo Credits: Top - ESA, http://www.esa.int/esapub/br/br184/br184_9.pdf Bottom - ESA, http://www.esa.int/SPECIALS/TTP2/ESARDG2VMOC _1.html#subhead3

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bloat up with the added gas volume, but remain intact, and simultaneously limit vaporization by containing the fluid volume. The same process causing internal fluid vaporization also causes water to boil off from the tongue and eyes, leading to reversible blindness. Meanwhile, the body’s oxygen supply dwindles, leading to rapidly fading consciousness and convulsions. (NASA 2005). The 3 K temperature eventually causes its own problems: without a medium for heat conduction, the body does not immediately freeze, but as water vapor boils off from the tongue, nose and eyes, heat is conducted away through the water loss, and these body parts do freeze. Ultimately, unless rescued, an astronaut lucky enough to escape fatal barotraumautic injuries such as lung rupture and embolisms will die of hypoxia within minutes, or, assuming an intact pressurized and oxygenated life support system, hypothermia within hours. (NASA 2005). Likewise, the atmospheres of Mars, the Moon and any nearby asteroids, while more substantial than the cosmic vacuum, are still far too thin to effectively resist heat gain or loss; as such, the temperatures on these bodies fluctuate far beyond the tolerable range for humans. Diurnal temperatures on the Moon, for example, range between 126 and 373 degrees Kelvin (translating to a range of −147 to 100◦ C) by some estimates, while Mars is only marginally better, with temperatures ranging from 161 to 265 K, or −112 to −8◦ C (Artemis 2007). The atmospheric compositions are equally inhospitable to respiration, being too thin and too lethal to breathe. Suffice to say that pressure and temperature add yet another dimension of danger to manned spaceflight, and need to be adequately addressed. Another aspect of atmospheric integrity relates to cleanliness and composition. After all, being located in a tiny enclosure hundreds to thousands of kilometers above the Earth, a space station needs to develop a reliable way to maintain and monitor a breathable atmosphere without constantly injecting a new supply of gases. Furthermore, the atmosphere needs to be kept clear of biological and particulate contaminants. The outbreak of a pathogen in such a small enclosure would have disastrous results, while fine lunar dust, for example, is particularly hazardous because it has the potential to clog up machinery, jam spacesuit joints and cause bleeding in the lungs. Technologies capable of ensuring clean air aboard a vessel are therefore imperative. Given these conditions, spacesuits, living spaces and protective equipment need to be able to withstand extremes of temperature and pressure, and be able to sense and warn of life-threatening changes to the environment. Such qualities have other uses as well. For example, spinoffs from Apollo-era spacesuits designed by NASA and ILC Dover have resulted in a wide range of safety and healthcare products, ranging from safer, more efficient pharmaceutical manufacturing processes to gas and chemical masks. Custom-made “cool suits” derived from spacesuits have produced dramatic improvements of symptoms in patients with multiple sclerosis, cerebral palsy and spina bifida by circulating coolant through tubes to lower a patient’s body temperature (The Space Place 2004). Elsewhere in the realm of safety, thermally protective spacesuit materials have been adapted to thermal suits on the Formula-1 racing circuit, protecting mechanics from the heat of a vehicle’s engine during servicing periods (ESA-TTPb 2008).

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ESA has made equally good use of its spacesuit monitoring technologies: sensors designed to monitor user status have been paired with an electric signal processor and data collection unit to create “Mamagoose” pajamas for infants. The resulting product is able to scan respiratory patterns and produce an alarm signal in the event of an abnormality, protecting infants from Sudden Infant Death Syndrome (SIDS) and respiratory disorder-induced deaths (ESA-TTPa 2008). Spacecraft air monitoring technologies have proven quite useful in day-to-day life. Gas analyzers designed to monitor atmospheric gas composition aboard the ISS have since been adapted to operating rooms to analyze the composition of anesthetic and atmospheric gases to ensure a suitable mixture for surgery patients. In the realm of safety, firefighters have similarly benefited from lighter-weight air tanks spun-off from spacesuit designs and Apollo-era Portable Life Support Systems (PLSS). The newer firefighter air tanks weigh 13 pounds less than conventional air tanks and are able to warn the user when air is running low (The Space Place 2004). Other spinoffs from air monitoring technologies consist of coronary arterializations derived from a low-temperature laser initially developed for measuring air gas (JAXA-b 2005) and smoke detectors arising from toxic vapor detectors aboard SkyLab (The Space Place 2004). ESA’s clean-air filtration technologies have also been spun-off for medical benefit. The PlasmerTM filtration system, initially designed to keep space stations free of contaminants, has since been adapted to capture and destroy 99.9% of airborne microorganisms such as fungi and bacteria in the hospital rooms of immune-compromised patients (ESA-IDL 2004).

Nutrition & Diet Nutrition in space is highly subject to a host of factors, including many of those discussed above. Obviously, the weightless environment greatly influences one’s diet and eating habits based on mechanics alone, but proper nutrition may also impact cognitive function and cancer susceptibility after radiation exposure. Like the onboard atmosphere, however there is also the added limitation of being isolated from food sources and the need for contamination prevention. The challenge, therefore, lies in creating meals that are nutritionally sound, easily stored and packaged, have a long shelf life, and that are possibly regenerative. These stringent requirements for “astronaut food” therefore have many useful repercussions for the terrestriallybound. By way of example, research from the Nutrition, Physical Fitness and Rehabilitation Team at NSBRI suggests that up to one-third of all cancers may be linked to nutrition – and some foods actually help protect against specific cancers. One of the team’s initiatives is therefore concerned with designing a diet to protect against radiation-induced DNA damage and cancer. Other researchers are looking at the use of particular amino acids – alone or in combination with carbohydrates to target insulin secretion, thereby preventing diabetes and muscle-wasting. The potential halt in muscle wasting based on dietary measures alone would be extremely valuable, directly impacting the millions of people the world over who suffer from muscle wasting due to disease, injury or aging. (NSBRI 2008)

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In addition to dietary composition, issues of food storage, synthesis and sustainability have also led to relevant medical spinoffs. After all, one of the greatest threats to health on a global scale stems from access to adequate food and water. NASA has long since realized that any long-term Moon and Mars missions will need to be largely self-reliant and sustainable, with minimal reliance on outside supplies for reasons of cost, practicality and survivability. Plants are therefore key because of their ability to provide food, water and oxygen. More importantly, the lack of soil in space and other celestial bodies has spawned a large body of research on the use of hydroponics, or liquid nutrient solutions in lieu of soil to support plant growth (The Space Place 2004). In the face of growing food shortages, increasing population demands, decreasing agricultural land space, and variable soil quality from year to year, hydroponics will have a huge role to play in food supplementation and growth on Earth in the coming decades. NASA research has resulted in similar advances in the nutritional content of food. One research product, a microalgae-based vegetable-like oil dubbed “Formulaid,” has been developed for long-duration space travel, but has since been spun-off to create enriched baby food. Forumulaid contains two essential fatty acids vital for mental and visual development, typically found in breast milk but not in most other formulae. (The Space Place 2004) Global disease is also greatly impacted by contaminated water sources. The occurrence of a contaminated water supply aboard the ISS would be perilous for the crew. As such, NASA has put much time and effort into creating a compact,

NASA’s Food Service System, initially developed for meal service on the Apollo missions, is now being used for warm meal delivery in hospitals

Photo Credit: NASA, http://lsda.jsc.nasa.gov/lsda_data/nra_research_data/199 2_food_service_system.pdf

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reliable water filtration system. Known as the Regenerable Biocidal Water Delivery Unit, this water filtration system relies on iodine instead of chlorine to kill bacteria and has also been made available in developing countries to ensure access to clean drinking water (The Space Place 2004). Also on the subject of contamination, the NSBRI Nutrition, Physical Fitness and Rehabilitation Team is currently exploring ways to extend the period for which food can be preserved, which will obviously be of interest to everyone from Emergency Rescue teams in natural disaster situations to grocers (NSBRI 2008). Related to the issue of food storage is that of delivery: research has shown that hospital in-patients’ appetites are related to a meal’s warmth (when it is supposed to be heated). To help address this issue, many hospitals now make use of the Food Service System, initially designed for meal service aboard the 1966–7 Apollo missions, helping maintain patient well-being by providing warm meals (JAXA-b 2005).

Psychological & Sociological Issues Beyond these environmental considerations, mission designs need to accommodate for psycho-social issues that may arise in the space environment, which may cause erratic, aberrant or even careless behavior that may jeopardize mission objectives and/or crew safety. The combination of sleep disruption due to the micro-gravity environment, disruption of circadian rhythms due to altered sunlight exposure and the stress of confinement and isolation has the potential to cause serious psychological duress to the crew. Mission objectives and tasks also have the potential to cause stress: certain tasks may become tedious before long, while others, such as animal research for scientific gain, may further raise ethical dilemmas for an astronaut. Beyond this, there are issues of comfort, aesthetic design and intercultural interaction, all of which need to be accounted for in mission planning. For example, noise levels, vibration and acceleration mitigation, sharp edges, low ceilings and temperature

In addition to microgravity, the combination of cramped living quarters and multiple sunrises in a day can disrupt sleep, increase stress levels, and even jeopardize mission safety

Photo Credit: NASA, http://science.nasa.gov/headlines/y2002/28aug_sunrise.htm

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hazards all played a role in the design of the International Space Station, the Soyuz Capsule and the Autonomous Transfer Vehicle. It goes without saying that ongoing research as to sleep quality and stress reduction is highly relevant to the fast pace of the North American lifestyle. The Human Performance Factors, Sleep and Chronobiology Team at NSBRI is currently developing methods to prevent sleep loss, promote wakefulness, reduce human error and optimize mental alertness and physical performance during spaceflight, which can in turn be used to promote stress reduction and good mental health amongst the Earth-bound. Likewise, research from the Neurobehavioral and Pyschosocial Factors Team as to leadership styles, crew composition, organization and communication has resulted in a series of devices, tools and exercises that can also be used for remote assessment and diagnosis of a wide range of psychosocial issues, from personal conflicts to professional stress to depression to neurocognitive disorders. At the same time, team-building tools and exercise can also be used to help build and strengthen corporate and community groups (NSBRI 2008). Lastly, space has taken interior design to the next level, breeding new frontiers in safety and economy. In fact, one space design and architecture company has created a spinoff of its durable and economy-sized tents to supply temporary shelter for displaced people, the homeless and refugees (Bedini 2006).

Telemedicine and Healthcare This chapter ends with a special section on telemedicine, owing to its ever growing relevance to remote and rural medicine, in addition to space medicine. Defined as “medicine over a distance,” telemedicine encompasses those services and technologies that are portable, self-sustaining, and/or which can be remotely administered. As citizens become increasing mobile in the shrinking global village, and as deficits in resource-limited settings become increasingly apparent, the role of telemedical technologies and initiatives becomes increasingly viable as a solution for increasing the quality, accessibility and universality of medical care worldwide. This section will describe examples of telemedical technologies that have greatly benefited isolated populations, also furnishing two studies in telemedicine on telemedicine as a tool in global health development and the neuroArm, a telesurgery spinoff derived from space technology.

Telemedicine Technologies Access to quality medical care is of the utmost importance on any manned mission; however, it is not currently mandated that medical doctors necessarily be present on an ESA Mission, for example. Rather, two members of a crew receive approximately 40 hours of medical training and are designated ‘crew medical officers (NASATRS 2007). This is typically sufficient to maintain crew well-being on a day-to-day

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NASA has led many initiatives in telemedicine, including long-distance underwater experiments in remote telesurgery conducted by the Zeus robotic surgeon. Telemedical innovations such as this are as applicable to long-duration space missions as they are to remote, inaccessible areas, such as rural villages and battlefields on Earth

Photo Credit: Technovelgy.com, http://www.technovelgy.com/ct/Science-Fiction-News.asp?NewsNum=227

basis. However, 40 hours of training is obviously not adequate to furnish any indepth medical knowledge. Of course, medical care in a resource-limited setting can be quite challenging, and there is always the potential of running into a problem that even a trained flight surgeon is not qualified to deal with. To that end, on-board medical care is supplemented with ground-based medical care by way of self-reliant, portable medical equipment and telecommunications technologies, such as videoconferencing and crew bio-data telemetry. Though referred to interchangeably in the literature as telemedicine, telehealth and/or e-health, these technologies shall be referred to here as telemedicine for simplicity’s sake. The key features of telemedicine, namely healthcare delivery to remote and resource-limited settings, also make it extremely relevant to the delivery of healthcare on Earth. Whether considering a long-duration space voyage, an Antarctic expedition or a rural village in India, all three environments share the commonalities of being remote and difficult to access. Telemedicine helps disseminate information and medical expertise, saves costs by circumventing the time and finances needed to develop medical facilities in remote regions, and increases revenues for healthcare service providers and hospitals (Norwegian Centre for Telemedicine 2003). A common solution relies on using information and telecommunications technologies (ICT) such as video-conferencing, voice-over IP and image and data transfer to bridge the gap between a physician located in an urban centre miles away and a patient located in an otherwise inaccessible region. Such solutions have been used for dermatology and radiology consults, giving rise to the terms tele-dermatology and tele-radiology, respectively. The use of high-resolution digital imaging and rapid image transfer of skin rashes to distantly located dermatologists is being investigated

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in tele-dermatology consults at the tele-dermatology clinic at JSC-NASA, for example. (Science at NASA-a 2002) ICTs are now sufficiently advanced to the point where it is indeed possible to set up “virtual hospitals” by obtaining real-time clinical data from a remote location for diagnosis and consult. Steines Space Centre, for example, has developed an ambulance antenna specially designed to permit satellite-mediated two-way communication between a moving emergency vehicle and hospital emergency room. (The Space Place 2004) The need for portable medical technologies during the Apollo machines led NASA to develop a portable blood analyzer capable of performing numerous tests on a single drop of blood, and has proven innumerably useful due to its compactness, portability and efficiency

Photo Credit: NASA, http://www.nasa.gov/missions/science/f_a nalyzer.html

Telemedicine also embraces smart technologies that are portable, self-sufficient, and accessible to the lay-user. These principles are equally applicable to space missions and disaster-relief scenarios. This spread of self-contained medical technologies has important ramifications for global health (see Case Study #1), and the space medical industry has firmly entrenched itself within the telemedical sector by way of spinoff technologies. For example, prior to the 1970s, blood analysis required systems too large and incompatible with weightlessness to be used in space. In response, a toaster-sized centrifugal analyzing device was developed through a NASA-funded project. The new system can perform 80–100 chemical blood tests using a single drop of blood. External defibrillators are yet another example of telemedical technology. Designed for use by non-medical experts, the system is an example of “smart” technology: the lightweight device can assess whether it has been properly connected and whether a patient needs to be defibrillated, and will initiate treatment if necessary. (JAXA-b 2005; The Space Place 2004) NASA has developed many other telemedical spinoffs. One innovation employs a mini-computer to help patients perform tasks of daily living and combines teleoperator and robotic technology in a voice-controlled wheelchair capable of responding to over 30 voice commands, thereby decreasing the patient’s dependency on live-in aid. Another innovation comes in the form of monitoring technology: NASA has developed a pen-sized ultrasonic transmitter employing space telemetry technology to help the elderly and disabled call for help in the event of an emergency. The pen in turn emits a silent signal to localize the exact coordinates of the user. Remote

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communications technologies are also being used to steer emergency response robots in hazardous situations, minimizing the potential for human injury by having the robots perform the tasks instead. (The Space Place 2004) Meanwhile, cognizant of the need for portable clinical care, the NSBRI’s Smart Medical Systems and Technology Development teams are in the midst of developing mobile osteoporosis screening clinics for retirement and nursing homes, self-sufficient diagnostic tools, intranasal drug delivery systems and ultrasound technologies to control internal bleeding (NSBRI 2008). The future looks promising for innovations in telesurgery, ultrasound diagnostics, routine-health monitoring systems and automated smart technologies capable of assessment and treatment initiation. Adaptability and autonomy are key to these systems, especially when they must operate in relative isolation, unable to access other medical resources. For example, researchers are investigating the possibility of adaptable pharmaceuticals, researching systems that store the instructions and constituents for pharmaceutical manufacture, and make them as needed. The advantage of this system is two-fold. Firstly, this dodges the issue of storing drugs with finite shelf-lives that might expire over the course of a long-term mission. In housing common drug ingredients and manufacturing procedures, it also affords the crew access to emerging pharmaceutical treatments on Earth. Such technology, once developed, would go a long way in helping isolated communities that cannot easily access external medical supplies. (Science at NASA-a 2002)

One NSBRI initiative designed to monitor blood and tissue chemistry without incisions or blood draws will also prove useful in battlefield, ambulance and field operations

Photo Credit: NSBRI, http://www.nsbri.org/Research/SmartTech-high.html

Similar advances in autonomy are needed for surgery in space in order to keep wounds small and minimize fluid escape. The solution potentially rests in tele-operated, robotically-assisted procedures. Such robots would negate the need for a surgeon on-site, and would improve the accuracy of surgery by filtering out tremors and allowing for greater accuracy. A system such as this would also greatly increase a patient’s access to medical expertise, whether in space or on Earth. One such robot under development is the neuroArm, and is further explored in Case Study #2.

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Case Study #1 Telemedicine for Global Health & Development Whether developing or industrialized, all countries have their own challenges when it comes to healthcare accessibility and quality. Canada, for example, has to ensure its remote and Arctic populations have adequate access to healthcare. Australia and India face much of the same issues with respect to healthcare provision for rural populations. In India, for example, 70% of the population is situated rurally, while 70–95% of medical professions are situated in urban centers (Satyamurthy et al. 2005; Bedi 2005). Europe, meanwhile, needs to manage a large and mobile population that can travel easily across the borders of European nations and ensure that European citizens are covered by healthcare when outside their nation’s borders. (ESA-TMA 2004) Given the wide applicability of telemedicine, the global demand for its services is growing exponentially; numbers are difficult to estimate because of the rapid rate of growth and the overlap with other sectors such as communication technology, healthcare, infrastructure and human resources, but range from several billion (Industry Canada 2007) to over 1 trillion USD (Picot and Cradduck 2008). Nor is it any wonder: healthcare systems the world over are taking advantage of telemedical and information technologies to better organize and administer healthcare. The Information Society Technologies Directorate of the European Commission, for example, in partnership with the European Space Agency, the WHO and the United Nations’ International Telecommunications Union, has developed a plan to create a Europe-wide system for portable citizen-centered healthcare (ESA-TMA 2004). Beginning with the Telemedicine Alliance (TMA) in 2002 and continuing with the Telemedicine Bridge in 2005, TMA vision aims for completion in 2010. Like Europe, India too is pursuing telemedicine to serve its citizens. Led by the Indian Space Research Organization (ISRO), it has implemented nationwide telemedicine networks in cardiology, ophthalmology and radiology, improving access, ultimately decreasing the time and costs associated with travel to an urban centre, and thereby providing medical expertise that would be otherwise unavailable to many Indian citizens (Bagchi 2006). Yet perhaps one of the biggest draws of telemedicine pertains to its furtherreaching benefits of widespread economic growth and development. As previously noted, telemedicine does not easily fall under a single sector. National investment in telemedicine requires commitments to the development of communication technologies, research & development and educational and training programs. It also calls for the development of key partnerships at local, regional, national and international levels across administrative, technological, medical and economic lines. As such, the successful development of a national telemedicine network holds great potential benefit for economic development and growth of GDP. These projected benefits of telemedicine have led to a revolution in international health: at the 2005 World Health Assembly (WHA), the World Health Organization adopted WHA Resolution 58.28, establishing the Global Observatory for E-Health,

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Table 1 Summary of health-related Millennium Development Goals (UN 2000) Health-related millennium development goal

Objective

1 4 5 6 8

Eradicate extreme poverty and hunger Reduce child mortality Improve maternal health Combat HIV/AIDS and other diseases Develop a global partnership for development

or GO-e initiative, subsequently undertaking the GO-e global survey on e-health, the results of which were published in early 2007. Drawing on responses from nearly 60% of WHO member states, or close to 80% of the world’s population, the survey compiled data on current and proposed national e-health and telemedicine activities, initiatives and policies. (WHO 2007) Given the perceived benefit of telemedicine for attaining international objectives in global health and development, such as the Millennium Development Goals and WHO Agenda (Table 1 and Fig. 1), the GO-e survey made a bold suggestion: incorporate a 9th Millennium Development Goal, namely, “e-Health for all by 2015 (WHO 2007).” Because of these projected benefits in economic growth, intra and inter-national partnerships, educational and training development and foreign investment, developing nations particularly stand to benefit from telemedicine.

Promoting socioeconomic development for better health Enhancing partnerships at all levels

Fostering health security against disease

WHO AGENDA Improving performance through evaluation for better efficiency

Strengthening health systems to better reach and serve populations in need Harnessing research, information & evidence for better programs & strategies

Fig. 1 Summary of the WHO 6-point agenda

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By way of example, many African nations have identified HIV/AIDS prevention, monitoring and treatment as key objectives within their health-related Poverty Reduction Strategies as Sub-Saharan Africa bears the largest HIV/AIDS burden in the world (Roy 2008). Telemedicine has a very real role to play here in disseminating information regarding prevention methods, outbreaks and learning materials for AIDS awareness amongst health professionals, students and the general public. Perhaps cognizant of the projected benefits of telemedicine initiatives, most of the poorest African nations, as ranked in the bottom twenty of the UN’s Human Development Index Report (UNDP 2008), identified health development as vital to their respective Poverty Reduction Strategies. In the Go-e survey, nearly all rated all 18 e-Health tools and services currently offered by the WHO as having a perceived utility of 3.5 or higher on a scale of 1 to 5, with the average being 4.3 (WHO 2007). Many also planned to start or continue to develop a national telemedicine policy (Table 2). In sum, telemedicine technologies have a very real role to play in addressing challenges in global health and development, especially with respect to developing countries. Not only do telemedicine initiatives increase accessibility to quality care, especially for disadvantaged, remote and rural populations, but they stand to greatly

Table 2 Summary of health-development plans and plans to incorporate e-health policies amongst select african nations1,1

Country Benin Burkina Faso Cameroon Ethiopia Ghana Kenya Malawi Mali Mozambique Niger

RwandaC SenegalC TanzaniaC Zambia A

Mention of health in PRSPA ? Yes Yes Yes Yes Yes Yes Yes Yes Yes No Implicitly, as part of science & technology development No Yes Yes

Perceived utility of e-health tools & services offered by WHOB

Future plans to develop/continue e-health policy?

4.4 5.0 4.4 3.9 3.5 4.2 4.9 4.0 4.4 3.9

Undecided To be continued Started Started To be continued Started Started To be continued Started Started

N/A N/A N/A 4.4

N/A N/A N/A Started

– PRSP refers to Poverty Reduction Strategy Paper – Average Rated Effectiveness of 18 WHO e-Health Tools and Services including Electronic Health Records, Patient Information Systems, Hospital Information Systems and Telehealth as rated on a scale of 1–5, with 5 being most effective C – Indicates countries that did not partake in the GOe Survey B

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benefit a country’s economic development and international profile by stimulating new technologies, partnerships and skill sets. In short, with due consideration and proper policy, the role of telemedicine in international health will only continue to grow.

Case Study #2 Robotic Arms: From Canadarm To Neuroarm The Canadarm, one of Canada’s major contributions to space exploration, is a robotic arm capable of manipulating loads in excess of 250 000 kg

Photo Credit: CSA, http://pubs.nrccnrc.gc.ca/casi/casj]04.html

Developed in the mid-1970s in response to a NASA-issued technical challenge, the Canadarm represents one of Canada’s major contributions to the space exploration. The competition requirements called for a remote manipulator system for the newly-designed Space Transportation System, the Space Shuttle capable of deploying and retrieving hardware from the payload bay of the Shuttle. In addition to stringent weight, dexterity, automaticity, precision, safety and reliability constraints, the task was particularly challenging since this was a path previously untraveled: there were no existing technologies or off-the-shelf components for similar machinery that was space-guaranteed. Canadian industry giants Spar, DSMA Atcon and CAE, together with the National Research Council of Canada, collaborated in order to meet the challenge, eventually merging to create space industry powerhouse MacDonald, Dettwiler and Associates (MDA), Ltd. (CSA 2006) The end product of this alliance was a steel, titanium and graphite epoxy behemoth analogous to the human arm, complete with rotating elbow, shoulder and wrist joints. The difference was that Canadarm was a 480 kg space-adapted manipulator capable of moving loads of over 200 000 kg using less energy than that needed to power a kettle. Canadarm has since been used for an array of space tasks, from ISS upkeep to satellite repair to astronaut support during EVAs. (CSA 2006) The durability, dexterity and reliability of the robotic technology incorporated into the Canadarm design has lent itself to many Earth spinoffs in an array of

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disciplines, from servicing nuclear power stations to welding pipelines on the ocean floor, and recently, medicine. A particularly notable spinoff of the Canadarm is a robotic arm designed for remote surgery, dubbed “neuroArm”. Currently under development by MDA in conjunction with the Seaman Magnetic Resonance Centre in Calgary, Canada, the 3-foot tall, 2-foot wide, 500-pound neuroArm uses many of the same technologies as Canadarm and its offspring arm, Dextre. Designed to be operated from a remote workstation, neuroArm will offer improved accuracy and efficiency for high-precision neurosurgery. Advantages include motion scale, tremor filters, the inclusion of “no-go” safety zones and the ability to coordinate with intraoperative MRI. Like Canadarm, in addition to being remotely operable and image-guided, neuroArm is also designed with materials specific to its environment. Just as Canadarm needs to be able to operate in a high-radiation, thermally-challenging environment, the intra-operative MRI design aspect of neuroArm means that all metallic materials – the typical composite of most surgical tools – need to be replaced with other materials. In response to this need, neuroArm has been developed with a variety of alternate materials, such as titanium and Poly-ether-ether-ketone, or PEEKTM . (neuroArm 2008) Ultimately, once testing is complete, these design features will allow the neuroArm to cut and manipulate soft tissue, suture, biopsy, electrocauterize, aspirate, dissect tissue planes and irrigate – just like a neurosurgeon, as project lead and neurosurgeon Dr. Garnette Sutherland explains, “but with improved spatial orientation. (Sutherland 2008)”

neuroArm project lead, neurosurgeon Dr. Garnette Sutherland with the neuroArm at the Seaman Family MR Research Centre at the University of Calgary

Photo Credit: Calary Health Region, http://www.calgaryhealthregion.ca/ne wslink/region_news/2007/2007-0418_robo_surgery.htm

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Conclusion The use of space technologies for medical gain are becoming more and more commonplace, and with good reason. The perils of human spaceflight demand the most cutting-edge technologies, calling for the highest standards of reliability, safety and accuracy. It is no wonder then, that space technologies and research findings have been spun-off to create better diagnostic tools, treatments, management programs, safety measures, pharmaceuticals and diet and exercise programs. The unique features of the space environment have also provided a host of research regarding human adaptation and physiology, the results of which are now also being applied to disease processes across the world, including muscle and movement disorders, osteoporosis, diabetes, cardiovascular disease and cancer. For healthcare systems squeezed by limited resources, uncertain access to medical care and increasing populations, telemedical innovations hold particular promise. After all, innovations in telemedicine have been shown to decrease costs, increase services and facilitate patient access through communication, smart and portable technologies. In short, space research technologies have proven themselves to be highly beneficial for terrestrial medicine, and will continue to pave the way for safety, survival and innovation in the future.

Photo Credit: Left – Lifeboat Foundation, http://lifeboat.com/ex/space.habitats

Right – Edible Computer Chips, http://www.ediblecomputerchips.com/Future.htm

Space technologies have gone a long way in furthering medical advances, and as research advances to meet the ever greater demands of space travel, so too will more technologies and benefits filter down to pave the ways for safety, survival and innovation

Acknowledgments At this time, the author wishes to express her sincere thanks to Isabelle Roy of the Canadian International Development Agency for her assistance with Case Study #1, Dr. Garnette Sutherland of the Seaman Family MR Research Centre for his feedback on Case Study #2 and to Dr. Phillip Olla for his assistance and infinite patience in the writing of this chapter.

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Acronyms CSA ESA EVA GCR JAXA ICT IOF ISRO ISS LEO MRI MSK NASA NASA-JSC NSBRI NSBRI-CAT PLSS SCR SIDS TMA UV WHA WHO

Canadian Space Agency European Space Agency Extra-Vehicular Activity Galactic Cosmic Radiation Japanese Space Exploration Agency Information Communication Technologies International Osteoporosis Foundation Indian Space Research Organization International Space Station Low Earth Orbit Magnetic Resonance Imaging Musculoskeletal National Aeronautics and Space Administration Johnson Space Centre at NASA National Space Biomedical Research Institute Cardiovascular Action Team of the NSBRI Portable Life Support System Solar Cosmic Radiation Sudden Infant Death Syndrome Telemedicine Alliance Ultraviolet World Health Assembly World Health Organization

References Artemis Society International. (2007) “Artemis Project: Surface Temperature of the Moon and Mars,” http://www.asi.org/adb/02/05/01/surface-temperature.html (April 2008). Bagchi S. (2006) “Telemedicine in Rural India,” Public Library of Science, http:// medicine.plosjournals.org/perlserv?request=get- document&doi=10.1371/journal.pmed.0030082 (May 2008). BBC on This Day. (2008) “Space Exploration Timeline: Mission Timeline,” http://www.bbc.co.uk/ science/space/exploration/missiontimeline/(February 2008). Bedi, B.S. (2005) Telemedicine in India: Standardization Issues and Initiatives. Abstract. 10th International Society for Telemedicine and e-Health Conference. October 23–26 2005. http:// www.isft.net/cms/download.php?f=4490b0ac2d72626b59ebfb87b9c50aae (August 2007). Bedini, D. (2006) “Space Architecture & Design,” ISU Class Lecture Notes. Buckey, J.C. (2006) Space Physiology, New York: Oxford University Press, pp.130–153. CSA. (2006) “Canadarm: Uses for Robotic Arm Technology,” http://www.space.gc.ca/asc/ eng/exploration/canadarm/robotic.asp (May 2008). Eckart, P. (a) (1996) Spaceflight, Life Support and Biospherics, London: Microcosm & Kluwer. Eckart, P. (b) (1999) The Lunar Base Handbook, New York: McGraw-Hill Companies Inc. ESA Improving Daily Life. (2004) “Space Tech Captures Toxic Micro-Organisms,” http:// www.esa.int/esaCP/SEMKAWL26WD Improving 0.html (March 2008).

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ESA Technology Transfer Program. (ESA-TTPa) (2008) “New Pajamas Could Prevent Cot Deaths,” http://www.esa.int/SPECIALS/TTP2/ESARDG2VMOC 0.html (March 2008). ESA Technology Transfer Program. (ESA-TTPb) (2008) “Space Solutions for Health,” http://www.esa.int/SPECIALS/TTP2/SEMOMS67ESD 0.html (March 2008). ESA Telemedicine Alliance. (2004) Telemedicine 2010: Visions for Personal Medical Network, Noordwijk: ESA Publications. Harding, R. (1989) Survival in Space, New York: Routledge pp. 3–20. International Osteoporosis Foundation. (2007) “International Osteoporosis Foundation, Facts & Statistics,” http://www.iofbonehealth.org/facts-and-statistics.html (May 2008). Industry Canada. (2007) Information & Communications Technologies – Telehealth Market Overview, Telehealth Market Overview http://www.ic.gc.ca/epic/site/ict-tic.nsf/en/ it07556e.html (February 2008). JAXA Space Medicine (a). (2004) Space Medicine http://iss.jaxa.jp/med/index e.html (February 2008). JAXA Space Medicine (b). (2005) Space Medicine http://iss.jaxa.jp/med/meddoc1 e.html (February 2008). Luhmann, J.G. and Russell C.T. (1997) “Mars: Magnetic Field and Magnetosphere,” http://wwwssc.igpp.ucla.edu/personnel/russell/papers/mars mag/(March 2008). NASA. (2005). “Human Body in a Vacuum,” http://imagine.gsfc.nasa.gov/docs/ask astro/ answers/970603.html (March 2008). NASA Technical Report Server. (2007) “Comparison of Bystander Cardiopulmonary Resuscitation (BCPR) Performance in the Absence and Presence of Timing Devices for Coordinating Delivery of Ventilatory Breaths and Cardiac Compressions in a Model of Adult Cardiopulmonary Arrest,” http://ntrs.nasa.gov/search.jsp?N=4294668619 (May 2008). NASA Technology Transfer Program (2008). (no date) http://techtran.msfc.nasa.gov/at home/ athospital.htm (April 2008). neuroArm. (2008) neuroArm Projects http://www.neuroarm.org/project.php (May 2008). Norwegian Centre for Telemedicine. (2003) “Guidelines for a Country Feasibility Study on Telemedicine,” http://www.telemed.no/guidelines-for-a-country-feasibility-study-ontelemedicine.64916.html (February 2008). NSBRI. (2008) Earth Benefits http://www.nsbri.org/EarthBenefits/index.html (March 2008). NSBRI (2008) Research Areas http://www.nsbri.org/Research/index.html (March 2008). Picot, J. and T. Cradduck. (2000) “The Telehealth Industry in Canada: Industry Profile and Capability Analysis,” Infotelmed Communications Report for the Life Sciences Branch, Industry Canada. http://www.keston.com/ICreportsumry.pdf (March 2008). Roy, I. (2008) Canadian International Development Agency (February 2008), Personal Communication. Satyamurthy, L.S. et al. (2005) Indian Initiatives and Experiences in Telemedicine for Specialty Healthcare Delivery to the Rural and Remote Population – A Developing Country Model. Abstract. 10th International Society for Telemedicine and e-Health Conference, October 23–26 2005. http://www.isft.net/cms/download.php?f=4490b0ac2d72626b59ebfb87b9c50aae (August 2007). Science at NASA (a). (2002) “Space Medicine,” http://science.nasa.gov/headlines/y2002/ 30sept spacemedicine.htm (February 2008). Science at NASA (b). (2002) “When Space Makes you Dizzy,” http://science.nasa.gov/headlines/ y2002/25mar dizzy.htm (May 2008). Science at NASA (c). (2001) “Gravity Hurts (So Good),” http://science.nasa.gov/headlines/ y2002/25mar dizzy.htm (March 2008). Science at NASA (d). (2002) “Voyage of the Nano-Surgeons,” http://science.nasa.gov/headlines/ y2002/15jan nano.htm (March 2008). Sutherland, G. (2008) Seaman Family MR Research Centre, University of Calgary (May 2008), Personal Communication. The Space Place. (2004) “NASA Spinoffs: Bringing Space Down to Earth,” http:// www.thespaceplace.com/nasa/spinoffs.html (February 2008).

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United Nations. (2000) UN Millennium Development Goals http://www.un.org/millenniumgoals (August 2007). United Nations Development Programme. (2008) UN Human Development Index Report 2008 http://hdr.undp.org/en/statistics/(February 2008). Vanderbilt-Centre for Space Physiology and Medicine. (1999) http://www.mc.vanderbilt.edu/gcrc/ space/(February 2008). World Health Organization. (2007) Building Foundations for Tel/e-health, WHO Global Survey on Tel/e-health http://www.who.int/ehealth/resources/bf full.pdf (February 2008). Yuri Gagarin Cosmonaut Training Centre (no date). YGCTC Development Stages http://www.gctc.ru/eng/etap/default.htm (May 2008).

Bridging Health Divide Between Rural and Urban Areas – Satellite Based Telemedicine Networks in India A. Bhaskaranarayana, L.S. Satyamurthy, Murthy L.N. Remilla, K. Sethuraman and Hanumantha Rayappa

Abstract ‘Telemedicine’ is a service reaching the medical expertise available at urban, super speciality hospitals to rural and remote hospitals through the integration of Information and Communications Technologies (ICT) with Medical Sciences. Realising the health divide between rural and urban areas in India, and continuing its legacy of ‘space for the people’, the Indian Space Agency, (Indian Space Research Organisation, ISRO) initiated Telemedicine programme in 2001 for reaching healthcare to the un-served and the under-served population. Detailed interviews with the doctors utilising/providing the services, survey through questionnaire to a sample of the practioners as well as to patients and review of different project reports have been used to assess the success and utilisation of the facilities created. It has been brought out from the study that, these efforts have started showing results in the form of user satisfaction; the major determinant of success of any service/product. If the growing popularity of the programme and growth of network are visible indications of success, ISRO’s Telemedicine Network of 336 nodes (as of Decemeber 2008) can be viewed as a successful initiative. More than 300,000 Tele-consultations are done including some life saving instances. The chapter discusses the systematic approach followed by ISRO in the areas of – programme planning, managing and implementation, in line with the socio-economic situation of the country and draws a roadmap for future, for bridging the health divide, and delineates the plans for integration of different stake holders. The successful experience of SATcom (Satellite Communication) based Telemedicine Programme, can serve as a model for such programmes in the developing countries. Keywords Telemedicine · ISRO · SATcom · Connectivity · Patient end · Specialist end

Murthy L.N. Remilla (B) Dy. Director, Business Development Antrix Corporation Limited/Indian Space Research Organisation (ISRO), India e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 7,

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Introduction Villages/rural areas lack in the infrastructure and facilities required in many areas like Healthcare, Education, Communication and other facets which define the quality of life. This is applicable to all developing and even developed countries, though the degree of accessibility and affordability may change from one to another. Noting this important dichotomy and its ill effects, the Indian Space Research Organisation (ISRO) initiated SATcom based Telemedicine programme as an important application in the year 2001, in pursuance of its policy of utilisation of space technology for the benefit of population at grass root level. The following sections will touch upon ISRO and the journey of ISRO’s Telemedicine programme from inception to the year 2008 and other initiatives in the field of Telemedicine in India.

Indian Healthcare System Number of healthcare facilities and professionals in India have been increasing progressively from the early 1950s, but are outnumbered by the fast growing population. As a result, the number of licensed medical practitioners and hospital beds per population had reduced substantially. Primary health centers, the cornerstone of Indian rural healthcare system are part of a three-tiered healthcare system predominantly administered by the government. The Indian healthcare systems which is predominantly government controlled, follows a three-tier hierarchical system of Primary, Secondary and Tertiary healthcare. There are about 23000 Primary Healthcare Centres (PHCs), 3000 Community Healthcare Centres (CHCs) and 670 District Hospitals (DHs) as the major governmental healthcare delivery system of India, in addition to the private/charitable institutions serving the population.

Need for Telemedicine in India Like in many a developing country, the 80–20 paradigm is very much prevalent in the Indian healthcare scenario. While 80 percent of the specialist doctors practice in the urban areas, almost 80 percent of the population reside in rural/remote areas served only by less than 20 percent of the doctors available. Some of the cases require specialist consultation at urban hospitals while attempting to provide routine medical care to the vast majority in the countryside. The visit by the patient to the specialists in urban areas is not only tedious and financially burdening but also time consuming and sometimes may be too-delayed as well.

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Indian Space Research Organisation The Indian Space Agency (Indian Space Research Organisation – ISRO), is known for its focus on using the space technology for social benefits for the population at the grassroots level, as laid by Dr. Vikram Sarabhai, father of the Indian Space programme. ISRO has built and operated multiple communication, remote sensing and meteorological satellites and capable launch vehicle family of PSLV (Polar Satellite Launch Vehicle) and GSLV (Geosynchronous Satellite Launch Vehicle) to place these satellites into orbit. ISRO has been using the expertise in broadcast communication technology for expanding the reach of Television services and increasing the telephone density and also carried out experimental projects in developmental and educational services using satellite technology. The advantages of Satellite based communication are detailed in Fig. 1. Fig. 1 Advantages of Satellite based connectivity

ADVANTAGES OF SATCOM •

Broadcast

•

Ubiquitous Coverage

•

Mobility

•

Instant Infrastructure

Telemedicine and Tele-education are two such programmes of social relevance taken at high priority since the year 2001 and India is probably the first country to launch a satellite (EDUSAT) dedicated for the Education and other societal applications.

ISRO’S Telemedicine Programme The communication technology has been available for many a decades and the information technology has witnessed tremendous growth and development in the last decade. The medical practice has been in existence for centuries in India in various forms right from the times of Charaka and Sushrutha (two earliest medical specialists referred to by the ancient Indian literature). However, it is the introduction of

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Telemedicine that has promised a significant change in the delivery of the basic need of healthcare to the remote and rural population. Innovation is defined as “a novel beneficial change in art or practice”. SATcom based Telemedicine Programme is an innovative process of synergising benefits of Satellite communication technology and information technology with the knowledge of biomedical sciences to deliver the healthcare services to the un-served and under-served regions of the country. Thus, telemedicine has come as a novel use of Technology for a beneficial change in the practice of medicine in this country directly benefiting the rural patients and indirectly helping the rural doctors in improving their skills and redressing the issue of their professional isolation. ISRO’s telemedicine pilot project was started as a part of ‘proof of concept technology demonstration programme’ connecting the rural hospitals/health centres with super speciality hospitals for providing expert consultation to the distant and needy population. During the pilot projects, total solution viz., the connectivity, the hardware and software along with standard medical equipment and training were provided by ISRO in association with the healthcare providers in different parts of the country. This has created awareness about the utility of Telemedicine among the medical community as well as the patient/user community. This was followed by evolution of suitable guidelines and standards for Practice of telemedicine in India and expansion of the network (Bedi and Murthy, 2005). The main drivers for innovation in telemedicine for ISRO are – the interest, courage, capability and energy to better the world for which ISRO has been committed since its inception. True to the definition of innovation, creating value out of new ideas, services and new ways of doing things using the existing as well as newly developed products is the hallmark of ISRO’s Telemedicine programme that is valued by the community. While the provision of necessary healthcare services to each and every citizen irrespective of his/her geographical location is the obligatory responsibility of the governments (both at the center and state) the same is not feasible practically, even if the healthcare delivery infrastructure is expanded many-fold to that of present availability. Some of the traditional ways to overcome this are investing heavily and mostly encourage the respective governments in increasing the infrastructure, allocating necessary human and technical resources to man these facilities and make plans to bring them to regular use. In the field of healthcare, such investments and creation should include building and developing more number of hospitals with all modern equipment in as many villages as possible, manning those hospitals with specialist doctors and maintain those hospitals regularly. Such an expansion needs augmenting the infrastructure both at the primary and secondary levels of healthcare system which is a cost intensive endeavor in itself, leaving aside the difficulties in serving the desired purpose. Another innovative way is to overcome the lack of infrastructure with the creation of Infostructure (Latifi, 2004) serving the same or almost same purposes with

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Fig. 2 A schematic view of telemedicine connectivity

minimum expenditure and maximum utilisation. ISRO has adopted the later approach to bring the benefits of modern medical sciences and qualified and experienced doctors to the doorsteps of the rural population in India. Taking note of the well recognised problems in Indian healthcare delivery system, ISRO has taken up the innovative and beneficiary process of Telemedicine, putting in, intense effort and investment into a technological solution for the socioeconomic problems. It is in this context that the “Infostructure” created for Telemedicine is an innovative alternative for the exponentially large “Infrastructure” ought to be in place to meet the demands. Typical connectivity schematic using Satellite is represented in Fig. 2.

Genesis of ISRO’s Telemedicine Programme ISRO, as a part of application of space technology for healthcare and education, under GRAMSAT (rural satellite) programme, has initiated number of Telemedicine pilot projects that are very specific to the needs of development of the society. ISRO’s Telemedicine projects consist of linking through INSAT/EDUSAT, rural areas in different State like Jammu, Kashmir & Ladakh in north near Himalayas, offshore Islands of Andaman and Laskhadweep, north eastern region states, mainland

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states of Rajasthan, Maharashtra, Orissa, Chhattisgarh, Karnataka, Kerala etc and some of the remote and tribal districts in the main land states across the country. Technology of Telemedicine consists of customised medical software integrated with computer hardware, along with medical diagnostic instruments connected to the commercial VSAT (Very Small Aperture Terminal) at each location. Generally, the medical record/history of the patient is sent to the specialist doctors for providing diagnosis. The video conferencing system is the mainstay of a Teleconsultation between the remote hospital and the specialist hospital that creates a virtual environment for emotionally connecting the patient and doctor in a true sense.

Focus of ISRO’s Telemedicine Programme The focus of ISRO’s endeavour has been on providing technology and connectivity for healthcare delivery in terms of the services for Tele-consultation between remote/rural district hospital and super specialty hospital; Continuing Medical Education (CME); mobile telemedicine for rural Health, especially for ophthalmology and community health. ISRO in association with state governments, NGOs and private/trust hospitals has established a network of 336 hospitals (as on December 2008) connecting 275 remote/rural/district hospitals and 10 mobile system with 51 super specialty hospitals/medical colleges located in urban areas.

Thrust Areas of ISRO’s Initiatives (a) Providing Telemedicine Technology & connectivity between remote/rural hospital and Super Speciality Hospital for Teleconsultation, Treatment & also Training of doctors & paramedics. (b) Providing the Technology & connectivity for Continuing Medical Education (CME) between selected Medical Colleges & Premier Medical Institutions/ Hospitals. (c) Providing Technology & connectivity for Mobile Telemedicine units for rural health camps especially in the areas of ophthalmology and community health. (d) Providing technology and connectivity for Disaster Management Support and Relief. With larger requirements of the different States proposing to introduce Telemedicine facility in their district hospitals, the Telemedicine system configured for the ISRO’s Telemedicine project initially started with “point to point” system between the patient end, which is a general hospital located in a district/town and expert doctors end which is a speciality hospital situated in a city. Subsequently the need for Server/Browser based Telemedicine system was evolved for multipoint connectivity

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and the same is adopted for multipoint connectivity for several remote and rural hospital with Super Speciality Hospital located in different Towns/Cities.

Approach Followed by ISRO ISRO followed a multi-pronged approach in conceiving the programme, planning the implementation and execution of the same.

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Pilot projects in different parts of the country evoking interest in the user segments (patients, practioners, and providers). Development of national standards and guidelines for practice of Telemedicine involving of multiple agencies Technology evolution and adaptation for the rural needs Developing and nurturing of industries meeting techno-commercial requirements Efforts to optimise the clinical requirements for evolving a suitable e-heath technology Efforts to minimise costs to bring in affordability and maximise reach Encouraging new models and efforts like innovative insurance schemes for operationalisation of the programme and long-term sustainability Integrating the healthcare administrators, planners, technologists and entrepreneurs and bringing all the stake holders to a common platform Training and handholding to the users (doctors and technicians) Workshops and seminars for creating awareness Initiating policy guidelines towards charge-free consultations to the rural patients, through (a) providing bandwidth from ISRO without charge for societal purpose (b) brining in speciality hospitals to provide tele-consultation as a social service Developing Mobile healthcare system for reaching the doorsteps of the rural population in the areas of Tele-ophthalmology, community heath and diabetology Sensitising the healthcare administrators for adopting the innovative technology at the national level

Thus, Integrating the healthcare administrators, planners, technologists and entrepreneurs and bringing all the stake holders to a common platform, ISRO has developed end to end solution, from conceiving to planning to designing, implementing and monitoring and evaluating. ISRO has kept the momentum on, by organising different workshops and user seminars involving the users and non-users to spread the message of benefits and draw the lessons for improved utilisation and management. Some of the noteworthy efforts by ISRO include – adapting different technologies from time to time, efforts to reduce the costs and bring in cost effective solutions, to meet the socio-economic considerations. The systems deployed at each Patient end and Specialist end node consist of the VSAT antenna, related hardware and electronics for the communication

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SYSTEM AT TELEMEDICINE NODE BUC Feed

PC with Telemedicine Software

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Tx IFL L-Band (9501450MHz), 24 VDC

Antenna dish

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ODUs IFL CABLES

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and Telemedicine system loaded with the GUI (Graphical User Interface) based Telemedicine software and the Video conferencing systems. In addition, each patient end node will have standard medical diagnostic equipment like a 12 lead ECG machine, X-ray scanner etc. Additional diagnostic equipments can be added on need basis. Typical systems at Telemedicine node are shown in Fig. 3 and details of systems installed at patient end and Specialist end are shown separately in Fig. 4.

Fig. 4 View of systems installed in Patient and specialist end nodes

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A Study of the Quality of Telemedicine Systems and Benefits/Utilisation The healthcare delivery system has been undergoing formidable challenges since 1990s. Rapid movement towards systems of managed care and integrated delivery networks has led healthcare providers to recognise real completion. Owing this recognition, lot of research has been carried out to study the service quality aspects of healthcare delivery in the recent past. Healthcare can be defined in relationship to (i) the technical aspects of care (ii) Interpersonal relationships between practitioners and patient (iii) the amenities care (Weitzman and In Kaner, 1995). Telemedicine being a latest application of the technology for the healthcare delivery and not entering the real business has not been researched enough. One of the works on Telemedicine (David, 2005) addressed three critical issues of Telemedicine: the conflict between the scripts embodied in Telemedicine technology and the daily work practices of healthcare professionals; the tendency of Telemedicine to produce a delegation of medical tasks to non-medical personnel (and to artifacts); and the tendency of Telemedicine to modify the existing geography within the healthcare environment. Many researchers contend that service quality is an important variable that affects success (Granroos, 1998). In the area of traditional healthcare research, the quality of healthcare has been viewed from a different perspective. Quality has been defined as “the ability to achieve desirable objectives using legitimate means” (Avedis, 1998) where the desirable objective implied “an achievable state of health”. Thus quality is ultimately attained when a physician properly helps his or her patients to reach an achievable level of health, and they enjoy a healthier life. One of the most widely used quality assessment approaches has been proposed in the structure – process – outcome model (Avedis, 1998). In this model, the structure indicates the settings where the healthcare is provided, where the process indicates how this is technically delivered, where as, the outcome indicates the effect of the care on the health or welfare of the patient. Both patient groups and physician groups are important constituents of the health-care system. However, it has been found that healthcare recipients have difficulty in evaluating medical competence and security dimensions (i.e. credence properties) considered to be the primary determinant of Service Quality (Kenneth, 1990; and James and Steven, 1988). In addition to service quality, several variables pertaining to Telemedicine Programme’s success were examined in this study. Review of the information success literature (DeLone and McLean, 1992) divided measures of information success into six major categories: 1. 2. 3. 4. 5. 6.

System Quality Information Quality User satisfaction Use Individual model and Organisational impact

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This model shows both system quality and information quality influencing user the organization. System relates to system performance such as response time and ease of use. Information quality refers to quality of the information product, such as accuracy, currency, relevance, and completeness. User satisfaction refers to the satisfaction level reported by system users. Use refers to how frequently an information system is used. Li (1997) provided a hospital quality management model to investigate the relationship between determinants of quality management and service quality performance in hospitals. This model emphasises the importance of quality performance through: 1. Staff training 2. Job enlargement and staff competence development, This model depicts the role of both clinical technology and patient medical information systems and stresses the significance of information/process analysis for continuous service quality improvement. The Services marketing literature has defined service quality in terms of ‘WHAT’ service recipients receive in their interaction with the service providers (i.e. technical, physical or outcome quality) and ‘HOW’ this technical quality is provided to the recipients (i.e. functional, interactive or process quality) (Granroos, 1988). Telehealth being more of an information service programme enabled by the communication technology, the combination of the above measures can be applied to study the success of the same. Towards this, 3 questionnaires have been developed to study the perceptions of the three segments of stake holders in the SATcom based Telemedicine programme – the Speciality End (SE) and Patient End (PE) doctors and the ultimate users; the patients from the rural areas. The questionnaires covered the suitable combinations of the above discussed Eight Dimensions and were analysed for the inferences.

Results of the Study Presently ISRO’s Telemedicine Network consists of 336 nodes – 285 Remote/Rural/ District Hospital/Health Centres including 10 mobile connected to 51 Super Speciality Hospitals located in the major cities increasing. More than 300,000 patients have been provided with Teleconsultation & treatment in the network till December 2008, including some life saving occasions. Under the Mobile Telemedicine, the Mobile Teleophthalmology facility has been provided at several hospitals to provide services to the rural population in ophthalmology care including grinding glasses for dispensing spectacles and more importantly the rural school children eye screening. A study has been conducted to evaluate the success and effectiveness of Telemedicine in the ISRO’s network including the spectacle dispensing facility and more

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MOBILE TELEMEDICINE

To overcome the prohibitive costs of large number of terminals and reaching out to the rural areas

Tele-Ophthalmic Van – Shankara Nethralaya

Tele-Ophthalmic Van – Aravind Eye Hospital

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Fig. 5 Mobile Telemedicine vans in operation

importantly rural school children eye screening camps. Two successful mobile Telemedicine models of recent times for Tele-ophthalmology are shown in Fig. 5. The highlights of the results/findings of the study in the identified eight dimensions are presented below: 1. System Quality: Majority (88%) of the users have expressed satisfaction over the system quality primarily measured by the video and audio quality and the reliability of the system in terms of uptime and the availability when needed. The progressively improved Graphical user Interface (GUI) of the software has been well received by the doctors at both PE and SE. 2. Information Quality: While a majority of SE doctors (88%) of the SE doctors rated the technical quality of the data/reports received as good as the traditional data/reports, 12% rated it as ‘acceptable’ 3. User satisfaction: Here the satisfaction of the REAL users of the facility, the rural patients are highlighted and they have expressed satisfaction over the fact that the time, money and efforts spent in consulting a super speciality doctor are much less compared to a traditional physical visit to the doctor. 4. Use: This has been modified by some researchers as usefulness in their studies. Either way, the survey has revealed that the system is not only useful for the patients but the administration as well, on whom lies the responsibility of providing healthcare delivery to the needy. One of the significant beneficiaries are the patients from the off shore islands like Laskhadweep and Andaman & Nicobar on either side of the main land of India who have no other way of seeing a specialist doctor in time, except when airlifted by the local administration.

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5. Individual impact: An 81% cost saving, in addition to savings/relief not only to the patients but their families in avoiding tedious journeys is seen as a major positive impact of the programme in addition to the feeling that they (the rural population) have been taken care and considered by the Administration. PE doctors have termed Telemedicine as a tool for alleviating their sense of isolation and for knowledge enhancement, as in the absence of the Telemedicine their job beyond a point would have been limited to just referring to a specialist. 6. Organisational impact: The Speciality hospitals engaged in the Telemedicine network have expressed satisfaction that they are utilising the existing infrastructure in serving the rural patients with marginal additional efforts. For the speciality end doctors the major driver or motivator is the sense of fulfilling the social responsibility by serving the rural patients. Though the present practice of SATcom based Telemedicine is followed as non charged service with the cost of the pilot projects born by ISRO and that of the second phase by the state administration, the intangible benefit accrued by the speciality hospitals and SE doctors is the positive word of mouth which has been well recognised as an important enabler of competitive advantage, for the healthcare providers. 7. Staff training: Many of the doctors have identified the significant results of the programme as improved staff training opportunities and reduced cost for the same, because of the training imparted to the remote nursing staff and other care providers in a distance mode from the SE hospitals. 8. Job enlargement and staff competence development: Other than low income, one of the major reasons for the high turnover of doctors posted to rural areas is their sense of professional isolation which is causing the flow of medical practioners to urban areas. The study has brought out that the in-built CME (Continuing Medical Education) facility in ISRO’s Telemedicine is empowering the rural doctors in handling the cases by them selves, which were earlier not thought of for lack of sufficient experience and the fear of risk taking. This has resulted in a greater and broader outreach of the speciality end doctors’ knowledge to the door steps of the geographically dispersed physicians who otherwise are not exposed to a continuous upgrade of knowledge and skills. This has been brought out by the observation by the SE doctors that the ‘experienced’ PE doctors consult them only occasionally on a case-to-case basis sparing the time of the experts and the resources of Telemedicine Facility by the other needy doctors and patients.

Discussion of the Study Results ISRO’s Telemedicine programme has demonstrated the efficacy, utility and ease of operation in the implementation of innovation leading to a capacity building with optimum use of communication infrastructure and processes. The involvement of community/stakeholders is seen in telemedicine by bringing the NGOs and other social agencies/trusts on to the common platform along with hospitals, health care administrators and technologies towards common goal which is a social cause as

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well as occupation of evidence based medical practices. Making the rural doctors to deliver improved services with the experience gained from the interactions with the specialist has been contributing to a professional satisfaction among the doctors/medical forces posted in the rural areas. This should lead to reduction in the professional isolation of the medical staff to extend their stay and services in the rural areas which in turn will be useful in boasting community satisfaction level. ISRO has been spearheading the Telemedicine service emphasizing the importance and value of technology research and development, learning and collaboration, strategic partnership and joint ventures, all in the pursuit of successful innovation. All along ISRO has bettered the knowledge of all the stake holders in adopting the integrative approach to manage the innovation as well as benchmarking their organisations for optimal quality and effective production and service delivery. ISRO has believed in the Einstein saying “you cannot solve the problems of the present with the solutions that produced them” and thus to achieve solutions for tomorrow, ISRO has shown to the government and health care industry leaders the need to step forward, to help regulators, manage organisations, hospitals, health professionals, insurers, NGOs and to work together to facilitate in building a higher quality, more convenient, lower cost health care system. Findings of the study give encouraging results about the success of ISRO’s SATcom based Telemedicine Programme in bridging the health divide between rural and urban areas, with scope for further improvement. The current state has been achieved by ISRO’s investment of efforts and research in initiating, innovating, upgrading, operationalising and carrying forward the programme with significant cost reductions and providing the crucial connectivity at no charge. The integrated approach followed in association with the various stake holders in Healthcare and some innovative schemes by Insurance Agencies have their share in shaping up the programme to a network of 336 hospitals (285 Patient Ends and 51 Specialist Ends). The initial hiccups in administrative and inter-systemic bottlenecks have been overcome to a major extent and the process of improvement is continuous. The range of clinical applications utilising the Telemedicine include, not limiting to – Radiology, Cardiology, Pathology, Dermatology, and Ophthalmology providing valuable tele-consultations including some life saving instances. The growth of Indian Telemedicine programme has been well nurtured and guarded by recommending Standards and Guidelines for Practice of Telemedicine in India, detailing specifications of systems, practices and clinical protocols. (Bedi and Murthy, 2005) Realising the potential of Telemedicine in Telehealth, the Federal Ministry of Health and Family Welfare constituted a high level National Task Force to design mechanisms to bring Telemedicine into the main stream of healthcare delivery. This experiment is set for an operational phase with more state governments embracing Telemedicine. For a sustainable business model public/private partnerships to provide cost effective and beneficial Telehealth Services are being discussed. A clue from the literature on Public Private Partnership (Buse & Hamer, 2006; Maskin & Tirole, 2007; Apen et al., 1994; Widdus, 2005 etc.) and their results as

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well as the ground realities on the interplay among multiple agencies points to the need for adoption of PPP approach. These partnerships result in a complimentarity of skills and resources that can accelerate the development and delivery of services to those in need. This is more so, in view of the fact that no single player has all the skills and resources needed to make an impact on its own in such a highly multidisciplinary activity like Telemedicine. Under the public private partnership, the steps involved and being planned are the evaluation of the existing Telemedicine nodes in different parts of the country and understanding the issues related to infrastructure, human resources, optimum technology in terms of hardware/software and connectivity and implementation issues in the field as also the user acceptance as an alternate health care delivery mechanism. Gauged by the success of the programme in overcoming paucity of infrastructure, as is the case in many a developing country, the model set by Indian Space Agency and being adopted by Indian healthcare providers can be applicable for developing countries, with necessary modifications.

Road Map for Future ISRO’s Telemedicine Project is gaining more acceptability and has potential to open up new frontiers for the rural healthcare in India. Some States have come forward to introduce Telemedicine in an operational mode and have prepared the district hospitals with Telemedicine facility both for ambulatory & intensive care for cardiac related treatment. States of Karnataka, Kerala, Chhattisgarh, Rajasthan and Maharashtra initiated the establishment of SATcom Based Telemedicine facility in all their district hospitals that will be connected to different speciality hospitals in the major cities. Telemedicine is being extended to other states like, Gujarat, Himachal Pradesh, Madhya Pradesh and Uttarakhand etc. As explained above, necessary plans to bring the Telemedicine and e-Health into the mainstream of healthcare system are being worked out for implementation by various government and private agencies towards reaching this goal. The vision is that, at the first level all the district hospitals in the country should be linked through Telemedicine – consisting of different state networks with the national network, national super speciality hospital network and a network for medical education insitutions connecting various medical colleges in different states and some of the premier medical institutions. Though the requirement is at a much lower level at primary and secondary level, below the district headquarters (HQ), it is envisaged to augment the network at the district HQ level. Infrastructure in terms of the building may be prevailing at the primary/village level but needs to be strengthened with more operational facilities, availability of contineous electricity, patient end doctor and operational staffs are to be ensured to expand this network to the grassroots level. In this regard, ISRO’s Village Resource Centre Programme (VRC) is an initiation to introduce Telemedicine at Village level along with multiple services related to agriculture, methods and market information, education information etc. This will

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eventually lead to apply Telemedicine/e health at the primarily health care level to integrate the curative and promotive aspects of healthcare including epedemeology and community health. As a national initiative, one of the major achievements of ISRO’s telemedicine programme is the formation of National task Force (NTF) by the union Ministry of Health & Family Welfare, Government of India.

Formation of National Task Force (NTF) Based on the major recommendations of the International Telemedicine Conference (INTELEMEDINDIA-2005) organised by ISRO and sponsored by Department of Health, Department of IT and other agencies at Bangalore during March 2005, a national task force has been constituted by the Ministry of Health. This Task Force was formed under the chairmanship of Union Secretary, Health & Family Welfare, Govt. of India to work out the various aspects of implementing Telemedicine in the country’s healthcare system including a draft national policy on “Telemedicine and Tele-medical education” and to prepare a central scheme for the 11th Five Year Plan. This National Task Force consisted of the following five sub-groups, with experts from the respective areas, to deliberate and bring out the recommendations.

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Sub group 1: Sub Group on Telemedicine Standards Sub Group II: Sub Group for formation of National Telemedicine Grid. Sub Group III-A: Sub Group to identify players and framing evaluation framework for projects involved in Telemedicine in India, prepare pilot projects (pending proposals, mobile services, National Medical College network etc). Sub Group III-B: Sub Group for ONCONET INDIA Sub Group IV: Sub Group for utilization of existing tele linkage facility in rural areas by Department of Communication, standardization of e records, training and CMEs in telemedicine, human resources – medical informatics. Sub Group V: Sub Group for preparation of National Policy on Telemedicine and tele medical education and to prepare central scheme for 11th five year plan

Such a widespread identification of areas and topics to discuss the needs, issues, services to be provided and options available with respect to the technologies and methodologies to be employed has enabled in a kind of vision document for bringing Telemedicine into the mainstream of healthcare delivery in the country. The NTF submitted a detailed proposal to the union Ministry of Health & Family Welfare, about forming a National Telemedicine Grid (NTG) for a nation wide connectivity and a eHealth web portal as a national repository of health/medical information generally not available in the Internet. The highlights of the recommendations, under the process of review for acceptance by the government are as follows.

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Proposed Constituents of National Telemedicine Grid A National telemedicine Grid (NTG) is envisaged to have two important functions related to (a) Connectivity for Telemedicine, Medical Education and Medical Training and (b) Healthcare information service for the administrators/decision makers. Constituents of the Grid: Telemedicine Network and e-Health Portal Part–A: National Telemedicine/e-Health Network 1. Selected District Hospitals of the country Connected to speciality hospitals Telemedicine Grids of Different States (current nodes) 2. Identified Speciality Hospitals 3. Premier National Medical institutions 4. National Medical Training Institutions providing medical/healthcare training 5. National and Regional Cancer centres involved in cancer care, research and training Part – B: eHealth Web Portal e-Health Web portal of MH&FW connecting different departments providing all information related to health informatics and Telemedicine, disease surveillance data, Educational material/information related to specific Indian healthcare system including AYUSH, which may not be available on internet. The second phase of the NTG can carry forward the broader initial phase developments and expand the Telemedicine network to include the following additional constituents into the web portal.

National Telemedicine Grid A Concept

Fig. 6 National telemedicine grid

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Constituents of National Telemedicine Grid Selected District Hospitals National & Regional Cancer centres

E-Health Web Portal

National Telemedicine Grid National medical Training

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Fig. 7 Constituents of proposed national telemedicine grid

1. Association/society/health portals (ICMR, IMA) 2. National Disease Surveillance (like IDSP) 3. Digital Library & Medical Informatics Also, various operational Disaster Management Support (DMS) systems/centres can be brought under the Telemedicine/eHealth Network of the NTG. Presently the Ministry of Health and Family welfare, Government of India has started the formal evaluation of Telemedicine nodes in terms operational and utilisation aspects for further action in the overall development of Telemedicine in the country. Proposed conceptual view of National Telemedicine Grid (NTG) and Telemedicine web portal are depicted in Figs. 6 and 7 respectively.

Conclusion ISRO’s efforts resulted in creating an ecosystem in the country for eHealth as an effective supplementary mechanism for healthcare delivery to the rural and remote populace. Such a system has not only brought the technology and medical care nearer, it also integrated the stakeholders and the community with greater awareness. Many medical research centres like Sanjay Gandhi Post Graduate Institute (SGPGI), Apollo Hospitals, Sri Ramachandra Medical College (SRMC), Narayana Hrudayalaya, Sankara Netralaya, Arvind Eye Hospital Asia Heart Foundation, Tata Memorial Cancer Hospital, etc have been the pillars of the programme in its utilisation and expansion of reach. To make the system work (Nicolini, 2005), the Telemedicine

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Fig. 8 Current role of ISRO for Introduction and Propagation

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programme needs to be taken forward through necessary plans for implementation by various government and private agencies and involving the medical and research community. Having created the eco-system for development of Telemedicine in the country with its lead role, ISRO, on its part, plans to ensure that the stake holders play a major role to carry forward the work done so far and reach next stage in operations. The current and envisaged roles of ISRO can be depicted as follows in Figs. 8 and 9. The stakeholders of current Telemedicine project are happy but not content with the progress and expansion of the network, as shown in Fig 10. and are striving

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Fig. 9 Envisaged role of ISRO for long-term sustenance and operationalisation

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Fig. 10 ISRO’s telemedicine network

towards continuous improvement in quantity and quality. They feel, the mission should not stop before realising the two famous Indian sayings “SARVE JANAH SUKHINO BHAVANTHU” (let all people be happy) and “AAROGYAM MAHAA BHAAGYAM” (health is the real wealth). Acknowledgments The Authors wish to acknowledge Dr. G. Madhavan Nair, Chairman ISRO/ Secretary Department of Space for his valuable guidance and direction provided and also all other

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colleagues in ISRO and other agencies who are part of the team in bringing this technology to the doorsteps of rural population.

References Latifi, Rifat (ed) Establishing Telemedicine in Developing Countries: From Inception to Implementation, IOS Pess, 2004. Weitzman, B.C. and A.R. In Kaner, Healthcare delivery in United States, Berlin: Springer, 1995. Nicolini, David. “The work to make Telemedicine work: A social and Articulative view”, social science & Medicine, 12, 2005. Avedis, Donabedian “Quality Assessment and Assurance: Unity of Purpose, Diversity of Means, Inquiry”, Spring: 175–192, 1988. Bopp, Kenneth D. “How Patients Evaluate the Quality of Ambulatory Medical Encounters: A marketing Perspective, Jl of Healthcare Marketing,10–1:6–15, 1990. James, Hensel. and Steven. A. Baumgarten, “Managing Patient Perceptions of Medical Practice Service Quality” Review of Business, 9–3:23–26, 1988. DeLone, W.H. and E.R. McLean, “Information systems success: The quest for the dependent variable” Information Systems Research, 3–1: 60–95, 1992. LI LX., “Relationships between determinants of hospital quality management and service quality performance-a path analytical model”, Internal Journal of Management Science, 125, 1997. Granroos, Christian, “Service Quality – The six criteria of good perceived service quality”, Review of Business, Winter: 1–9, 1988. Bedi, B.S. and Remilla L.N. Murthy (2005) “Standards and Guidelines for Telemedicine” in Satyamurthy, L.S. and R.L.N. Murthy (eds) Telemedicine Manual. Bangalore ISRO, 26–32, 2005.

TEMOS – Telemedicine for the Mobile Society Telemedical Support for Travellers and Expatriates Markus Lindlar, Claudia Mika and Rupert Gerzer

Abstract For six decades mass tourism has been growing rapidly. Eight hundred and ninty eight million tourist arrivals worldwide were registered in 2007 alone. Furthermore, hundreds of thousands of expatriates live and work in foreign countries. Among all 20 to 70 percent of the collective of international travellers suffer from health related problems while travelling, 1 to 5 percent of them need medical support during their stay and 0.1 to 1 percent of them are repatriated by air each year. Travel related illness is strongly increasing in parallel with the climatic and cultural contrast between the traveller’s country of origin and the destination country. In addition, the length of stay as well as the selected means of travel increase the risk for a disease. Thus, not only travelling in countries with special risks like communicable diseases increases morbidity. The demographic change in countries like Germany for example results in a growing proportion of older travellers very often suffering from chronic diseases like cardiovascular disorders or diabetes mellitus. Therefore the need of medical safety for travellers is growing especially in this group. When visiting countries with special health risks or another culture, travellers often do not know where to go in case of an emergency abroad, whether the diagnosis of the foreign doctors is reliable, whether the quality of treatment is all right or whether repatriation is necessary. This chapter describes the globally active TEMOS project (TElemedicine for the MObile Society). TEMOS mainly focuses on optimizing health care and medical treatment for travellers and expatriates worldwide. This includes the

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Certification of medical institutions worldwide according to the TEMOS quality standards, which documents the compliance of the institutions’ medical care with the state of the art as well as infrastructural or service requirements, Organization of a competence network of TEMOS certified medical institutions

M. Lindlar (B) DLR – German Aerospace Center, Linder Hoehe 2b, D-51147 Cologne, Germany e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 8,

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Provision of validated information about the medical and non medical services of medical institutions acting at the state of the art, Support of physicians worldwide in terms of medical expertise of specialists participating in the TEMOS telemedical network.

TEMOS additionally aims at an improvement of continuous medical education (CME) by providing electronic lectures and online teaching involving international specialists. The TEMOS certification system for hospitals has been developed and is now firmly established. The TEMOS database currently contains information on 1.185 hospitals and clinics in 48 countries. Presently 26 medical institutions providing high quality medicine are members of the TEMOS network. A satellite and Internet based communication platform allows the exchange of knowledge for continuous medical education (CME) and the secure exchange of patient data for teleconsultation and second opinion services. The appropriateness of the different communication channels used within the project has been studied in a comparative analysis of satellite-, Internet- and ISDNbased communication for telemedicine within the project. The results clearly demonstrate that Internet based communication is the most cost effective tool when sufficient bandwidths are available for each participating site. Satellite based telemedicine is suitable for regions lacking of a high speed terrestrial communication infrastructure like in many developing countries, on small islands or in rural regions. The certification of hospitals has turned out to be beneficial for different potential customers of a future TEMOS company as well as for the travellers and hospitals themselves. The database and associated information system of international hospitals together with CME and expert consultation via the TEMOS telemedical platform as parts of the Integrated TEMOS Services seem to improve medical care for travellers abroad significantly and allow a more secure travelling for elderly and chronically ill patients. Keywords SatCom · Satellite communication · Telemedicine · Continuous medical education · CME · Travel medicine · Telehealth · Teleconsultation · Hospital certification

Introduction Space science led to the development of satellite based communication which is accessible for almost everybody everywhere on our planet. Besides that, especially within the last years terrestrial communication systems have been used for the exchange of huge amounts of data, e.g. in videoconferences or telemedical activities. A stable communication infrastructure providing sufficient bandwidths is obligate to use these services, particularly in case of telemedical support.

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This chapter describes the different approaches of the telemedicine project “TEMOS” (TElemedicine for the MObile Society) and its integrated Services to optimize medical care for travellers and expatriates worldwide. After a short overview about worldwide tourism and associated medical problems for travellers, the different parts of TEMOS are introduced. The certification system and the TEMOS database are described and first results are presented. The second part focuses on the different communication channels ISDN-, Internet-, and satellite based communication to get access to the telemedical platform which offers teleconsultation and second opinion services, teleteaching, eLectures and online teaching. Furthermore, this chapter contains the results of a cost comparison analysis carried out to define the costs of usage and the most cost-effective channel for every institution within the TEMOS network of hospitals and clinics.

Background The Mobile Society Mass tourism is growing rapidly, and has been doing so for the last 60 years. The number of arrivals grew from 25.3 million in 1950 to 165.8 in 1970. In 1990, about 440 million tourists arrived at their destination country and in 2004, 760 million arrivals were counted (Mastny 2005). A new record of 898 million tourist arrivals was noticed in 2007. Almost 50 percent or 402 million arrivals corresponded to trips for the purpose of leisure, recreation and holidays. Business travels accounted for some 16 percent of the total (125 million). Another 212 million travels (26 percent) were performed for other motives, such as visiting friends and relatives (VFR), for religious purposes and pilgrimages and for health treatment. For the remaining 8 percent of arrivals the purpose of visit was not specified. Forecasts act on the assumption of 1,006.4 million arrivals in 2010 and 1,561.1 million in 2020 (World Tourism Organization 2008). Almost 138 million holiday trips were undertaken by German tourists in 2004. 66.5 million of these trips abroad lasted 4 days or longer with an average stay of 12 days and almost 29 million were performed by air (The European Commission 2007). Additionally, 150.7 million domestic and outbound business trips were carried out in 2006 leading to 11.6 million overnight stays abroad (VDR – The Business Travel Association of Germany 2007). In 2005, 890.000 German expatriates were living permanently abroad (OECD 2005).

Falling Ill on Journeys Among all 20 to 70 percent of the collective of international travellers suffer from health related problems, 1 to 5 percent of them need medical support during their stay and 0.1 to 1 percent have to be repatriated by air each year (Heinz et al. 2002).

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Cossar et al. performed an examination on travellers returning to Scotland from 1977 to 1990. Thirty six percent of them showed health related problems during their trip or immediately after return (Cossar et al. 1990). Among other results the studies showed that travel related illness rises significantly with an increasing climatic and cultural contrast between the traveller’s country of origin and the destination country (Reid and Cossar 1993). Thus, not only travelling in countries with special risks like for example communicable diseases increases morbidity. The collective of international travellers is increasingly inhomogeneous regarding age and health state. The demographic change in countries like Germany results in a growing proportion of elderly people and very often also chronically ill patients (Gerzer 2006). Conditions that increase health risks during travel include: – – – – – – – – – – – –

cardiovascular disorders chronic hepatitis chronic inflammatory bowel disease chronic renal disease requiring dialysis chronic respiratory diseases diabetes mellitus epilepsy immunosuppression due to medication or to HIV infection previous thromboembolic disease severe anaemia severe mental disorders any chronic condition requiring frequent medical intervention (World Health Organisation 2007).

Cardiovascular disease for example is a common cause of death and serious illness in travellers, the most common in older travellers, especially when originating from industrialized nations (Leggat and Fischer 2006). Diseases of civilization already show a high prevalence in the group of 40 to 65 years old people. Here, 4.5 percent suffer from diabetes mellitus and even 35 percent have problems with raised blood pressure causing stroke, ischemic heart disease, renal disease or hypertensive disease (Kohler and Ziese 2004). Thus, not only elderly passengers run the risk to incur severe complications of a chronic disease during a trip abroad. To maintain their mobility chronically ill persons wish safety regarding the quality of medical care during their travel.

Access to Qualified Medical Care Abroad When visiting countries with special health risks or a different culture, however, there is often a lack of information on

r

where to go in case of an emergency abroad,

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whether the diagnosis of the foreign doctors is reliable, and whether the quality of treatment is acceptable or whether repatriation is necessary.

From the health economic point of view avoidable costs for medical treatment are caused by maltreatment on one hand. E.g. maltreatment of Malaria, the most common infectious disease and cause of death in travellers (Steffen 2004), had been reported on most travellers suffering from it when returning to the United States. They hadn’t been on an appropriate chemoprophylactic regimen when leaving for the trip (Malaria surveillance-United States 2002). On the other hand, unnecessary repatriations cause avoidable costs. Kramer et al. showed in an analysis of 1094 cases of international ambulance flight repatriations that up to 7 percent of the patients repatriated by the German Air Rescue corresponded to NACA score 1 and 2. The NACA score, created by the National Advisory Committee for Aeronautics of the U.S. Army, classifies injuries or illnesses on a scale up to 7 points where e.g. NACA 2 corresponds to moderate injuries or illnesses without necessity for emergency treatment while NACA 7 corresponds to death. NACA 1 and 2 usually do not make flying home necessary (Kramer et al. 1996). As costs for aeromedical repatriation can easily reach US $50,000 or more (Leggat and Fischer 2006), avoiding these unnecessary repatriations could reduce costs of insurance policies significantly. Increasing the quality of treatment abroad could furthermore reduce repatriations of patients with a higher NACA score when treated till a re-establishment of fitness to travel. But travel agencies, travel insurance and assistance companies and globally active companies often are lacking of valid information on the quality of medical institutions on site in case of a medical emergency of their customers or staff thus tending to repatriate a patient in case of doubt. How can this lack of information be resolved? Is it possible to raise the overall quality of treatment of sick travellers by admitting them to adequate medical institutions and how could this be ensured? Can security in sense of reduced health risks be warranted during travels to increase the mobility especially of the elderly and chronic ill patients? Can treatment abroad be optimized by improving the information available about the patient’s history or when involving experts in the treatment abroad?

Telemedicine for the Mobile Society – TEMOS Objective of TEMOS is to support the mobility of the society by improving the health related security on travels

r r r

by providing valid information on the medical and non medical services of medical institutions acting at the state of the art, by establishing a certificate for foreign medical institutions, the so called TEMOS hospitals and clinics, which documents the compliance with the medical state of the art as well as infrastructural or service requirements, and by supporting physicians worldwide with medical expertise of specialists participating in a telemedical network.

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TEMOS additionally aims at an improvement of the CME by involving international specialists. TEMOS is a service for the travel market, the travel insurance and assistance market and also for the health sector. Travelers shall be able to plan their journey knowing where to go with acute or chronic health problems thus increasing their personal mobility even with advanced age or being chronically ill. Assistance companies and travel health insurances shall have the possibility to reduce costs and increase the quality of care for their customers admitting them to the most appropriate medical institution abroad and thus occasionally avoiding costs for inadequate treatment or unnecessary repatriations. Tour operators shall have the possibility to increase the feeling of safety for the increasing number of elderly and/or chronically ill patients being able to provide travels to regions with a high standard of medical care. Physicians and medical experts worldwide shall have the possibility to exchange case related knowledge or to provide or receive lectures on health related topics in sense of Continuous Medical Education on a worldwide Internet and satellite based telemedical information and communication platform.

The Approach of TEMOS The project TEMOS is supported by ESA ARTES-3 program focusing on satellite based telecommunications (European Space Agency 2005). The project started in 2004 under participation of partners from France (Telemedicine Technologies S.A. – TTSA) and Germany (Center for Travel Medicine – CRM, Duesseldorf; Aachen University Hospital – Institute of Aerospace Medicine – RWTH, Aachen, German Aerospace Center – Institute of Aerospace Medicine – DLR, Cologne). In addition, three TEMOS certified pilot hospitals participate in the project (Cretan Medicare, Medical Center Hersonissos, Isle of Crete, Greece; b. MEDICUS-Clinic, Side, Turkey) as well as a hospital in India (Privat Hospital Dr. Sachdev, New Delhi, India) and in Brazil (PUCRS University, Porto Alegre, Brazil).

Certification of Hospitals and the TEMOS Hospital Database The TEMOS certification has been developed with and is accepted by many assistance companies, e.g. ADAC, AXA, Mondial, Roland and Malteser. The certification is offered to hospitals worldwide which guarantee a high quality treatment to their patients. After a successful certification process the “TEMOS certificate” is granted to the medical institutions. The certificate is valid for a 3-year period. After this time, to keep the certificate, a recertification is needed. The certification process validates a large number of properties of a hospital or clinic such as general information on location and contact data, the staffing, medical

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care, standards for hygiene, medical disciplines and equipment. Besides these medical properties also the so called hotel services are validated like the type of kitchen, the kind of rooms and their equipment with bathrooms, TV, Internet access or air condition. Also data about the languages spoken in the medical institution and the connectivity for telemedical services are collected. Some hundred different items are documented for the certification process.

The Certification Process TEMOS is looking for clinics and hospitals to be certified in different regions abroad. The medical institutions are categorized as institutions for primary-, secondary- and tertiary-care, specialized medical facilities and medical practices. The regions are determined by the following parameters:

r r r r r

amount of tourism in a region as described in statistical analyses large number of German expatriates in the region as described in statistical analyses rural region in target countries evaluated by TEMOS evaluation in that region requested by customers clinics or regions recommended by a reliable source

When having identified a region, TEMOS performs a first investigation on the existing hospitals or clinics. This is done by contacting reliable sources, e.g. embassies, official databases or ministries. Additionally medical institutions are searched on the Internet (Fig. 1). After having identified relevant medical institutions they are contacted via mail. Hospitals or clinics answering this request for participation receive the “Evaluation form A” from the TEMOS reference centre. This document queries the items or properties, respectively, of the hospitals or clinics mentioned above. “Evaluation form A” is filled in by the institution’s management. After having received this information, medical experts of the TEMOS reference center travel to the institution to perform an on-site validation documented in the “Evaluation form B”. It contains similar items with the possibility to validate them on a scale from 1 (excellent) to 6 (unsatisfactory) points. Within 6 weeks after the on-site validation a report containing the accumulated results is sent to the medical institutions. The results represent 14 groups of validated items. The quality standards of each group are validated with the following scores:

r r r r

A – No deviation from the required quality standards B – Minor deviation from the required quality standards C – Profound deviation from the required quality standards D – Severe deviation from the required quality standards

Depending on the deviations from the required quality standards the report lists recommendations or obligate requirements regarding the improvement of the quality

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Evaluation form “A”

Evaluation form “B”

Validate data

Validate data

Qualified?

Certificate ?

Ye s

Hospital search

No

Evaluation on site

Stop

No

No

Cooperation?

No

yes

Send request for participation

yes

yes

Include?

TEMOS Certification

Stop

Fig. 1 TEMOS certification

standards in the respective group. A and B are accepted for a certification, C requires an obligate improvement on that sector if it is intended to keep the certificate at the next reevaluation and D excludes the certification by TEMOS. Even if only one group is scored “D” a certification is rejected by TEMOS. When having passed the evaluation process, the medical institution receives the TEMOS certificate. TEMOS is presently preparing its own ISO conformal accreditation as a certification authority.

The International Hospital Database Besides the medical institutions involved in the certification process, further institutions worldwide are listed in the SQL-server based relational TEMOS data base. In the first phase, the identification phase, regions of interest are identified and a web based research is performed. Additionally, TEMOS hospital identification includes interviews with reliable sources like assistance companies, embassies or big enterprises that might have experiences with hospitals in the region concerned. These hospitals or clinics are contacted by the TEMOS reference center in the following verification phase to verify the basic data available containing items like name, address, phone-and fax-number, e-mail address and the staff’s capability to speak English, which is an example for an obligate requirement to be TEMOS-certified or to be listed in the TEMOS database. As many items as possible are investigated during the verification phase. If this verification process has been performed successfully, these hospitals are published in the final publication

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Fig. 2 Example of the graphical presentation of medical institutions on the CRM homepage (Greece) grey cross = TEMOS certified institution; white cross = other medical institution listed in the TEMOS data base

phase on the website (www.crm.de/temos), in the “Handbook for Travel Medicine” (subscribed to by 60.000 physicians) as well as on other media of the “Center for Travel Medicine” (Fig. 2). Information on the TEMOS-hospitals and clinics is published in 3 levels of increasing details. The levels containing more information than basic data are accessible only for customers of TEMOS.

TEMOS Telemedical Services Telemedical services can be provided via satellite communication hereinafter referred to as SatCom, ISDN or terrestrial IP-based networks, hereinafter referred to as Internet because unlike for SatCom a Quality of Service (QoS) is not available on the terrestrial lines used for TEMOS.

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TEMOS uses 2 different video conferencing systems, one hardware based (Zydacron Z470 hardware codec with Teleporter video conferencing software by Scotty Group, Graz – Austria) and H.320/H.323 compatible. The other system is a client server software based application (Easymeeting video conferencing software by Feedback Italia – Torino – Italy).

Satellite Based Communication (IP) TEMOS uses the European Eutelsat satellite network, satellite Atlantic Bird 1 (AB1), for video conferencing with integrated file transfer on an IP basis. A bandwidth of 850 Kbit/sec can be guaranteed when performing these activities. Bandwidth and a virtual conferencing room inside Easymeeting have to be booked using a module of the MEDSKY software delivered by TTSA, the partner from Paris. Bookings are accepted first come, first served (Fig. 3).

Internet Based Communication (IP) When performing video conferences over the Internet using Easymeeting or the Teleporter the bandwidth cannot be guaranteed. Delay and frame drops due to variable bandwidths and bottlenecks cannot be excluded definitely.

ISDN The dedicated, hardware based, H.264 (MPEG-4 version 10) encoding video conferencing system, can be connected by eventually already existing hardware based video conferencing systems at other sites at a bandwidth of up to 512 Kbit/sec (ISDN/H.320 -8 bonded B-channels) or 2 Mbit/sec (IP/H.323). This system is also used to perform lectures for students, e.g. of the University of Porto Alegre (Brazil). To perform a secure exchange of medical data the MEDSKY platform from TTSA is used. MEDSKY contains an electronic medical case record where patient data can be uploaded for the purpose of case discussions, teleconsultation and second opinion services. Upload and download are encrypted. Furthermore MEDSKY includes an electronic notification system between the participating members and the booking interface for IP based video conferences with the client server based Easymeeting system. This system is also used to perform the satellite based teleteaching. TEMOS-SatCom interlinks TEMOS hospitals and clinics or links them to a German medical expert. Other hospitals worldwide can easily be integrated into the satellite network to make use of the teleconsultation and second opinion service. The second opinion at present is provided by specialists of the Aachen University Hospital, a high-ranking medical institution in the Euregio, the border triangle of the countries Germany, the Netherlands and Belgium.

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Fig. 3 Satellite antennas (left antenna: send & receive data; right antenna: receive only)

Telemedical Work Stations A bidirectional satellite dish, directed to Atlantic Bird 1 at 12.5◦ west, has been mounted at the 2 pilot sites on Crete and in Turkey, in Germany at the partner’s registered offices in Cologne, Duesseldorf and Aachen and at the TTSA head quarters in Paris. The dishes are connected to a satellite terminal which communicates via Ethernet with the telemedical work stations (except TTSA’s dish). The telemedical work stations are commercial of the shelf personal computers upgraded with specific hardware (e.g. video cameras and headsets, radiological greyscale display) or software (e.g. DICOM viewer and DICOM communication) depending on their purpose. The basic equipment needed to be able to communicate over the TEMOS communication platform is a modern PC connected to the Internet, a webcam, a headset and the MedSky client software. This guarantees low costs for the entrance into the TEMOS network for teleconsultation and teleteaching (Fig. 4). TEMOS provides also transportable medical units including an electronic ECG and medical devices to register blood pressure, O2 saturation and body temperature. In addition, digital images can be taken from the patients. The transportable unit also uses the MedSky platform to communicate patient data and can connect to the Internet via IP, PSTN, ISDN or a portable Inmarsat antenna which provides of a 64 Kbit/sec ISDN-B-channel and can be used almost worldwide (Fig. 5).

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Fig. 4 Telemedical work station

Satellite Based Continuous Medical Education CME lectures for physicians who are participants of courses in travel medicine held by CRM can be transmitted in multicast mode to their homes or offices over the AB1 satellite. The lectures can be received in real-time using a simple receive-only

Fig. 5 Portable telemedical work station with ECG-belt, blood pressure meter, digital camera (right) and Inmarsat antenna with satellite telephone (left)

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satellite dish – the same one usually used to receive TV-broadcast transmissions – and a DVB-S receiver for the personal computer. The course participants can simultaneously watch a lecture during which they can give written feedback to the teacher or ask questions via an Internet backward channel. CRM uses a fixed bidirectional send-and-receive satellite terminal to feed the stream of the lecture out of their lecture hall into the satellite network. They also provide a transportable satellite dish, offering the opportunity to travel e.g. to hotels where the lectures are held for additional participants or to hospitals, clinics or other locations. Live transmissions out of an operating theatre can also be performed in that way.

Internet Based e-Learning A web server based online e-learning system has been developed by CRM with the possibility to carry out teaching units via Internet. This system contains multimedia teaching material, online accomplishable multiple choice tests and offers the possibility to get into contact with the teachers. The course in travel medicine, the newly developed teaching methods and its’ curriculum have been certified by the Physicians Chamber of the Northern Rhine Area (AEKNO). Participants of the course receive the degree in travel medicine after passing a final exam.

Results and Current Status of TEMOS TEMOS started with the pilot operational phase in June 2007. The duration of this phase is one year. The state documented herein refers to March 2008.

Certification of Hospitals Turkey In Turkey 241 medical institutions have been identified and contacted via mails. Fifty of them replied showing interest in the project. During a five-week evaluation journey to Turkey 47 hospitals have been visited and on-site evaluations have been performed. Five medical institutions have been certified. One of them, the MEDICUS Clinic in Side, is a TEMOS pilot site. Greece In Greece 339 medical institutions have been identified on the website of the “General Secretariat of National Statistical Service of Greece”. All have been contacted. Ten mails returned as undeliverable. In 30 replies interest has been expressed. Twenty institutions have been visited and evaluated by the TEMOS evaluation team.

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Eleven of them are now certified TEMOS medical institutions. One of them, Cretan Medicare’s Medical Center Hersonissos, is a TEMOS pilot site. Tunisia Tunisian’s embassy and consulate, the Tunisian National Tourist Office, the German Automobile Club (ADAC) and the German Air Rescue have been contacted to provide data on relevant medical institutions in the country but without success. Thus, on basis of an Internet research a first list of 187 medical institutions has been created and institutions appearing appropriate for TEMOS have been determined in a selection procedure according to the region specific criteria listed in the methods chapter herein. Finally 73 medical institutions in particular in tourist regions have been identified and contacted via mails. Five replied and have been visited for on-site evaluations. Brazil The evaluation of the Brazilian medical institutions has been carried out in cooperation with the medical school of the University of Porto Alegre. In addition to the University hospital 4 medical institutions, recommended by the medical school, have been contacted, visited and certified successfully. The University hospital is one of the cooperating sites for/of the TEMOS communication platform. India Three medical institutions have been evaluated and certified. The Privat Hospital Dr. Sachdev in New Delhi is a cooperating site on the TEMOS communication platform. Ecuador One hospital was completely evaluated corresponding to the TEMOS certification standards. At present, a contract has not been signed yet. Thailand Three hospitals have been visited and one has been certified by TEMOS. Thailand is still in the identification phase. Indonesia Five hundred and nine Indonesian medical institutions have been contacted by mail or fax in early 2007. During a first pre-evaluation journey 15 institutions have been visited and 8 of them have been identified as potential partners within the TEMOS network of medical institutions. All of them expressed their strong interest

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Table 1 Visited and certified medical institutions Country Brazil China Ecuador Greece India Indonesia Seychelles Thailand Tunisia Turkey Total

TEMOS certified 5

visited

5

5 1 1 22 3 20 3 3 5 47

26

110

11 3 1 1

to become TEMOS certified institutions. At present 20 hospitals have been visited. One has been certified by TEMOS. Up to now, 26 hospitals in Brazil, Greece, India, Thailand, and Turkey have become members of the TEMOS network of certified medical institutions (Table 1) .

Hospital Investigations in Progress Currently 526 medical institutions in Poland and 208 in the Czech Republic have been contacted by mail. The data are currently analyzed to identify potential partners for the TEMOS network of certified medical institutions.

TEMOS Hospital Database The TEMOS database currently comprises 1084 datasets on medical institutions in 49 countries. Two hundred and seventy five of these datasets have been validated and information on the respective medical institutions has been published on the CRM website. The different types of medical institutions are listed in Table 2.

Telemedical Services This chapter focuses on the results of the testing and implementation of the technical system architecture. It does not contain any results of the pilot operational phase which is still running since June 2007.

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Table 2 Published data on 285 different medical institutions (∗ p.c.: primary care; s.c.: secondary care; t.c.: tertiary care; s.f.: specialised medical facility; m.p.: medical practice) Country/Institution∗

p.c.− m.p

Argentina Australia Brazil Croatia Czech Republic Ecuador Egypt Greece India Italy Japan Mauritius Mexico Morocco Russia Seychelles Spain Thailand Tunisia Turkey Total

1

2 11 2 1 13 1

2 2

s.c. 5 11 1 5 7 22 4 14 4 14 13 21 4 1 1 7

t.c. 2 4 4 2

s.f.

2 1 6

5 14 5 12 9 35 4 26 10 15 33 2 24 7 9 3 12 1 11 48

33

285

3 11

1 4

2 2 6

3 1

6 31

3 1 1 10

39

171

42

published

7 1 1 1

Satellite Communications The satellite link grants access to the Eutelsat network itself and, via gateways, also to the Internet and the servers of TTSA running the MEDSKY medical communication platform and the EasyMeeting server for client-server based video conferencing.

Satellite Bandwidth The reservation of satellite bandwidth is crucial to be able to perform video conferencing at a defined quality in sense of picture resolution and frame rate. Over satellite multichannel sessions with up to 4 active channels have been tested. One active channel in the video conference corresponds to a window where the video and audio signal of a participant is transferred to the EasyMeeting server. The guaranteed bandwidth available on the platform is 850 Kbit/sec and the video resolution is 320 × 240 pixels. The bandwidth and the frame rate for the channel vary depending on the number of active channels as listed below. The more active channels participate in a session the less the frame rate. When performing video conferences without booking bandwidth in advance, we experienced a significant elongation of the signal propagation delay.

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The same occurred when increasing the number of participants without decreasing the frame rate. A delay above 10 seconds made the system unfeasible. As a result the bandwidth has been contracted to be available continuously. Sessions are granted in a “first in, first served” manner. That means that when a session is booked for a specific time, no other session can be performed in parallel over satellite. The system related delay is about 800 milliseconds caused by the distance to the geostationary satellite orbit at 36,000 km distance to be absolved 2 times and vice versa in the “double hop” environment where the signal runs 2 times to the satellite and back to the ground.

Satellite Reliability Once synchronized, the connection between the satellite terminal and the satellite remains stable. An interruption has been observed only in case of hardware failure or heavy rainfalls at the client site or at the location of the Network Operation Center (N.O.C.) in Torino (Italy). The time for a synchronization of the satellite terminal with the network after switching it on takes from 10 to 30 minutes. Thus it is recommended to leave the satellite terminal switched on.

Satellite Costs Costs of satellite communications strongly depend on the bandwidth guaranteed and the interval, from booking to usage, in which a connection of guaranteed bandwidth has to be provided by the network operator. In the beginning of the TEMOS project a session had to be booked at least 24 hours prior to the desired date. As this has not been feasible due to organizational reasons (e.g. contracting), presently a dedicated bandwidth of 800 Kbit/sec is available permanently. There is a yearly basic fee for each terminal covering the access to the satellite network and the support. Costs per minute for the access to the video conferencing system at a guaranteed bandwidth (depending on the number of channels – see Table 3) are 0.5 Euro/minute. As these prices are based on a mixed calculation, the isolated costs for the satellite usage at guaranteed bandwidth cannot be specified in detail (Table 4).

Table 3 Relation of active channels to bandwidth and guaranteed frame rate no. channels

bandwidth/channel (Kbit/sec)

frame rate (fps)

1 2 3 4

∼600 ∼300 ∼200 ∼150

25 15 15 15

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channel

monthly fee

costs per minute

Bandwidth

satellite ISDN @ (6 B-channels)

∼ 90 Euro ∼ 96 Euro

guaranteed guaranteed

ADSL

∼ 35 Euro

0.50 Euro 0.66 Euro (Germany<>India) none

not guaranteed

Internet Communications Both, the EasyMeeting as well as the Scotty video conferencing system can be used via IP over the Internet. Internet Bandwidth Until a complete migration to IPv6 is performed, a Quality of Service (QoS) or a guaranteed bandwidth, respectively, cannot be guaranteed when communicating over the Internet. We observed this especially when testing IP-video conferencing over a satellite based Internet access without guaranteed bandwidth. Especially in the late afternoon, the Internet usage via satellite often appears to increase enormously. At these times even conferences at a bandwidth of 56 Kbit/sec often cannot be performed in an acceptable manner. However, we tested the systems over terrestrial Internet links as well and experienced no significant problems or losses of quality when each site was equipped with a broadband Internet access with at least 256 Kbit/sec upstream and when only a point-to–point session has been performed. When performing multipoint sessions frame drops occurred more often and audio quality decreased. The Scotty system worked well over Internet, when bandwidth for the channel has been adapted manually in the software settings to the capacity of the Internet connection. Internet Reliability When using the Internet, we experienced no problems with both, the Scotty and the Easymeeting system, when considering a spare bandwidth of at least 56 Kbit/sec. A satellite Internet connection without guaranteed bandwidth turned out not to be reliable not only because of the varying bandwidth, but also because of occasional interruptions to the Internet where the cause could not be determined. Internet Costs Costs for a terrestrial Internet connection depend on its type. The costs for an ADSL connection vary from country to country. In the TEMOS scenario the EasyMeeting system works at a bandwidth of 300 Kbit/sec in a point to point session. The Scotty system delivers similar picture and audio quality at a slightly lower bandwidth. Thus

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the ADSL connection should provide an upstream of minimum 382 Kbit/sec. Such a connection is available in Germany at monthly rate of about 30 Euro for the connection including a data flat rate for the traffic (Table 4).

ISDN Communications Only the Scotty system is able to connect via ISDN using the H.320 protocol. Only point to point sessions are possible when not using a multi-user control unit (MCU). The TEMOS platform itself does not provide a MCU. ISDN Bandwidth The Scotty system provides of a 4 BRI-ISDN interface able to bundle 8 ISDNB-channels and resulting in a maximum bandwidth of 512 Kbit/sec. We tested the system with different counterparts (Scotty, Tandberg, Polycom) and different video codecs. The H.264 hardware codec used by Scotty is downward compatible to older systems encoding with H.263 and H.261 codec. We experienced the highest picture quality at a 4CIF resolution (704 × 576 Pixel) at a bandwidth of 384 Kbit/sec and H.264 encoding. Increasing the bandwidth did not lead to a better video quality and only increased the speed of concurrent file transfers. Video conferences with H.263 encoding counterparts showed no improvement of image quality from 256 Kbit/sec upwards. A subjective validation of video quality was done by 2 independent viewers. ISDN Reliability ISDN lines are routed over the telephone network. When established, a connection bandwidth is guaranteed, but not the stability of the line itself. Furthermore, when bundling or bonding several ISDN-lines, it is not guaranteed that all lines use the same connection route. We experienced connection losses several times when performing video conferences with different counterparts. International connections (India, Brazil) were less stable than national ones. This resulted in the necessity to re-establish the connection and the video conference. ISDN Costs Costs for ISDN video conferencing have to be calculated per B-channel used and depend highly on the tariff the telephone company charges for connections to the destination. In Germany an ISDN line with 2 B-channels at 64 Kbit/sec (EUROISDN) costs 24 Euro per month basic fee plus the connection costs. One minute per ISDN-channel currently costs 0.111 Euro to India and 0.083 Euro to Brazil (ARCOR Company, September 2007). Assuming to perform a point-to-point connection at a bandwidth of 384 Kbit/sec (6 B-channels bonded) the costs are 0.666 Euro/min to India or 0.498 to Brazil.

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In the example above the costs for ISDN are slightly higher than the costs of SatCom. Depending on the destination country the rates for ISDN can be lower. However, ADSL is most economic among the channels for telemedicine (Table 4).

Discussion To improve the feeling of safety on journeys and to optimize medical services for travellers abroad the TEMOS integrated services combine the certification of hospitals and clinics, the TEMOS database and associated information system of medical institutions worldwide, and a medical communication platform for CME and teleconsultation. TEMOS tries to satisfy the need of different target groups like travel insurances, assistance companies, tourism companies, globally acting companies and the traveller itself to get information on qualified care abroad. The support by assistance companies during the preparation phase of the project as well as the great interest of hospitals abroad show that the TEMOS approach has a great potential to prove its value in the context of travel medicine and travel security especially for the elderly and chronically ill patients. Satellite, Internetand ISDN-based communications proved to be suitable to perform teleteaching and medical support for patients abroad. The drop in costs for broadband Internet access for public and private customers in most parts of the world as well as the price decrease of hardware grant access to telemedicine at moderate costs. The certification of hospitals turned out to be beneficial for the different customers of TEMOS. The traveller or his travel insurance will have access to quality certified data about hospitals worldwide, as already realized for Greece, Turkey as well as for parts of South America and Asia. The medical institutions validated for the TEMOS database are listed on the website of CRM which is visited approximately 450,000 times per month. Hospitals abroad expressed their interest in participation for different reasons like the demand for CME, the advantage in competition and the augmentation of reputation in the region and in relation to the assistance and travel companies. ISDN and satellite networks can guarantee bandwidth for digital communication on the respective platform. This is important for applications where a continuous data transfer is crucial (like telepresence of experts during medical interventions) or when performing lectures. But this advantage causes higher costs in relation to e.g. a broadband Internet access like ADSL. Apart from the costs for the communication interfaces needed for ISDN- or satellite based video conferencing (about 1,500 Euro for the 4-BRI-ISDN interface or the satellite terminal including antenna respectively), the monthly fees are higher (about 100 Euro/month for satellite access or 4 ISDN-lines respectively). In addition, connection related costs per minute accrue. Broadband Internet access (ADSL) offers unlimited traffic at moderate costs and high bandwidth which however is not guaranteed. ADSL is available at least in the tourist regions or business centers where TEMOS is mainly active. The decision to use ISDN or satellite communications or terrestrial broadband lines depends on the requirements for the application itself and the availability

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on-site. For TEMOS this means that teleteaching, if not transmitted point-to-point from the expert to a lecture hall, requires a multicast environment with guaranteed bandwidth like the satellite platform offers. For teleconsulting and second opinion, mostly performed point-to-point, guaranteed bandwidth is not crucial. When broadband Internet connections are available, they are mostly sufficient for these purposes as we experienced during the preparation period for TEMOS. Sparsely populated or rural areas as well as small islands often lack broadband lines or an ISDN network. In most cases SatCom is the only option for these regions to partake in telemedicine, especially when bandwidth consuming applications like video consultations shall be performed. To provide telemedicine in a mobile environment, like on aircrafts, ships or on expeditions satellite solutions are available even in absence of cellular networks. Thus space research bridged the digital divide arising in absence of a terrestrial data infrastructure.

Conclusion The TEMOS.network of certified medical institutions follows a new approach to improve security during travels abroad. The database of international hospitals delivers assembled and validated data that is currently not available for the public from any other source. Together with CME and expert consultation over the TEMOS telemedical platform an integrated service has been developed that has the potential to improve medical care abroad significantly, especially when the number of participants will rise in the future bringing in international expertise in the field of medicine to TEMOS. Internet based communication enables cost effective services. SatCom guarantees that these services can be offered anywhere in the world.

Acronyms ADSL BRI Codec CIF CRM DICOM DLR INMARSAT ISDN PSTN SatCom TEMOS TTSA

Asynchronous Digital Subscriber Line Basic Rate Interface Coder/Decoder Common Intermediate Format Center of Travel Medicine Digital Imaging and Communications in Medicine German Aerospace Center SatCom provider Integrated Services Digital Network Public Switched Telephone Network Satellite Communications Telemedicine for the Mobile Society Telemedicine Technologies S.A.

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References Mastny L. (ed.) (2005) Vital Signs 2005, The Worldwatch Institute, Washington DC: pp. 100–101. World Tourism Organization (2008): World Tourist Arrivals: from 800 million to 900 million in two Years. UNWTO World Tourism Barometer, http://pub.world-tourism.org:81/WebRoot/Store/ Shops/Infoshop/Products/1324/080206 unwto barometer 01–08 eng excerpt.pdf(current Mar. 11, 2008). The European Commission (ed.) (2007) Panorama on Tourism, 2007 edition, Luxembourg, Statistical Office of the European Communities – Eurostat, pp. 23–31. VDR – The Business Travel Association of Germany e.V. (ed.) (2007) VDR Business Travel Report Germany 2007 in cooperation with BearingPoint, Frankfurt/Main, The Business Travel Association of Germany e.V – VDR. Organisation for Economic Co-operation and Development – OECD (2005): Database on immigrants and expatriates – Total population by nationality and country of birth (detailed countries). Statistics Portal, http://www.oecd.org/dataoecd/18/23/34792376.xls (current Mar. 11, 2008). Heinz W., C. Roll and E. Fr¨ohlich E (2002) Notf¨alle auf Reisen: M¨oglichkeiten der Patientenr¨uckholung, Med Welt, (53), 177–180. Cossar, J.H. et al. (1990) A cumulative review of studies on travellers, their experience of illness and the implications of these findings, J Infect. (21)1, 27–42. Reid D. and J.H. Cossar (1993) Epidemiology of travel, Br Med Bull, (49)2, 257–68. Gerzer, R. (2006) Introduction to The Travelmedicus, Travelmedicus, 2, 2. World Health Organisation (2007) International travel and health, Geneva. Leggat P.A. and P.R. Fischer (2006) Accidents and repatriation, Travel Medicine and Infectious Disease, 4, 135–146. Kohler M. and T. Ziese (2004) Telefonischer Gesundheitssurvey des Robert-Koch-Instituts zu chronischen Krankheiten und ihren Bedingungen, Berlin: Robert Koch-Institut. Steffen, R. (2004) Epidemiology: morbidity and mortality in travellers in Keystone, J.S. et al. (eds.) Travel Medicine, St Louis, MO, Amsterdam: Mosby Elsevier Science, pp. 5–12. CDC. Malaria surveillance-United States,(2002) MMWR Morbid Morbid WMortal Weekly Rep 2004; 53(SS01): 21–34. ¨ Kramer W., Domres B., Durner P., Stockert K (1996): Evaluation of repatriation parmeters: an analysis of patient data of the German Air Rescue. Aviat Space Environ Med 67: 885–9 ESA - European Space Agency; User Segment - Telecommunications (2005), http://telecom.esa.int /telecom/www/object/index.cfm?fobjectid=187

Convergence of Internet and Space Technology Jin-Chang Guo

Abstract With the development of the space technology, communication satellites can play an important role in enhancing the global Internet. The communication satellite network has many unique merits than the ground network. To incorporate the communication satellites into the global network is a fascinating but complicated work. The communication path through the satellites is very different from the ground network, e.g., we need treat the effects to the Internet services introduced by the longer time-delay and the Jitter, the services will encounter the effects of the higher Bit Error Rate etc.; A satellite is a typical resource-constrained system, we cannot design the satellite network node the same as the ground network node, e.g., the network topology, the network segment, the network node ports, the hardware structure of the node, the interface to the ground network or the user terminals etc.; Additionally, a series of bran-new network protocols are also needed for an integration of the space network with the ground network etc. In this chapter, we summarize our research works on the satellite communication network architecture, satellite communication network protocol, and some key technologies for the satellite communication node etc. The key technologies are classified into software technology, hardware technology, and system technology. 3 typical research works for all of the 3 kinds of key technologies are given in this chapter. A new S-UFP satellite communication protocol which can support both fixed ATM cells and variable-length packets is introduced in section “Protocol design for the communication satellite network”, a design of on-board router is given in section “Design of an on-board router”, a setup policy research of ILISL is given in section “ILISL in a multilayered satellite network”. The simulation result is given as a verification of the feasibility of the design. Some tentative viewpoints and research plan is introduced. We will try to provide a useful reference for the constructing of the global communication network with space communication technology, to

J.-C. Guo (B) Chief Researcher, R&D Department, CAST (China Academy of Space Technology), Beijing 100094, P.R.China e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 9,

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extend the ground network as a reliable global network without information gap, and people can connect to the Internet really at anytime, anywhere on our planet. Keywords Satellite communication · Satellite network · Protocol · On-board router · ISL

Introduction The internet has become increasingly important to users in their everyday lives. The statistic sources from internet by John Horrigan in 2006 shows that the proportion of Americans online on a typical day grew from 36% of the entire adult population in January 2002 to 44% in December 2005. The number of adults who said they logged on at least once a day from home rose from 27% of American adults in January 2002 to 35% in late 2005. And for many of those users, the internet has become a crucial source of information – Pew Internet & American Life Project show that fully 45% of internet users, or about 60 million Americans, say that the internet helped them make big decisions or negotiate their way through major episodes in their lives in the previous two years. So did as other people all over the world. Internet has become part of our life. But we still remember the earthquake at Dec 26, 2006 in the Pacific Ocean which disrupted the internet access in Asia. The quake damaged some undersea cables off the Taiwan coast. These lines route calls and process Internet traffic for several Asian countries. Telephone and Internet service was disrupted across Asia cutting off 50% to 60% of overall internet service capacity affecting connections to China, Japan and Southeast Asia. Service from those countries to the US resulted in 90% of capacity loss. Many major telephone and Internet Companies are experiencing service interruption at this time. The damaged portion of the cables had to be pulled to the surface and repaired aboard ships. The repair process prolonged from the estimated some weeks to several months that it really took. People had to suffer from the bad internet services from not go through to poor quality nearly half a year. However, with the development of the space technology, communication satellite can play an important role in enhancing the Internet. It can work as a backbone of the global network, a router of the global network, and even a hub-spoke network node direct to the user terminal. With the cooperation of the communication satellite, we can provide a reliable Internet services to people on anywhere of our planet at anytime even in an emergency. To incorporate the communication satellite into the global network is a fascinating but complicated work. The communication path through the satellites is very different from the ground network, e.g., we need treat the effects to the Internet services introduced by the longer time-delay and the Jitter, the services will encounter the effects of the higher BER (Bit Error Rate) etc.; A satellite is a typical resource-constrained system, we cannot design the satellite network node the same

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as the ground network node, e.g., the network topology, the network segment, the network node ports, the hardware structure of the node, or the user terminals etc.; Additionally, a series of bran-new network protocols are also needed for an integration of the space network with the ground network etc. In this chapter, we summarize our research works on the satellite communication network architecture, satellite communication network protocol, and some key technologies for the satellite communication node etc. The key technologies are classified into software technology, hardware technology, and system technology. 3 typical research works for all of the 3 kinds of key technologies are given in this chapter. A new S-UFP satellite communication protocol which can support both fixed ATM cells and variable-length packets is introduced in section “Protocol design for the communication satellite network”, a design of on-board router is given in section “Design of an on-board router”, a setup policy research of ILISL is given in section “ILISL in a multilayered satellite network”. The simulation result is given as a verification of the feasibility of the design. Some tentative viewpoints and research plan is introduced. We will try to provide a useful reference for the constructing of the global communication network with space communication technology, to extend the ground network as a reliable global network without information gap, and people can connect to the Internet really at anytime, anywhere on our planet.

Communication Satellite Network Architecture and Key Technology Analysis The Role of the Satellite Communication Network The requirement to the communication satellite network includes both the commercial and military communication services (Farserotu and Prasad 2000). With the convergence of Internet and space technology, it is possible not only to transmit/receive information containing images, graphics, sound and videos as usual, but also the ISP industry can offer such services as: linking consumers and businesses via internet, monitoring/maintaining customer’s Web sites, network management/systems integration, backbone access services for other ISP’s, and managing online purchase and payment systems etc. especially provide services to users all over the world at the places where the ground network services are unavailable. It shows that there are increasing users who have special purpose with internet would like to use such an internet route which can provide services at anytime and anywhere in the world. Figure 1 shows a global network with satellite communication network. In this case, the network user can use ground network and/or connect to a satellite directly. The communication satellite can provide network services where ground network not covered. The ground network can be extended from ground to the near earth space, or deeper space. Even a navigation satellite network or other specified

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Fig. 1 A global communication network

satellites can provide some communication and network function, as a supplement and enhancement to the satellite communication network.

Communication Satellite in the Satellite Communication Network Several different types of global satellite communications systems are in various stages of development. Each system, either planned or existing, has a unique configuration optimized to support a unique business plan based on the services offered and the markets targeted. In the last few years more than 60 global systems have been proposed to meet the growing demand for international communications services. There are four general system designs, which are differentiated by the type of orbit in which the satellites operate: Geostationary Orbit (GEO), Low-earth Orbit (LEO), Medium-earth Orbit (MEO), and Highly Elliptical Orbit (HEO). Each of these has various strengths and weaknesses in its ability to provide particular services. GEO systems orbit the Earth at a fixed distance of 35,786 kilometers (22,300 miles). The satellite’s speed at this altitude matches that of the Earth’s rotation, thereby keeping the satellite stationary over a particular spot on the Earth.

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Geostationary satellites orbit the Earth above the equator and cover one third of the Earth’s surface at a time. The majority of communications satellites are GEOs and these systems will continue to provide the bulk of the communications satellite capacity for many years to come. GEO systems have significantly greater available bandwidth than the LEO and MEO systems. This permits them to provide better broadband services that may be unpractical for other types of systems. Because of their capacity and configuration, GEOs are often more cost-effective for carrying high-volume traffic, especially over long-term contract arrangements. LEO systems fly about 1,000 kilometers above the Earth (between 400 miles and 1,600 miles) and, unlike GEOs, travel across the sky. A typical LEO satellite takes less than two hours to orbit the Earth, which means that a single satellite is “in view” of ground equipment for a only a few minutes. As a consequence, if a transmission takes more than the few minutes that any one satellite is in view, a LEO system must “hand off” between satellites in order to complete the transmission. In general, this can be accomplished by constantly relaying signals between the satellite and various ground stations, or by communicating between the satellites themselves using ISL (inter-satellite links). In addition, LEO systems are designed to have more than one satellite in view from any spot on Earth at any given time, minimizing the possibility that the network will loose the transmission. Because of the fast-flying satellites, LEO systems must incorporate sophisticated tracking and switching equipment to maintain consistent service coverage. The need for complex tracking schemes is minimized, but not obviated, in LEO systems designed to handle only short-burst transmissions. The advantage of the LEO system is that the satellites’ proximity to the ground enables them to transmit signals with no or very little delay, unlike GEO systems. In addition, because the signals to and from the satellites need to travel a relatively short distance, LEOs can operate with much smaller user equipment (e.g., antennae) than can systems using a higher orbit. In addition, a system of LEO satellites is designed to maximize the ability of ground equipment to “see” a satellite at any time, which can overcome the difficulties caused by obstructions such as trees and buildings. MEO systems operate at about 10,000 kilometers (between 1,500 and 6,500 miles) above the Earth, which is lower than the GEO orbit and higher than most LEO orbits. The MEO orbit is a compromise between the LEO and GEO orbits. Compared to LEOs, the more distant orbit requires fewer satellites to provide coverage than LEOs because each satellite may be in view of any particular location for several hours. Compared to GEOs, MEOs can operate effectively with smaller, mobile equipment and with less latency (signal delay). Although MEO satellites are in view longer than LEOs, they may not always be at an optimal elevation. To combat this difficulty, MEO systems often feature significant coverage overlap from satellite to satellite, which in turn requires more sophisticated tracking and switching schemes than GEOs.

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HEO systems operate differently than LEOs, MEOs or GEOs. As the name implies, the satellites orbit the Earth in an elliptical path rather than the circular paths of LEOs and GEOs. The HEO path typically is not centered on the Earth, as LEOs, MEOs and GEOs are. This orbit causes the satellite to move around the Earth faster when it is traveling close to the Earth and slower the farther away it gets. In addition, the satellite beam covers more of the Earth from farther away. The orbits are designed to maximize the amount of time each satellite spends in view of populated areas. Therefore, unlike most LEOs, HEO systems do not offer continuous coverage over outlying geographic regions, especially near the south pole. Several of the proposed global communications satellite systems actually are hybrids of the four varieties reviewed above. For example, all of the proposed HEO communications systems are hybrids, most often including a GEO or MEO satellite orbital plane around the equator to ensure maximum coverage in the densely populated zone between 40 degrees North Latitude and 40 degrees South Latitude. In general, GEO satellites play an important role for a stable zone satellite communication. GEO satellites can provide a global satellite communication through ISL but with a bigger time delay. LEO satellite constellation can provide a better real-time global satellite communication with a complex network links, and needs some tens of satellites for a better global coverage. MEO satellites can provide a communication performance between GEO and LEO. A dedicated MEO satellite or a compound satellite with a navigation satellite is feasible for a practical satellite communication network. Further, a multi-layered satellite network with ILISL (Inter-Layer Inter-Satellite Link) will boost the satellite communication network with an enhanced performance compared to a mono-layered satellite network. In a multi-layered satellite network, a GEO satellite can also work as a stationary core-router for the satellite network to improve the connectivity for the moving MEO/LEO satellites. With a multi-layered satellite network, we can construct an economical and reasonable satellite communication network to fulfill a specific global communication requirement. Figure 2 shows two typical operation models and communication path through a multi-layered satellite network.

Fig. 2 Typical operation and communication model through a multi-layered satellite network

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Architecture Analysis of a Communication Satellite Network Usually the satellite communication networks can be classified into hub-spoke and mesh topologies in Figs. 3 and 4 respectively (Zhang et al. 2004). The hub-spoke topology is comprised of a number of remote earth terminals communicating with a hub terminal, there are no direct links among remote earth terminals. This topology is efficient in supporting client and server communications. Most commercial broadband satellite systems have adopted the hub-spoke architecture to exploit the architectural synergy with other broadband network access technologies such as Cable Modem, and Digital Subscriber Line (DSL). This synergy reduces both system and terminal costs. This topology is suitable for GEO satellite network, in which the GEO satellite works as a hub. In addition to network access to a hub-spoke network, there are needs for remote terminals to directly communicate among themselves especially when they are not in the same satellite coverage area, which can be fulfilled with a mesh topology. Direct peer-to-peer communication enables services such as VoIP, and other time sensitive applications. Recent advances made by various industry standard organizations and satellite equipment vendor have enabled satellite networks to support IP services more efficiently. For a multi-layered communications satellite network, which consists of GEO/ MEO/LEO satellites in Fig. 25, it is recommended to adopt the mesh topology. In such a satellite network, we can setup as more ISLs between LEO satellites, up to 6 ISLs for each LEO satellite, e.g. 2 for intra-orbit satellites, and 4 for inter-orbit satellites. For some LEO satellites, we can setup ILISLs to the GEO/MEO satellite if it is necessary. ISLs between GEO satellites are useful to connect the different coverage zones of the different GEO communication satellites. Compared to the satellite to be

Fig. 3 Hob-spoke network

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Fig. 4 Mesh network

connected through the earth gateway, it has higher efficiency and communication performance for communication services.

Key Technology Analysis for a Communication Satellite Network We will experience a obvious delay in a play-by-play TV program from oversea. People who had a international travel ten years ago usually had an experience of the IP phone service at that time. The echo of the voice is a troublesome problem. There are similar and even more key technologies need to be solved when we setup a global satellite network. A satellite network structure is very different from a ground network. The ground network is expanding fast from IPv4 to IPv6, supports network nodes from 232 to 2128 , but for a specified country or space group, some thousands of satellite nodes are enough in the near future. We can design the satellite communication network as a segment of the global network, and preserve certain IP address for it. But the network topology is very different from the ground network, it has a dynamic feature. A satellite network node is a resource-constrained system working in the space environment. The power consuming, the volume of the network unit, and thermal dispersion etc. become prominent issues. For the whole communication path, the effect of time-delay, jitter, DER (data error rate) etc. must be considered, so a brannew protocol is needed for a satellite network. The protocol needs compatible to the now exiting satellite communication protocol and the ground network protocol. The interface of the satellite network to the ground network i.e. the gateway of the ground station needs a special design.

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Overall, the key technology for a communication satellite network can be classified as software technology, hardware technology, and system technology etc. from the top view. Satellite communication protocol design, on-board router design, and satellite network route design are given as typical examples for the above 3 type of key technologies respectively in this paper.

Protocol Design for the Communication Satellite Network Requirement Analysis for the Protocol Design We usually draw money from an ATM machine, here ATM means a type of protocol for a particular network. Internet also has its protocol which is called as IP. So does the satellite network (Jin-Chang et al. 2006). Now, satellite communication services are migrating from narrowband communication to wideband multimedia communication. More and more researchers are focusing on the multimedia communication over satellite. Broadband multimedia satellite projects are planned especially for broadband multimedia services. Advanced technologies, such as onboard processing and onboard switching etc., are to be used in new satellite communication systems. By updating the circuit switching to fast packet switching onboard, the efficiency of the onboard communication links are improved greatly and new services can be support over satellite links. Usually, the protocols of ATM, IP and DVB could be adopted for a broadband multimedia satellite communication network system. Most of the researches were concentrated on ATM protocol for broadband multimedia satellite communication systems before 1990s, because the ATM protocol could provide better QoS for broadband multimedia services at that time. With the maturity of the TCP/IP protocols on the commercial network, this protocol is being used for satellite broadband communication. IP over Satellite (IPoS) and DVB-S can be adopted for IP broadband multimedia communications satellite now. But ATM protocol has been using on the satellite for many years, it has unique advantage for backbone network and even for military networks, so ATM protocol and IP protocol need to be supported simultaneously for satellite communication for a long time in the future. IP over ATM, in which IP packets were transported via ATM, or ATM protocol worked as a carrier layer for IP, is a complicated scheme, with more spending for protocol processing, and lower encapsulation efficiency etc. Therefore it is not an ideal scheme for the broadband multimedia satellite communication systems. The DVB-S is a popular standard for voice and video broadcast in only one direction, supporting ATM and IP protocol simultaneously, and providing other services such as data service. Its main shortcoming is complex for data service processing. The Digital Video Broadcasting – Return Channel Satellite (DVB-RCS) is a newer standard supporting both forward- and backward-link, but it is similar to IP over ATM,

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i.e. ATM was used as a carrier layer in the forward links, too. Other network protocol standards for the ground networks, e.g. GPON (Gigabit Passive Optical Networks, specified by the ITU-T in 2003), IEEE802.16 (for wireless MAN, specified by IEEE in 2004) support both ATM and IP protocols, but they are suited only for several tens miles range of network paths on the ground, distinguishing from a networks links over satellite with longer time-delay and larger attenuation. The main purpose of the protocol research is to design and verify a protocol that can not only support IP services over satellite, but also it is compatible with the ATM protocol adopted currently. Other purposes include trying to find a better scheme for higher bandwidth efficiency, better QoS etc. Based on the above analysis of the mentioned protocols and their features for ATM and IP services, we designed a scheme to support the switching and transmitting for both fixed-lengths ATM cells and variable-length packets over satellite channels.

A Basic Satellite Communication Network System Architecture and Protocol Reference Model The architecture of a broadband satellite communication system is given in Fig. 5. It includes Broadband Communication Satellite, Gateway, Master Control Station and User Terminal, etc.

Fig. 5 Architecture of the broadband satellite communication system

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Fig. 6 SPS of broadband satellite system

ATM Service

Packet service

TDM service

ATM AL

PAL

TAL

Network layer Data Link Layer Physical Layer

Multi-beam antenna, onboard switching and onboard processing technology are used for the GEO communication satellite in Ku and/or Ka band, supporting all of the voice, video, and data service etc. The applications of the system include interactive multimedia service over satellite (i.e. broadband satellite access) for the general purpose users, and Private Business Network for the commercial users. The Protocol Reference Model (PRM) of the broadband satellite communication system is presented in Fig. 6. It consists of four layers: (1) Satellite Service Adapter Layer (SSAL), it provides three different processings to each of services, such as segmentation and reassembly (SAR), timing recovery, etc. The SSAL is further divided into three parts for different services, i.e., ATM Adapter Layer for ATM service mapping, Packet Convergence Sub-Layer for packet services processing such as IPv4, IPv6, Ethernet, and VLAN services etc; TDM Adapter Layer for mapping TDM services. (2) Network Layer, it implements packets switching according to two identifiers, beam number and connection identifier (CID). (3) Data Link Layer (DLL), it has three main functions, one is related to the media access control (MAC), e.g. Service Access, Channel Allocation, Connection Setup, Connections Maintenance etc. The second is to encapsulate the upper layer PDU into a DLL PDU described in Fig. 7, or vice versa. Other security functions, e.g. security, authenticating, private key managing and encrypting/decrypting etc., are also offered. (4) Physical Layer (PL) performs the functions included in the layer 1 of OSI/RM, i.e. bit transmission, synchronization, Encoding, and modulation etc.

General PDU Header

HT 1b

Fig. 7 DLL PDU

EC 1b

PTI 3b

CI 1b

Payload (Optional)

EKS 3b 6 bytes

Len 12b

CRC (Optional)

Beam 7b

CID 12b

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Communication Protocol Design As given in Fig. 7 DLL PDU could be used to transfer the user data and the managing information. It includes a PDU header with fixed length (6 bytes), Payload Data part with variable length, and optional CRC part. The PDU header can be a general purpose header or a channel allocation request header. There is no payload data for a Request PDU, the length of the payload data is variable according to the PDU type. In Fig. 7, HT represents the Header Type (1 bit), HT=0 for Generic Header and HT=1 for Bandwidth Request Header. PTI means the Payload Type Identifier (3 bit), which is similar to the PTI for the ATM protocol. The first bit is for Data Type, 0 for user data, 1 for managing data. The other 2 bits are used as the congestion indicator and the tail indicator respectively. EC is for Encryption Control (1 bit), EC=0 for payload data without encryption, EC=1 for payload data with encryption. EKS indicates for Encryption Key Sequence (3 bits) if EC=1, selecting the index of the encryption array. CI states for CRC Indicator (1 bit), CI=0 for CRC is not used, CI=1 for CRC exists. Beam-ID is ID for Beam Number(7 bits) to identify which beam is used, and the maximum beam number is 128. CID is the connection unumber (12 bits), i.e. there are at most 4096 connections existed in single beam. The Len gives the packet length (12 bits), the maximum packet length is 4096 bytes. HCS means the Header Check Sequence (8 bits), it is used to check the error of the header, the generating polynomial is g(D)=D8 +D2 +D+1. For the Multiple Access Mode, we adopt TDMA and demand assignment multiple access (DAMA) for uplinks, and FDD/TDM for downlinks. The frame structures for uplinks and downlinks are given in Figs. 8 and 9. In Fig. 8, the downlink frame consists of Frame Header and Payload Data. The first part is divided into frame synchronization code and control code. The frame synchronization code is used to ensure the synchronization between the satellite and the ground nodes. We use the control code to transfer some control information from satellite to ground nodes, e.g. bandwidth allocation information etc. It consists of uplink mapping and downlink mapping. These two mappings are to indicate the start time of information for each user in the downlink frames, or the start time of the information for each user in the uplink frames. In Fig. 9, the uplink frame consists of Access Initializing Time Gap, Bandwidth Allocating Time Gap, and Payload Data Time Gap etc. The bandwidth and start time of the time gap are indicated in the UL-MAP. Frame Header Synchronization code

Synchronization code

Control Code

Uplink Map

Fig. 8 Downlink frame structure

Payload Data Data 1

Downlink Map

Data 2

...

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SS Protection Gap Initializing Time Gap

Apply Burst

Allocating Time Gap

Apply Collide

Apply Burst

SS1 Data

Allocation Apply

...

SS NData

Apply Allocation Collide Apply

Fig. 9 Uplink frame structure

Application Analysis of the Protocol There are four services types, i.e. CBR (constant bit rate service category), rt-VBR (real-time variable bit rate service category), nrt-VBR (non-real-time variable bit rate service category) and UBR (unspecified bit rate service category). The bandwidth is allocated according to the peak rate for the CBR and rt-VBR service, while the bandwidth of nrt-VBR service is assigned according to its committed bit rate. In practice a poll technique or a temporary bandwidth allocation is used to fit the requested bandwidth. The UBR service will be transferred through the spare bandwidth, and be adjusted according to the variety of the nrt-VBR services.

Simulation Model of Protocol The purposes of our simulation include: (1) Setup the simulation model according to the above scheme of the service model for this broadband multimedia satellite. (2) investigate the performance of different services in assigned scenarios. (3) Analyze the simulation result in detail and give proposals to improve the scheme. With the help of simulation tool OPNET, the simulation models include ground nodes and satellite nodes. The ground nodes, consisting of voice nodes, video nodes and data nodes, are responsible for the service access, data encapsulation, data transmission, data receive and statistics etc. Receiving the packets from ground nodes and then transferring to the target nodes are performed in satellite nodes. The switching mode of the satellite nodes could be each of two different manners, i.e. input/output buffer switching and shared buffer switching. Simulation input parameters are given as following. The bit rate of real-time voice packet is 64 kb/s, with the occupancy ratio 0.4. The bit rate of real-time video packet is 384 kb/s under the occupancy ratio 0.2. For non-real-time data service, Pareto distribution is adopted for the download file length with the parameters of

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␣=1.1, the minimum file length k=1800 bytes, 1500 bytes of packet length in active period. The time gap for each packet arrival and packet read time are exponential at average of 8.3 ms and 12 s, respectively. We assumed that the bit rate of the uplink channel is 8.192 Mb/s with the frame length 24 ms, and each slot time has the data length of 48 bytes (384 bits) if the bit rate of each slot remains 16 kb/s. Considering the protection gap to distinguish different ground nodes in the TDMA mode, there are 572 time slots in a frame, 60 of which are used for protection. Each time slot lasts 41.958 ␮s.

Analysis of Simulation Results The Time-delay vs. bandwidth usage for voice and video services with two buffer policies are given in Fig. 10. For a real time service (either the voice service or the video service), the end-to-end time delay keeps at a range of 255 ms to 265 ms. It is also shown that the delay changes a little for each service under two buffer policies. The Jitter vs. bandwidth usage for real time voice and video services are presented in Fig. 11. The Jitter is varying in a small range of 5.7 ms to 6 ms. This is due to that the services are transferred by the ATM cells, the bandwidth allocation is according to the peak value, and the higher priority is assigned to real-time service. Shown in Fig. 12 is the end-to-end time delay for data service. Comparing to the real time services, it has bigger time delay up to 775 ms – 850 ms. It is because we give a lower prior level for non-real-time services, the services are transferred with IP protocol, the bandwidth is allocated according to the average bit rate. The packets lost ratio (PLS) for different services under two buffer policies is given in Table 1. The PLS of voice and video services could be 0, because their bandwidths are allocated according to their peak bit rates, and the BER is lower in

Fig. 10 Time-delay vs. bandwidth usage

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Jitter (ms) 6.50 input-output buffer voice input-output buffer video shared buffer voice shared buffer video

6.30 6.10 5.90 5.70 5.50

Fig. 12 Time-delay for data services

0.3

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Time Delay (s)

0.900 shared buffer input output buffer

0.850 0.800 0.750 0.700

0.3

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0.95

our simulation (Actually we could control the BER to 10−10 in broadband satellite communication system). But the PLS of data service is high up to 30%–40% since the bandwidth for the data service is allocated according to the average bit rate and it is too low compared with the bit rate that data service needed.

Summary of the Protocol Research The proposed protocol can support fixed-length ATM cells and variable-length packet simultaneously. We discuss the system architecture, data encapsulation and Table 1 Packet loss ratio (%) Services

Input output buffer

Shared buffer

Usage

0.3

0.5

0.8

0.95

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0.5

0.8

0.95

voice video data

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framing, services classification, service access, and satellite channel allocating etc. The performance of the proposed scheme is investigated in the OPNET environment. Simulation results show that the scheme provides a better QoS for the realtime satellite communication services.

Design of an On-board Router Purpose of the Research Work People use many network equipments on the ground network, e.g. repeaters, hubs, routers, gateways, etc. We introduce an on-board router as the key hardware device for the satellite network connections (Jin-Chang et al. 2007). The on-board router is a core component on the communication satellite to connect the communication payload to the satellite network. The earth terminals in one of the satellite coverage area can find its route to the other earth terminal in another satellite coverage area through the on-board router and set up a shorter communication path between them. In this section we mainly research on the high-level architecture for the multi layered satellite communication network and focused on the key technology of onboard router, which is the core component of the satellite communication network.

The Hardware Structure and Function of the On-board Router The on-board router consists of 4 parts logically as showed in Fig. 13, i.e. input ports, switch structure, output ports, and router controller etc. (1) Packets arrive the router from the input ports, find its route, and decide its target ports. (2) Packets are also classified at the input ports. Protocols are decapsulated at the inputs ports. And all the parallel ports will be queued in the buffers of the input ports. (3) The switchers are the channels between the input ports and the output ports. (4) The router controller runs the router protocol, creates the transfer table, control the process of the packets transfer, and run the configuration and management functions. Figure 14 give the function structure diagram of the on-board router. It includes service switcher, interface unit, router layer switcher, router transfer, and control unit etc. (1) The Service Switcher transfers data from Service payload to the Interface Unit. (2) The Router Layer Switcher performs the time-gap transfer for the service data. (3) The Router Transmitter transfers the packets to target route and port.

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Fig. 13 Hardware structure of the on-board router

Router Transmitter

Router Layer Switcher

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Fig. 14 Function structure diagram of on-board router

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(4) The Interface Unit performs the encapsulation and decapsulation of the packets. (5) The Control Unit performs the control and maintenance to all of the units of the on-board router. Figure 15 shows the Switch Hardware Structure. There are 4 types for switch structure: (1) One CPU + multi Line Card. It’s a basic structure. (2) There is a CPU on each Line card. It can take in and send out packets in large quantities, or we can adopt cheap CPU. (3) There is a special CPU on each Line card. And a packet needs transfer through the data bus only one time. (4) CPU is replaced by ASIC chips, and data bus is replaced by switcher matrix.

Analysis of the On-board Router The on-board computer is a power limited system. The on-board router performs its functions with the support of the earth gateway. First of all, the function unit on the earth gateway assists the on-board router to update its router table. It monitors the communication satellites in the network,

Fig. 15 Switch hardware structure

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computes their orbit parameters, gives the real time topology structure, and computes the real-time router table for a satellite to other satellites. When the router table of a satellite needs to be updated, it sends the new router table to the satellite. The on-board router has two input/output ports, connecting to the control unit and network switch unit respectively. The interface to the network switch can be distinguished as: user link port, ISL port, feedback link port, and TC&TM port etc. All of these interfaces are managed by the on-board router. The number of the network nodes for the router layer is 128 maximum. It includes all the satellite nodes and the earth gateway nodes. The on-board router has 8 output ports (includes a control unit port). It needs 3 bit in the router table. It is named as pID. To simplify the router table, the network address is tied up to the satellite ID (sID). E.g., the network address in the router table may be simplified as sID->pID. The following rule should be satisfied when the real-time router table is created, i.e. the packets path from satellite A to satellite B should be the same as the packets path from satellite B to satellite A.

Simulation Result and Analysis The End-to-end Delays vs. Link Utilization are given in Figs. 16, 17, 18, and 19 for voice and video services with Switch Hardware Structure (b) given in Fig. 15. For a real-time service, either voice service or video service, the end-to-end delay is in an acceptable range, i.e. from 255 ms to 270 ms, and the end-to-end delay is closely for voice or video service. The Delay Jitters vs. Link Utilization are given in Figs. 20, 21, 22, and 23 for voice domain, video domain, data domain, and Equal Load.

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Fig. 17 End-to-end delays vs. link utilization

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Fig. 23 Delay Jitter vs. link utilization

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The End-to-end Delays for data services vs. Link Utilization are given in Fig. 24. Compared to real-time services, it has larger End-to-end Delay, i.e. from 775 ms to 850 ms.

Summary The performance of the proposed implementation scheme of the on-board router is investigated in the OPNET environment. When the hardware structure 2 is adopted, the satellite network can work stably for real-time service and non-real-time service etc. Simulation results show that the scheme provides a better performance for the real-time services. The transfer policy for the non-real-time data services needs to be improved.

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ILISL in a Multilayered Satellite Network The Role of the ILISL We can connect a PC or a network equipment into the network either by network cable or wireless. Actually, there are data links between the network nodes in either of the cases. ISL or ILISL is such a link as wireless connection between network nodes in the ground network. In the satellite networks, a global satellite communication network with 3 GEO satellites cannot provide a good coverage and communication performance at lower latitude. A global network with LEO satellites can provide a good real-time communication services but needs some tens of satellite with complex ISLs and higher operation cost. MEO satellite network is a compromises scheme but it is few applied. A compound communication satellite network with ILISL could enhance the connectivity, reliability, and coverage of a satellite network. In such a network, LEO satellite usually works as a switcher for the local user under its coverage area. GEO constellation or MEO constellation works as a backbone for transmission, transfer, and management functions. By introducing ILISLs between LEO constellation and MEO/GEO constellation, the functions of a LEO satellite can be simplified, its cost can be cut down, and the feature of the antenna of ILISL for capturing and tracking can be easily fulfilled. An ILISL between LEO satellite and MEO satellite is the most complex one with higher dynamic. So the setup and management policy of ILISL between LEO satellite and MEO satellite is a complex but worthwhile research work, and we only give the research work for this scenario.

Model of a LEO/MEO Multilayered Communication Satellite Network Figure 25 shows a multilayered network structure. The network consists of user layer, LEO satellite layer, and MEO satellite layer. The network can be classified into two types: (1). There are ISLs in the LEO constellation. The user data can be transfer direct in the LEO layer or through the MEO layer. (2). There isn’t ISL in the LEO constellation. The user data must be transfer through ILISL. In any of the case, ILISL is a backbone between the 2 satellite layers. Figure 26 shows the geometry position of LEO SATELLITE and MEO satellite in the space. Where Re = 6378.137 km (radius of the earth), h L is the orbit altitude of the LEO satellite ; h M is the orbit altitude of MEO satellite ; h p is the protection height. It shows a LEO satellite can setup ILISL with several MEO satellites at the meantime. The visible percent of the LEO satellite SL on the MEO orbit spherical surface is, Re+h Re+h 1 − cos arccos Re+h Lp + arccos Re+h Mp S= × 100% 2

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Fig. 25 LEO/MEO multilayered satellite network structure

Figure 27 shows that the visible percent value of the LEO satellite, with different MEO orbit altitude, where h L = 1414 km and 780 km respectively. It shows that the visible percent of the LEO satellite SL at the MEO orbit spherical surface is almost over 50%. In case of the Walker Delta constellation is selected

Fig. 26 the geometry relationship of LEO satellite and MEO satellite in the space

Convergence of Internet and Space Technology Fig. 27 Percent of visible area of LEO satellite on MEO satellite orbit

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for the MEO constellation, a LEO satellite can connect about 5 and 6 newICO satellites when h L = 1414 km and 780 km respectively.

Research on Setup Policy for ILISL Importance of the Setup Policy LEO satellite need provide a steerable antenna with a tracking system for each of the ILISL. But the LEO satellite is a resource-constrained system, the ILISL’s number for each LEO satellite should be less than 2 and usually only 1. So it is very important for a LEO satellite to select a suitable ILISL path to the MEO satellites. On the other hand, for a dynamic satellite network, with the moving of the satellite, the ILISL will be setup and discarded dynamically, the network topology will also be reconstructed dynamically, so we should cut down the network reconstructing frequency as possible, i.e. the network stability is an important factor for the ILISL setup policy. Traditional Setup Policy for ILISL The reconstructing process of the ILISL is very similar to the switching of user links, so the switching policy is usually adopted as the setup policy for the ILISL. These policies include the shortest distance policy, the longest visible time policy, and the biggest resource usage ratio policy etc. From now on, we will simply call these policies as distance policy, time policy and resource policy respectively in this paper. (1) Distance policy (DP): LEO satellite keep an ILISL with the nearest MEO satellite. LEO satellite checks the distances to all the visible MEO satellite, switches to the nearest MEO satellite immediately. This policy makes sure the

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communication path is the shortest one, but it has the most frequency of the ILISL reconstructing. (2) Time policy (TP): LEO satellite selects the MEO satellite which can provide the longest visible time, once the ILISL setup, it will be remain till the MEO satellite become invisible. And the LEO satellite switches to a new MEO satellite at this time. This policy cut down the reconstructing frequency of the ILISL, but the mean communication path is longer. (3) Resource policy (RP): LEO satellite selects the MEO satellite which can provide more communication resource for it, then remain the ILISL to this MEO satellite, till the MEO satellite is invisible. And then the LEO satellite switches to a new MEO satellite. This policy makes sure the resource of the MEO satellites being utilized most reasonable. For all of the above policies, each LEO satellite selects MEO satellite and setup ILISL independently of other LEO satellites. So the reconstructing time of the ILISLs distributes dispersedly, leading to the frequency of the satellite network topology reconstructing increased obviously. Unified Setup Policy for ILISL In the new Unified setup policy, the reconstructing time of each ILISL is adjusted at the same time base, so the network reconstructing frequency of the whole network are cut down, and the stability of the satellite network is improved. According to the selection methods of the MEO satellite, three different policies are issued: (1) Unified distance policy (U-DP): when the network need to be reconstructed, each LEO satellite finds the nearest MEO satellite, calculates the visible time of the ILISL, this value is a theory reconstructing time for this LEO satellite. Then we collect the theory reconstructing time for all of the LEO satellites, select the minimum value of all the theory reconstructing time, set it as the time base for the next unified (practical) reconstructing time base. All the LEO satellites will switch is ILSIL at that time base synchronously. (2) Unified time policy (U-TP): when the network need to be reconstructed, each LEO satellite finds the longest visible MEO satellite for its ILISL, calculates the theory reconstructing time for this LEO satellite, calculate the theory value for all the LEO satellites, select the minimum value and set it equal to the practical ILISL reconstructing time base. (3) Unified resource policy (U-RP): when the network need to be reconstructed, each LEO satellite finds the MEO satellite which could provide the most usable resource, calculate the theory reconstructing time for this LEO satellite, set the time base equal to the minimum of all the theory reconstructing time. Because all of the LEO satellites and MEO satellites running on a certain periodical orbit, and its position in the geometrical space can be forecasted, we can

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calculate their position for all of the LEO/MEO satellites at any time in the future. So it is easy to calculate the unified time base.

Simulation and Result Analysis Key Parameters for the Assess of the ILISL The stability of the network topology, stability of the ILISL, and the resource usage ratio of the satellite system are important factors, the following are definition and theory analysis of some important parameters. (1) Number of network reconstructing: Once an ILISL is reconstructed, the network topology will be reconstructed, the number of the network reconstructing be counted (add 1). This parameter means the stability of network topology in the given time. (2) Number of ILISL reconstructing: when LEO satellite discards its ILISLs to a MEO satellite, and setup a new ILISL to another MEO satellite, the number of the ILISL reconstructing be counted. For a certain LEO satellite, it is expected to reconstruct its ILISL as few as possible. (3) Mean route length value of ILISL: the mean value of an ILISL’s route length in a given period of time. The power consume of a communication payload is in direct proportion to the square of the communication route length. So the ILISL’s route length will affect the communication capability obviously. (4) Resource usage ratio of LEO constellation. If many LEO satellites are connected to the same MEO satellite, the total loads may exceed the capacity of the MEO satellite, some LEO satellite must cut down its loads, and some of the LEO satellite’s resource will be idled. This parameter reflects the resource usage of the LEO constellation. (5) Load factor of MEO satellite: resource usage ratio of a specific MEO satellite. If the value of this parameter of all the MEO satellite is similar, it means the selection policy of a MEO satellite has a good uniformity. (6) Resource usage ratio of MEO constellation. It is the mean resource usage ratio of the MEO constellation. Usually, if the ILISLs to the MEO satellites have a good distribution, it has a good resource usage ratio for the whole constellation. Scenario and Assumptions in the Simulation The total time for a simulation scene is a solar day (=86400 s). Because the visible time between the LEO satellite and the MEO satellite is longer(about 100 minutes), the step of the simulation is set to 10 s. There are 8640 steps in a scene. It is assumed that only 1 ILISL can be setup for each LEO satellite, but a MEO satellite can be connected to several LEO satellites. In the simulation, all of the LEO satellites are fully loaded. All of the MEO satellite has the same payload capacity, and equals to times of the capacity of a LEO satellite.

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NewICO constellation is adopted for the MEO satellite, and Globalstar constellation is adopted for the LEO satellite. As showed in Table 2. Table 2 Parameter of LEO/MEO constellation system Orbit altitude (km) Inclination (◦ ) Number of Satellites Number of orbits Number of ILISL per satellite

MEO constellation

LEO Delta Constellation

NewICO 10355 45 10 2 >1

Globalstar 1414 52 48 8 1

Simulation Result Figure 28 shows simulation result for a Globalstar/NewICO multilayered satellite network for different ILISL setup policies. Figure 28(a) displays number of network reconstructing of different policy vs. time. Figure 28(b) displays a statistics of the ILISL reconstructing number for each of the LEO satellite in a solar day. Figure 28(c) displays the mean route length of the ILISLs for each LEO satellite in a solar day. Figure 28(d) displays the resource usage ratio of the LEO constellation vs. MEO satellite capacity. Figure 28(e) displays the

Fig. 28 Simulation result for different ILISL setup policies

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mean loads of all the MEO satellite. Figure 28(f) displays resource usage ratio of the MEO constellation vs. MEO satellite capacity.

Simulation Result Analysis (1) By adopting the unified reconstructing policies, the LEO/MEO satellite network topology reconstructing frequency number cut down obviously, the network topological stability is enhanced. The satellite network has the best topological stability with the unified time policy. The number of network reconstructing cuts down 22 times. The satellite network has the worst topological stability with the distance policy, the number of the network reconstructing is 21 times as the unified distance policy. No obvious changes for the unified resource policy or the resource policy. (2) When the unified time policy is adopted, because some of the LEO satellites have to reconstructing their ILISL ahead, the ILISL’s durative time is cut down, leading to the number of reconstructing time of ILISL for the LEO satellite increased. But it is increased only 1 times for a specified satellite, comparing to the whole network topology reconstructing number be cut down 22 times, the unified time policy is a valuable policy for the ILISL setup. (3) In the unified time policy, each LEO satellite should reconstruct its ILISL at the same time base, but the target MEO satellite of an ILISL for a specified LEO satellite may be the same as the former. The number of the ILISL reconstructing for the specified LEO satellite may not be increased. (4) In the distance policy and the unified distance policy, their ILISL’s mean route length is shorter than other policies. The mean ILISL’s route lengths for the time policy, the resource policy, the unified time policy, and the unified distance policy are very similar, and no obvious changes when the unified policy are adopted. (5) Figure 28(d), (e), and (f) display the uniformity of the selection of the MEO satellite for different ILISL setup policies. In case of all the LEO satellites work in a fully load state, with the increasing of the uniformity of the MEO satellite selection, the load of each MEO constellation has a better uniformity, in this case, the resource usage ratio of the LEO constellation and the MEO constellation increase. To the resource policy and unified resource policy, they have considered the resource usage ratio of the MEO satellites when selecting a MEO satellite, so in case of the MEO satellite has limited resource, it has a higher MEO constellation usage ratio and a lower LEO constellation idle ratio. They have a better performance for the resource-constrained MEO constellation than other policies. In such a case, the other policies i.e. the distance policy, the unified distance policy and the unified time policy have similar performance. The time policy has the worst performance. When the MEO constellation has enough capacity, all of the reconstructing policies have similar resource usage ratio.

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Summary With the unified setup policies for the ILISL, the number of the satellite network reconstructing is cut down obviously, the network stability is enhanced. The reconstructing number of the ILISL for a specified LEO satellite is not increased greatly compared to the cut down of the network reconstructing number.

Conclusion With the help of the satellite network, we can have a supplementary route, or a backup route to the ground network, and even a special or proprietary route, for a reliable and a portable(anytime and anywhere) internet connection. And people can get other benefits such as: doing fast business, gathering opinions in time, trying out new ideas, allowing the business to appear alongside other established businesses, improving the standards of customer service/support resource, supporting managerial functions, and supporting decision functions etc. Overall, satellite network has many unique merits than the ground network. The same as the research works for a ground network, we have designed the satellite network system architecture, network hardware, and network software etc. Especially, we have worked on a hybrids satellite network systematically, in which we can combine the benefits of GEO, MEO, and LEO satellites. The research results could be transfer to the engineering projects according to the requirement. The interfaces design of the satellite network unit to the satellite payload and the ground gateway are on going. Because the design and the manufacture of a satellite have a longer period, a satellite network standard is needed. The CCSDS has provided a good reference for the satellite network. A standardized satellite network can facilitate the satellite network to convergence to the ground network and the development of the deeper space exploration network. Acknowledgments This chapter gives a brief summarize of our research works on a satellite network project. Many thanks to CAST and my colleagues in the project. And a special thanks to Prof. XU Zhan-qi, State Key Lab. of Integrated Service Networks, Xidian Univ., he and his group have been supporting the simulation works in our project.

References John Farserotu, Ramjee Prasad. A survey of future broadband multimedia satellite systems, issues and trends. IEEE Communications Magazine. June 2000. Kevin Zhang et al., An integrated approach for IP networking. IEEE Military Communication Conference,2004:1556–1561. Guo Jin-Czhang et al., Design of protocol for broadband multimedia satellite communication network system, 57th IAC, Valencia, Spain, 2006. Guo Jin-Chang et al., Research on multi layered satellite communication network architecture and key technology of on-board router, 58th IAC, Hyderabad, India, 2007.

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Bibliography M.W.Lo. Satellite-Constellation Design. Computing in Science & Engineering. 1999,1(1):58–67 Tho Le-Ngoc. Switching for IP-based multimedia satellite communications. IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL.22, NO.3, APRIL 2004. Li Xing, Wu Shi-qi. Status and future of broadband IP satellite communication technology. Chinese Satellite Communication. 2003.4. Wang Wen-bo, Zhang Jin-wen. OPNET Modeler and network simulation, POSTS & TELECOM PRESS, Beijing. 2003.10.

Using Inflatable Antennas for Portable Satellite-Based Personal Communications Systems Naomi Mathers

Abstract Satellite-based personal communications systems (SPCS) use the satellite network to connect mobile personnel on the ground via a central support network in both military and disaster management situations. To maintain portability these systems require lightweight equipment that is quickly and easily deployed and operated in a variety of environments. Parabolic dish antennas provide the high gain required for direct satellite communication but their size and weight severely limit portability. The parabolic reflector contributes the greatest percentage of the weight and size of high gain antennas and as such the aim is to replace the reflector dish and feed system with a lightweight, stowable alternative without sacrificing performance. The use of inflatable structures in the space environment has been successful in reducing weight by at least 50% and stowed volume by up to 75%. For inflatable structures to be applied to portable land-based communication it must be demonstrated that the required shape and surface accuracy can be maintained whilst under terrestrial conditions. This is achieved through material selection, structural design and internal pressure. The end objective is an antenna suitable for portable, reusable, low-cost, land-based direct satellite communication. The inflatable antenna proposed can be manufactured in various sizes to operate at a range of frequencies making it suitable for multiple applications such as mobile military communication, emergency response communication, tele-education, telemedicine, and media broadcasting in remote areas. The possibility of transferring this technology to the lunar surface will also be discussed. Keywords Antenna · Inflatable · Gossamer · Portable

Introduction Satellite-based personal communications systems (SPCS) are an effective way to connect mobile personnel with a central support network in both military and N. Mathers (B) RMIT University, Melbourne, Australia e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 10,

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disaster management situations (Mahoney et al. 1999). SPCS use the network of orbiting satellites to make broadband communication possible when there is no local infrastructure on the ground or the infrastructure has been damaged. One of the factors that currently limits the effectiveness and practicality of these systems is portability. These systems require lightweight equipment that can be quickly and easily deployed and operated in a variety of environments. Parabolic dish antennas are the only antennas capable of providing the high gain required for direct satellite communication but their size and weight severely limit their portability and hence their use for portable SPCS applications. Smaller, lighter antennas such as dipoles and yagi antennas do not generate the gain required for direct satellite communication. Articulated structures have been used to address this problem in the form of umbrella and petal type reflectors but they offer only limited reduction in weight and stowed volume and do not deliver the desired shape accuracy (Prata et al. 1989). The parabolic reflector is responsible for the greatest percentage of the weight and size of high gain antennas. If a parabolic dish reflector is to be used for portable satellite-based personal communication the reflector and feed system will need to be replaced with a lightweight, stowable alternative without sacrificing performance. Inflatable structures have been used in the space environment to overcome the limitations of launch vehicle size and weight restrictions (Jenkins et al. 1998). It is proposed that an inflatable structure can be used to produce an inflatable parabolic dish antenna that can be used under terrestrial conditions to overcome the limits on portability for land-based communication. Inflatable antennas are lightweight, have a low stowed volume and high packing efficiency. To make this transition it must then be demonstrated that an inflatable antenna can match the performance of a rigid antenna under terrestrial conditions.

Satellite-Based Personal Communications Systems (SPCS) Historically communications satellites provided telephony services when access to fiber optic cable wasn’t possible. They are still used for mobile applications such as communications to ships, vehicles, planes and hand-held terminals, and for TV and radio broadcasting, for which application of other technologies, such as cable, is impractical or impossible. An emerging market is the use of direct satellite communication for broadband internet access. This is useful in locations where terrestrial internet access is not available, such as in rural areas and in developing countries, and in situations where frequent movement is necessary such as emergency response to natural disaster and military applications. Satellite-based personal Communications Systems (SPCS) allow the user to directly access the global communications network. This network uses wireless based technologies, both terrestrial and satellite-based, to offer a seamless infrastructure that provides global personal connectivity and access to broadband wireless multimedia, communications and services, by anyone, from anywhere, at any time (Mahoney et al. 1999).

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Fig. 1 Example of communications network

This type of communications network is ideal for the distribution of critical information to the field in support of emergency response activities or mobile military applications. The ability to integrate interactive data access with simultaneous video broadcasts opens new opportunities for information dissemination to roaming clients whose needs evolve with time.

Existing Land-Based Direct Satellite Communication Technology Parabolic dish reflectors are required for direct satellite communication. Their large aperture provides the high gain required for image as well as voice transmission, the larger the aperture the higher the gain of the antenna. Smaller, lighter antennas such as dipoles and yagi antennas do not generate the gain required for direct satellite communication. When operating as part of a permanent ground station the size and weight of the parabolic dish reflector can be supported by the mounting structure. A permanent mounting structure can support the weight of a large aperture rigid parabolic reflector but when the emphasis is on portability, large rigid reflector dishes and heavy support structures are not an acceptable option. What is required is a large diameter, low weight antenna that can be easily stowed and deployed. Articulated, or umbrella, dishes have been used to reduce stowed volume but as they are a mechanical system, weight reduction is minimal. The weight of a typical 0.5 m diameter parabolic mesh reflector is 1.9 kg as compared to 5 kg for a 0.5 m diameter rigid parabolic reflector. The mechanical complexity of articulated antennas, combined with their limited shape accuracy, also make them a high risk choice for mobile direct satellite communication. The shape accuracy of an articulated antenna is limited by an effect known as pillowing (Prata et al. 1989). Pillowing is caused by the localized stiffness of the ribs combined with the weight of the mesh. The shape accuracy of an articulated antenna can be compromised even further if one of the ribs fails to

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deploy as designed or if it is bent. In remote or military scenarios this lack of resilience is unacceptable, especially when it is not possible to carry replacement reflectors. When looking for a way to increase the portability of land-based satellite communications systems, inspiration can be drawn from the space industry. The same issues of low weight and low stowed volume drive technology in both industries.

Inflatable Structures in the Space Environment Until there is a viable facility to assemble structures in space, the size of space-based structures is limited by the capacity of the launch vehicle. The ability to deploy a structure after launch removes this limitation and increases the achievable size. Articulated structures have been used, however their mechanical complexity reduces their deployment reliability, and they offer little weight reduction (Johnson 1994). The use of inflatable structures significantly increases the dimensions of the resulting assembly. Other advantages include a low launch weight and a high packing efficiency which reduces the stowed volume. The space environment offers many unique operating challenges however the absence of a gravitational field eliminates the need for high load bearing structures. The use of rigid truss structures in this environment concentrates the applied loads at the joints requiring them to be reinforced, which in turn increases the weight of the structure and the applied loads. The use of an inflatable structure distributes loads evenly over the entire surface. The use of the skin as a structural member eliminates the need for reinforced joints, which in turn reduces the overall weight (Prata et al. 1989). Thin films are the most common material used for inflatable structures. These materials are often referred to as membrane or gossamer materials. They have a small thickness, which increases their packing efficiency, but they are incapable of carrying compressive or bending loads. The internal pressure gives the structure its desired shape and stability and introduces membrane stresses which enable the skin to carry bending and compression loads beyond the ability of the material alone. This allows the structure to be folded and stowed then inflated to a pre-determined shape. To maintain this shape the film must have low gas permeation and must be dimensionally stable within the operating conditions, i.e. it must not creep. The excellent vibrational damping characteristics of inflated structures add to their dimensional stability (Flint et al. 2003). Many applications make use of the high packaging efficiency of inflatable structures and the strength and durability of thin films, such as solar sails, inflatable trusses and the impact attenuation system originally used for the Pathfinder mission and then again for the Mars exploration missions (Prata et al. 1989). However, if inflatable structures are to be used for communications applications a number of additional structural and electromagnetic requirements must be met.

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Inflatable Antennas in the Space Environment The designer of high gain antennas for space-based operations is limited by the capacity of the launch vehicle. As the gain of a parabolic dish reflector is directly proportional to the aperture, this limitation in size results in limited performance. The use of an articulated antenna increases the achievable aperture beyond that of a rigid reflector but the weight saving is negligible and their mechanical complexity reduces their deployment reliability (Johnson 1994). The use of inflatable structures has the potential to dramatically increase the achievable aperture of a reflector whilst dramatically reducing the launch weight and stowed volume. It is estimated that the use of an inflatable reflector would reduce the launch weight by as much as 50% and the stowed volume by as much as 75% (Prata et al. 1989). If inflatable structures are to be applied to communications applications, shape and surface accuracy are critical and the gossamer material must fulfil electromagnetic as well as structural requirements. In 1996 L’Garde demonstrated that these requirements could be met with the successful deployment of the Inflatable Antenna Experiment (IAE). This mission demonstrated that a shape accuracy of within 2 mm RMS is achievable with a 15 m diameter inflatable parabolic reflector in the space environment (Prata et al. 1989). The design used for the IAE, shown in Fig. 2, was a prime focus parabolic reflector antenna with the feed supported at the focal point by three 28 m inflatable struts. Despite the successful demonstration of the inflatable reflector and canopy, the use of inflatable struts to support the feed assembly proved unreliable during deployment and unable to maintain accurate positioning of the feed assembly without being rigidized. The design proved to be marginal in the space environment and is also unsuitable for use in the terrestrial environment as the inflatable struts are incapable of supporting the weight of the feed assembly under the influence of gravity. To transfer inflatable technology to the terrestrial environment for use as an antenna, it must be demonstrated that an inflatable structure can be developed from a material with the necessary electromagnetic characteristics that can achieve the required shape accuracy and retain the necessary stability for communication whilst under the influence of environmental conditions.

Fig. 2 L’Garde Inflatable Antenna Experiment (IAE), launched 1996 (picture courtesy of L’Garde)

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Fig. 3 Deployment of the L’Garde Inflatable Antenna Experiment (IAE) (picture courtesy of L’Garde)

Inflatable Antennas in the Terrestrial Environment The parabolic reflector is responsible for the greatest percentage of the weight and size of high gain antennas. If a parabolic dish reflector is to be used for portable satellite-based personal communication the reflector and feed system will need to be replaced with a lightweight, stowable alternative without sacrificing performance. Figure 4 shows the comparison of weight and stowed volume for a variety of parabolic reflectors. It can be seen that the use of an inflatable system offers the best solution with regards to portability, what remains is to demonstrate that it can provide the performance required. Transferring inflatable structures technology to the terrestrial environment offers a solution to the limitations on the portability of SPCS due to weight and stowed volume. The ability to stow the antenna when it is not needed, carry it without the need for a vehicle and deploy it when required, creates the possibility of personal direct satellite access for mobile military applications, emergency response teams and remote media broadcasting.

Type of Dish

Weight

Stowed Volume

Rigid Aluminium Grid Aluminium Mesh Inflatable

5 kg 3 kg 1.9 kg 15 g

0.05 m3 0.05 m3 0.0125 m3 0.0004 m3

Fig. 4 Comparison of weight and stowed volume for a variety of 0.5 m diameter parabolic dish reflectors

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When transferring this technology to the terrestrial environment the challenge is to achieve the same shape accuracy achieved in the space environment under the influence of gravity and weather. This is achieved using a combination of structural design and material selection.

Design A parabolic dish reflector offers the high gain necessary for direct satellite communication, and an enclosed parabolic dish reflector is an ideal choice for an inflatable structure. Fundamental antenna design principles are employed to the design of the inflatable antenna and feed horn. To sustain communication the relationship between the elements must be maintained. Any displacement or distortion of the elements results in a reduction in performance. Accuracy is necessary on three levels, the material properties, the surface accuracy and the dimensional or shape accuracy. A pressurized monocoque structure is constructed from thin film to replicate the antenna design such that it is able to maintain the shape accuracy, and positional relationship between the elements, under the influence of gravity and environmental conditions. Monocoque is a design technique that utilizes the skin to carry the load as opposed to an internal frame. This design approach is commonly used in aircraft fuselages where the combination of the fuselage design and the internal pressure enable the skin to carry bending and compression loads beyond the ability of the material alone. In the inflatable antenna the monocoque structure is formed between the reflective parabolic dish and the clear canopy, distributing the applied loads evenly over the entire surface and naturally forming the curved reflector surface. As the structure is not spherical the internal pressure acts to balance the stress in the skin and ripples will form around the edge of the reflector if it is not restrained. To counteract this force the diameter of the dish is maintained with the use of an inflatable torus. This maintains the desired parabolic shape of the reflector dish and the relative positioning of the sub-reflector. The inflatable antenna is designed to be fed by a feed horn manufactured from thin film which in turn is fed by a microstrip patch. This reduces the weight and stowed volume of the antenna further and enhances the balance of the structure. The use of this feed system significantly reduces the stowed volume and manufacturing cost of the system making it possible to carry multiple antennas. A dual-reflector antenna is used as opposed to a prime focus antenna to reduce the loading on the canopy and improve the balance of the structure. Placing the feed assembly at the focus of the reflector places a lot of weight at the end of a long moment arm which in turn places additional strain on the support structure. This is undesirable when the support structure is a thin film canopy. A dual-reflector configuration also increases the effective focal distance and allows all the electronics to be located behind the primary reflector dish. Placing all the electronics behind the primary reflector reduces aperture blockage due to the feed system and minimizes the transmission loss which occurs if the feed is placed

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at the focal point. The sub-reflector has a smaller profile and as it is supported by a clear canopy so the aperture blockage due to the struts is eliminated. The dual reflector configuration also reduces the antenna noise as the feed is facing the cool sky. The sensitivity of the antenna to surface and shape distortions is proportional to the operating frequency. As the frequency is increased the wavelength is decreased and tolerance to shape and surface distortions is reduced. Any deviation from the design will result in a reduction in gain, an increase in sidelobe level, an increase in cross-polar level and an increase in beamwidth. Rigid antenna dishes suffer distortions due to gravity, wind and things settling in the dish such as snow and rain. To maintain the required shape a rigid dish must be supported to prevent distortion. An inflatable antenna constructed from thin film is so light that the internal pressure easily counteracts the impact of gravity on the dish. The aerodynamic nature of the canopy minimizes the wind loading and also creates a natural radome which prevents anything settling in the dish and prevents the dish acting like a sail. The structural design proposed can be applied to a variety of antenna designs, sizes and frequencies including offset antennas.

Material Selection The use of the skin as a load-bearing member makes the material selection critical. The structural requirements, combined with the need to be folded then inflated to a pre-determined shape, requires a material with a unique combination of properties. The materials most suitable for this purpose are thin films (Du Pont Product Database). Thin films are often referred to as membrane or gossamer materials. These materials have a small thickness, which is incapable of carrying a compressive load. It is therefore necessary to use the design of the structure combined with internal pressure to give the structure its desired shape. The material plays a crucial role in the success of inflatable structures. For the structure to be stowed and then inflated the material must be foldable and have low gas permeation. To withstand being stowed and then maintain inflation it must be durable, and tear and puncture resistant. A material with these basic properties could be used to construct an inflatable structure however if the structure is intended for communications applications the material requirements are more rigorous. To manufacture a structure with the dimensional stability needed for communication a material that is dimensionally stable under the operating conditions is needed to maintain the dimensional relationship between the elements. In addition to structural stability a number of electromagnetic properties are required. The material must be RF transparent at the operating frequency if it is to be used as a canopy and if it is to be used as a reflector it must be metalized such that an RF signal is reflected without loss.

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Thin films meet these requirements and have long been used in the space environment. The material used for the inflatable antenna prototype, Polyethylene Terephthalate (PET), commonly known by its Du Pont trade name Mylar (Du Pont Product Database), was initially developed for the space environment to provide radiation shielding for space structures. Its low gas permeability, structural stability, durability, tear and puncture resistance, low cost, chemical inertness, high packing efficiency, RF transparency and reflectivity when metalized, make it perfect for use for inflatable antennas in the terrestrial environment. With the addition of a metalized layer an RF transparent film is transformed into a reflective surface (Hwang and Turlik 1992). As different films have different attenuation properties it is possible to construct the laminate such that the different RF characteristics are used to the advantage of the designer. This is the principle used for frequency selective surfaces (FSS), often known as dichroic surfaces. Dichroic surfaces can be used to manipulate the radiation characteristic of the antenna or the use of a polarizing layer can control the skin temperature of the antenna. In this way the material becomes an integral and important part of both the structural and RF design process. Before the antenna testing began the RF characteristics of the material were tested. The tests showed that the clear PET film was RF transparent at 12.5 GHz and the metalized PET film returned the signal without loss.

Construction PET thin film was selected for its ability to maintain its dimensional stability over a wide temperature range but because of its chemical inertness and high melting temperature it cannot be bonded with an adhesive or heat welded (Du Pont Product Database). The ability to form a laminate structure not only provides the ability to manipulate the electromagnetic properties of the material, it also makes it possible to add layers that allow the film to be heat welded. The ability to heat weld the material makes it possible to construct straight-sided components, such as the conical feed horn, from flat panels or gores. In this case the shape accuracy of the inflated structure is dependent on the dimensional stability of the material. In order to maintain the desired shape of the inflated structure over time the material must maintain its dimensional stability under the operating conditions. When manufacturing the main parabolic reflector a surface with curvature in two dimensions must be constructed from a flat, dimensionally stable material. In this case there is a limit to the shape accuracy achievable with a gored construction; the use of pie shaped gores imparts the curvature but the seams introduce surface discontinuities. The acceptable limit for surface inaccuracies is ␭/8, where ␭ is the operating wavelength of the antenna. It can be seen that at lower frequencies where the wavelength is longer the seams present no problem but when the antenna is operating at higher frequencies the surface imperfection caused by the seams will reduce the performance.

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A compromise must be made between more gores offering better shape accuracy and less gores offering better surface accuracy. In addition to being a discontinuity in the surface the localized stiffening caused by the seams also exaggerates a condition known as pillowing which reduces the shape accuracy further (Prata et al. 1989).

Pillowing Pillowing is a common problem in articulated antenna dishes where the local stiffness of the ribs, compared to the flexibility and weight of the mesh, imparts a distortion and the performance is reduced (Prata et al. 1989). This degradation in performance includes a reduction in gain, an increase in beamwidth and an increase in sidelobe level. The effects of pillowing can be increased due to wind loading or if material such as sand or snow settle in the dish. When working with membrane structures the seams are commonly either taped or heat welded, giving some flexibility. This reduces the localized stiffness and the pillowing effect but does not eliminate it. The enclosed nature of the design also provides a radome which prevents the additional loads due to wind, sand or snow.

Forming Thin Films To eliminate pillowing and the interference of the seams, as well as guarantee the shape accuracy of the reflector dish, the ideal would be to mould the dish as a single entity. This approach has the added advantage of reducing the number of seams that can rupture and cause the structure to deflate. Mackenzie et al. (Mackenzie et al. 2004) attempted to cast a self-metalizing polyamide film. This approach achieved some success but demonstrated that it was difficult to control the distribution of the metal particles, which limited their ability to produce a uniform reflective surface. The properties of many Polyester films make them suitable for thermoforming. This process takes place under temperature and pressure. It is then necessary to quench the material to prevent crystallization. Should the material crystallize it becomes brittle and is no longer foldable. When the film is re-heated beyond its glass transition temperature (Tg ) the crystal structure relaxes and the material becomes ductile. In this state the film can be moulded. It is necessary to then rapidly cool the material to prevent crystallization. Crystallization can also be reduced with the addition of co-polymers. However with the addition of co-polymers dimensional stability of the film is sacrificed. The success of this process with a pre-metalized film relies on the strength of the bond between the base film and the metal layer. The inert nature of PET can cause the bond between the polymer and the metal coating to be quite weak. The difference in the coefficient of thermal expansion between the film and the coating can cause the coating to delaminate. Should the metal layer delaminate and fracture the reflective characteristics of the surface are compromised and any improvement gained through increased shape accuracy is lost.

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Rigidizing Thin Films For long duration space missions it was initially thought that inflatable structures should be rigidized to increase their durability. The same is often argued for increasing the durability of inflatable structures for terrestrial use. This is justifiable for structures that are not capable of maintaining their structural integrity when depressurized and there are a number of mechanisms that can be employed to rigidize the structure (Prata et al. 1989). – – – – – –

stretched Aluminium laminate hydro-gel heat-cured thermoset composite laminate thermoplastic composite laminate UV curable composite laminate Inflation gas reaction laminates

Despite still being a popular option there are some major disadvantages to rigidizing inflatable structures. The two main disadvantages are that should the structure be rigidized in a deformed position this deformation will be permanent, and the other is the loss of vibrational damping. As they are constructed from a flexible membrane, inflatable structures have very high natural damping, rigidizing the structure sacrifices this quality. The loss of natural damping then contributes to concentrating loads at the joints rather than distributing the load over the skin (Flint et al. 2003). It is proposed that the extra complexity added to the system to rigidize it, along with the loss of vibrational damping and the risk of rigidizing the antenna in a deformed state makes rigidizing the antenna unattractive. The pressurized monocoque design proposed ensures the accurate relative positioning of the elements without the need to rigidize the structure and should the antenna be damaged beyond repair the entire system is light enough and cheap enough that spare antennas can be carried. As opposed to rigidizing, efforts have been concentrated on material development and manipulating the laminate structure of polymers to deliver the required properties. Cold Hibernation Elastic Memory (CHEM) materials are promising as the process is reversible. CHEM materials have a fully cured elastic memory. When heated above the glass transition temperature (Tg ) the material becomes pliable enabling it to be stowed. The material is then cooled below Tg “setting” it in its stowed form. Reheating the material above Tg returns the material to its cured shape. CHEM materials can undergo this process repeatedly without degradation to either physical or mechanical properties (Prata et al. 1989).

Measuring Shape and Surface Accuracy Given the flexible nature of inflatable structures it is not possible to measure the shape accuracy of the structure by contact methods. Scanning methods such as photogrammetry can be employed, however the use of both transparent and highly

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reflective materials impact on the accuracy of these methods. When working with antennas the radiation characteristics can be used as an indirect method of measuring the shape and surface accuracy of the structure. As shape accuracy has a direct impact on the performance of an antenna, the radiation pattern of the inflatable antenna can be compared to that of a rigid antenna to indirectly assess the shape accuracy. Due to the highly flexible nature of the structure it is necessary to isolate and test each element of the antenna before they are combined to form the complete system. The feed horn was tested first because of its structural simplicity. Structures with straight-sided components such as the conical horn can be manufactured using flat panels or gores. The shape accuracy of the inflated structure is then largely dependent on the accuracy of the pattern and the dimensional stability of the material. It was also necessary to demonstrate that a microstrip patch could be used to feed a conical horn without any loss in performance.

Results After demonstrating that the thin film selected has the RF qualities needed to construct an antenna, it must then be demonstrated that an antenna can be manufactured from this material that matches the performance of rigid antenna. A conical horn fed by a microstrip patch was tested first to demonstrate the concept. The geometry of the feed horn is simpler as it doesn’t involve any curved surfaces but it operates as a radiating body in the same way as an antenna. The horn was designed to feed a 0.5 m dish with an f/d of 0.75 operating at 12.5 GHz. The impedance characteristics of an Aluminium and PET horn of identical dimensions, fed by the same microstrip patch, were measured and compared. It can be seen in Fig. 5 that the rigid aluminium horn fed by the microstrip patch has a low 5 PET Aluminium Crushed PET

0

S11 (dB)

–5 –10 –15 –20 –25 –30 12

12.1

12.2

12.3

12.4

12.5

12.6

12.7

12.8

Frequency (GHz)

Fig. 5 Input impedance of Aluminium feed horn, PET feed horn and Crushed PET feed horn fed by microstrip patch

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return, loss indicating that the system is well matched. When the microstrip patch is used to feed the conical horn manufactured from aluminized thin film the impedance results are almost identical to those of the rigid aluminium horn. It can therefore be concluded that the use of a thin film does not adversely affect the impedance characteristics of a feed horn. As the horn will be stowed and then inflated a PET horn that had been severely crushed and then inflated was also tested. The creases in the horn were more extreme than would be expected and yet the impedance characteristics were not altered. As shape accuracy has a direct impact on the radiation patterns produced by an antenna, the radiation patterns of the gossamer structure can be compared to those of a rigid structure to indirectly assess the shape accuracy. Figs. 6 and 7, show the radiation patterns for an Aluminium conical horn and a gossamer horn of the same dimensions, fed by the same microstrip patch, operating at 12.5 GHz. It can be seen that the use of gossamer materials had minimal impact on the radiation characteristics of the horn. From these results it can be implied that it is possible to construct a conical feed horn from gossamer material that provides the dimensional accuracy and structural stability required for communication whilst reducing the weight of the structure from 124.6 g to 1.5 g. It can therefore be concluded that as long as the metalized layer is of sufficient thickness (Hwang and Turlik 1992) it is possible to use a thin film to construct a feed horn that matches the performance of an identical rigid horn. It can further be concluded that a microstrip patch can be used to feed such a horn to produce an ultra lightweight, cheap feed system. The success of the inflatable horn as a radiating body was justification to progress to the manufacture of an inflatable parabolic dish antenna. The feed horn can also be incorporated in the inflatable antenna to further reduce the overall weight and stowed volume. The most suitable design to replicate as an inflatable antenna is a parabolic dish reflector. The internal pressure naturally forms the curved surfaces required and their suitability as high gain antennas makes them appropriate for portable direct satellite communications systems. To construct a parabolic dish, a surface with curvature in

Gain (dBi)

Rigid Conical Horn fed by Patch H-plane E-plane

12 10 8 6 4 2 0 –2 –4 –80

–60

–40

–20 0 20 Angle (deg)

40

60

80

Fig. 6 Radiation pattern of rigid conical horn fed by microstrip patch operating at 12.5 GHz

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Fig. 7 Radiation pattern of inflatable conical horn fed by microstrip patch operating at 12.5 GHz

Inflatable Conical Horn fed by Patch 12

H-plane E-plane

10 Gain (dBi)

8 6 4 2 0 –2 –4 –80

–60

–40

–20

0 20 Angle (deg)

40

60

80

two directions must be manufactured from a flat, dimensionally stable material. The use of pie shaped gores imparts the curvature, however the seams introduce surface discontinuities. This becomes a compromise between more gores offering better shape accuracy, and less gores offering better surface accuracy. The introduction of seams introduces the same pillowing effect experienced in articulated antenna dishes however the flexibility of the seams reduces the localised stiffness, which minimizes this effect. As with the feed horn, basic design principles are applied then replicated using thin film materials in such a way that the integrity of the design is maintained. The impact of feed positioning and efficiency, as well as blockage, will be reflected in the radiation plots for the antenna and must be distinguished from the impact of the shape and surface accuracy of the dish. To facilitate using the radiation patterns to draw meaningful conclusions as to the shape and surface accuracy of the parabolic dish, it is necessary to constrain as many variables as possible. To constrain the diameter of the dish the antenna was supported by a rigid rim support. In later tests the rim support will be replaced by an inflatable torus. The parabolic dish was tested with the feed at the focal point. From a structural point of view using a prime focus design places a lot of weight at the end of a long moment arm, this has the effect of placing a lot of strain on the support structure. When the support structure is a thin film canopy, which is incapable of carrying compressive loads, a rigid feed horn is not an option. As the performance of the inflatable horn had already been confirmed it was used to minimize the loading on the canopy. Despite the fact that the use of a clear canopy eliminated any aperture blockage due to support struts, the placement of the feed at the focal point will still contribute to aperture blockage. As both the inflatable and rigid parabolic dishes were tested using the same assembly this effect will be reflected equally in both results. The accurate positioning of the feed is achieved via the canopy. As was discussed earlier a membrane canopy is not capable of adequately supporting a feed system. This will be resolved in the final antenna assembly by using a dual reflector system. The use of a dual reflector system will remove the undesirable loading from the canopy and reduce aperture blockage. The side-lobes are the best indication

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of surface and shape inaccuracies. Given the flexible nature of the material, the limitations of using a gored construction and the issues discussed above, the results are very promising. The seams are within the λ/8 surface roughness limit so the main concern is shape accuracy. Although a gored construction limits the shape accuracy, the radiation patterns in Figs. 8 and 9 show that the impact of pillowing on the gossamer dish is minimal. An increase in sidelobe level is observed in both radiation patterns due to the aperture blockage cased by the placement of the feed at the focal point. The radiation pattern for the rigid antenna, Fig. 8, shows a non-symmetrical increased side lobe level due to the additional structure needed to support the feed horn. In Fig. 9 this blockage is eliminated as the feed assembly in the inflatable antenna is supported by the clear canopy.

Rigid prime focus antenna H-plane E-plane

20

Gain (dBi)

15 10 5 0 –5 –10 –15 –20

–80

–60

–40

–20 0 20 Angle (deg)

40

60

80

Fig. 8 Radiation pattern of rigid prime focus parabolic dish antenna fed by gossamer feed horn operating at 12.5 GHz

Inflatable prime focus antenna H-plane E-plane

Gain (dBi)

20 10 0 –10 –20 –80

–60

–40

–20 0 20 Angle (deg)

40

60

80

Fig. 9 Radiation pattern of inflatable prime focus parabolic dish antenna fed by gossamer feed horn operating at 12.5 GHz

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These results show that it is possible to manufacture a gossamer dish that achieves the desired shape accuracy in a terrestrial environment. The antenna, including inflatable feed horn, weighs a little over 12 g, and can be stowed in a package the size of a CD case.

The Use of Inflatable Antennas on Earth The availability of a high gain antenna capable of direct satellite communication that could be carried by an individual would remove the current reliance on vehicles and permanent ground stations. This would increase the flexibility and effectiveness of the communications networks used in military and disaster management situations by providing individuals with direct access to the latest information and imagery. Although military and disaster response are the main drivers of this technology there are many other applications that would benefit from low cost, portable, direct satellite communication. An emerging market is the use of direct satellite communication for broadband internet access. Broadband internet provides access to information, email, and video conferencing. This is useful in locations where terrestrial internet access is not available, such as in rural areas and in developing countries, and in situations where frequent movement is necessary such as the media, telemedicine and farming. In short the substitution of the rigid reflector and feed system with a lightweight inflatable system would make any of the services currently available via satellite, including satellite TV, available to an individual on the move.

Expanding the Use of Inflatable Antennas Beyond Earth The inflatable antenna presented for land-based portable direct satellite communication was inspired by space based technology but its application is not limited to this environment. When unmanned spacecraft or humans travel beyond Earth the Deep Space Network (DSN) provides the two-way communications link that guides and controls the mission and receives the images and scientific data they send back. The amount, quality and regularity of the data sent back is dependent on the capabilities of both the Earth-based and space-based systems. On Earth the three communications complexes of the DSN are equipped with a range of large, rigid, high precision, high gain antennas supported by ultra sensitive receiving and processing systems. In space the restrictions placed on the size, weight and power supply of the communications equipment by the cargo area and weightlifting capacity of the launch vehicle limit the gain of the antenna and result in extremely weak signals being received by the DSN. These restrictions place limits on the scientific information that can be returned to Earth for analysis. To increase the scientific return, endeavours are being made to increase the gain and bandwidth of the space-based antennas in order to increase the

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available data rates and facilitate video, high definition still images and hyperspectral imaging. To achieve this, communication capabilities at higher frequencies are under development as well as investigating new technologies to increase the size of parabolic dish antennas in space. An increase in the gain of the antenna via either method also has the advantage of narrowing the beamwidth resulting in an improved signal-to-noise ratio and higher resolution. In addition to physical limitations, space presents a challenging environment for data communication. There are many constraints, including high signal propagation delays and data corruption rates due to the enormous distances traveled and noise generated by solar radiation. Microwave signals are also degraded when they travel through the Earth’s atmosphere. Rain and atmospheric gases attenuate signals at higher frequencies and at certain frequencies the ionosphere reflects signals completely (Compton 1989). Microwave frequencies between 1 GHz and 15 GHz are the optimum region for earth to space communications as they are the least affected by interfering noise and ionospheric reflections at lower frequencies and absorption by atmospheric gasses and weather at higher frequencies (Compton 1989). As the frequency is increased the demands on shape and surface accuracy of the antenna are also increased. The inflatable antenna presented has been demonstrated to deliver the required shape and surface accuracy within this optimum range at 12.5 GHz. One of the greatest concerns associated with the long-term use of inflatable structures for space applications is the impact the environment has on the material. For example PET goes brittle under prolonged exposure to the space environment. Polymers degrade due to particulate radiation, Atomic Oxygen (AO), UV radiation and thermal cycling (Dever et al. 2001). In response to this deficiency specialist films such as Kapton, CP1 and CP2 have been developed which overcome some of these problems. The development of new materials is also concentrating on optical transparency, low solar absorptivity and high thermal emissivity to avoid overheating and allow for thermal energy dissipation (Dever et al. 2001). The enhancement of these characteristics will improve the performance of the material and expand the applications that inflatable structures can be used for. The gain of the antenna dish can be increased by either increasing the operating frequency of the system or the diameter of the parabolic reflector. Increasing the operating frequency has the advantage of reducing the minimum required size of the reflector, which is appealing given the restrictions placed on launch weight and volume, but the shape and surface accuracy requirements become more demanding as the frequency is increased. Space missions demand reliable, proven technology so rigid antennas are the common choice for high gain antennas. Despite their weight and the limitations placed on the achievable size by the launch vehicle, they will always be the most reliable choice. However, if the improvements in performance sought by the scientists are to be realized other alternatives need to be considered. To deliver an increase in performance and satisfy the launch limitations calls for an increase in dish diameter whilst maintaining shape and surface accuracy and reducing weight and stowed volume.

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After demonstrating the performance of the inflatable antenna under terrestrial conditions it is proposed that the structural approach developed could be applied to high gain communication on the lunar surface to increase antenna gain and portability and reduced cost.

Inflatable Antennas on the Lunar Surface As already discussed the restrictions placed on the size and weight of communications equipment by the cargo area and weight-lifting limitations of the launch vehicle limit the size of the parabolic reflector, limiting the gain of the antenna and restricting the scientific information that can be returned to Earth. The current use of either rigid or articulated reflectors also limits the portability of the communication system and prevents carrying multiple antennas. It is proposed that the inflatable antenna developed for portable terrestrial communication could be applied to the lunar environment to address these limitations. However, space missions are risk averse, only when it can be demonstrated that the new technology is mission enabling and that it can operate reliably in the harsh environment of space will it be considered.

Delivering Shape Accuracy on the Lunar Surface It has been demonstrated that the use of thin film materials to construct the inflatable antenna proposed, delivers the shape accuracy and stability between the elements required under terrestrial conditions. It is suggested that the reduced gravity and absence of wind on the moon will reduce the loading on the structure and that additional loading due to moon dust settling in the dish will be prevented by the enclosed design. To adapt the structural design to the lunar environment the selection of a suitable material is the greatest obstacle. The material used for the inflatable antenna prototype, Polyethylene Terephthalate (PET), was initially developed for the space environment to provide radiation shielding for space structures. Its low gas permeability, structural stability, durability, tear and puncture resistance, low cost, chemical inertness, high packing efficiency, RF transparency and reflectivity when metallized make it perfect for use in inflatable antennas in the terrestrial environment. Despite being developed for the space environment, it has been shown that prolonged exposure to the space environment degrades PET due to particulate radiation, Atomic Oxygen (AO), UV radiation and thermal cycling. Specialist films such as Kapton, and the polyimides CP1 and CP2 have been developed specifically for long duration exposure to the space environment (Dever et al. 2001), making them suitable for use in inflatable antennas on the lunar surface. The development of these new materials is also concentrating on optical transparency, low solar absorptivity and high thermal emissivity to avoid overheating

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and allow for thermal energy dissipation, allowing the power levels of the antenna to be increased. Solar winds contribute to antenna noise but they also carry elements such as Hydrogen, Helium, Nitrogen, Carbon and the Noble gases Krypton, Xenon and Argon, which are volatile to many materials. The thin films proposed are not degraded under the influence of these elements.

Limiting the Noise in High Gain Communication The enormous distances involved in space communication combined with the noise generated by solar radiation and loss in signal due to atmospheric attenuation makes antenna noise reduction critical. The loss in signal due to noise cannot be eliminated but as the signal received on Earth is already weak, it is important to demonstrate that any new technology will reduce antenna noise not degrade already weak signals further. It has already been shown that inflatable structures are capable of offering the shape and surface accuracy required, so performance degradation as a result of shape distortion will be minimal compared to the increase in the dish size which would increase the gain of the antenna and narrow the beamwidth resulting in an improved signal-to-noise ratio. The use of a dual reflector configuration also helps to reduce the antenna noise and other measures such as filtering can be applied to a system using an inflatable dish in the same way as a system using a rigid or articulated dish.

Fixed Radio Astronomy on the Lunar Surface In addition to providing portable high gain communications on the lunar surface inflatable antennas could enable astronomers to access the low frequency window between 50 kHz and 30 MHz to make observations related to the early universe. These frequencies are not accessible from the Earth’s surface due to attenuation of the ionosphere and radio interference. The two weeks of Lunar night on the far side of the moon provides an environment free from solar radiation and radio noise from the Earth, and the lack of seismic activity and wind provide a stable environment. Concept studies from the 1960’s to present (Takahashi 2002) have explored what might be possible by establishing an array of antennas on the far side of the moon, including a Very Low Frequency Lunar Array proposed by ESA in 1997. The disadvantage of all proposals to date has been the cost and logistics of placing an array of antenna having an estimated weight of 100 kg over an area of 20 km to 30 km on the far side of the Moon. The use of inflatable antennas would reduce the launch costs associated with transporting the antennas to the moon and also increase the achievable diameter of each antenna thus increasing the gain. The use of lightweight, inexpensive infrastructure also reduces establishment, maintenance and replacement costs.

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Fig. 10 Radio Astronomy on the lunar surface. (picture courtesy of ESA)

Conclusion Technology is constantly being transferred between the terrestrial and space environments. In this case a concept that addressed the limitations placed on the size of space structure by the launch vehicle has been used to inspire a design for increasing the portability of terrestrial-based communication antennas. By replacing the rigid parabolic reflector and feed assembly with a lightweight inflatable reflector and feed horn fed by a microstrip patch, the portability of the system is greatly increased and the cost of the system reduced. It has been demonstrated that the proposed structural design delivers the shape and surface accuracy and the stability between the elements of the antenna needed to maintain reliable communication under environmental conditions. The material is also durable and puncture resistant to ensure a long operating life under normal conditions. This is achieved with a fraction of the weight and stowed volume of a rigid or articulated dish, thus providing an antenna suitable for portable, re-usable, low-cost, land-based direct satellite communication. This design can be replicated in various sizes to operate at a range of frequencies making it suitable for multiple applications such as mobile military communication, emergency response communication, tele-medicine, tele-education and media broadcasting in remote areas. Many of these applications would be new capabilities currently restricted by the portability and cost of existing communications systems. It has also been shown that the structural design developed for lightweight, portable high gain communication in the terrestrial environment could be transferred back to the space environment and, with the use of materials already developed for long term space exposure, be applied to the lunar environment. The use of a lightweight inflatable structure would increase the scientific information that could be returned to Earth for analysis through both increased size and increased portability whilst reducing launch costs. Alternatively inflatable antennas could provide

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a cost effective way of establishing an array of large antennas on the far side of the Moon for radio astronomy at the yet unexplored region of the spectrum between 50 kHz and 30 MHz. The concept discussed supports the move toward centrally managed communications networks for military and natural disaster response. The possibility of truly portable direct satellite communication ensures the individual maintains direct communication with the network, aiding co-ordination and providing access to the most recent information, including imaging. The possibility of transferring this concept back to the space environment could also provide cost effective high gain communication for future missions to the Moon. Acknowledgments The author would like to thank her PhD supervisor, Assoc. Prof Lachlan Thompson, and to acknowledge Dr K. Ghorbani for the design of the microstrip patch used in these trials.

References Compton, W. D., “Where No Man Has Gone Before: A History of Apollo Lunar Exploration Missions”, The NASA History Series, SP-4214, 1989 Du Pont Product Database: http://www.dupont.com/cgi-bin/corp/proddbx.cgi Flint, E., Bales, G., Glaese, R., Bradford, R., “Experimentally Characterizing the Dynamics of 0.5 m+ Diameter Doubly Curved Shells Made From Thin Films”, 44th AIAA/ASME/ASCE/AHS Structures, Structural Dynamics, and Materials Conference, 7–10 April 2003, Norfolk, Virginia, AIAA 2003–1831 Hwang L., Turlik I., “A Review of the Skin Effect as Applied to Thin Film Interconnections”. IEEE Transactions on Components, Hybrids, and Manufacturing Technology, vol. 15, No. 1, Feb 1992 Jenkins, C.H., Freeland, R.E., Bishop, J.A., Sadeh, W.Z., “An Up-to-Date Review of Inflatable Structures Technology for Space-Based Applications,” Space 98 Conference, Albuquerque, NM, April 27, 1998 Johnson, M. R., “The Galileo High Gain Antenna Anomaly”, 28th Aerospace Mechanisms Symposium, NASA Lewis Research Center, May 18–20, 1994, NASA CP-3260, Accession number N94-33291, pp. 359–377 Dever, J. A., Messer, R., Powers, C., Townsend, J., Wooldridge, E., “Effects of Vacuum Ultraviolet Radiation on Thin Polyimide Films”, High Performance Polymers, 9, 2001, vol. 13, pp. S391–S399 Mackenzie A., Cravey R., Miner G., Dudley K., Stoakley D., Fralick D., “Fabrication and Electromagnetic Characterization of Novel Self-Metallized Thin Films”, IEEE Aerospace Conference, Big Sky, Montana 5–12 March, 2004 Mahoney, T., Kerr, P., Felstead, B., Wagner, L., Wells, P., Cunningham, M., Ryden, K., Baumgartner, G., Demers, H., Dayton, W.L., Jeromin, L., Spink, B., “An Investigation of the Military Applications of Commercial Personal Satellite Communications Systems” MILCOM 99 IEEE 0-7803-5538-5 1999 Prata, A., Rusch, W. V. T., Miller, R. K., (1989), “Mesh Pillowing in Deployable Front-Fed Umbrella Parabolic Reflectors” Antenna and Propagation Society International Symposium, 1989. AP-S Digest 26–30, vol 1 pp. 254–257 Takahashi, Y. D., “Radio Astronomy from the Lunar Far Side: Precursor Studies of Radio Wave Propagation around the Moon” In New Views of the Moon, Europe: Future Lunar Exploration, Science Objectives, and Integration of Datasets. ESTEC RSSD, Noordwijk, January 2002

Space-Borne Tsunami Warning System Peter A.I. Brouwer, Mark Visser, Ramses A. Molijn, Hermes M. Jara Oru´e, Bart J.A. van Marwijk, Tjerk C.K. Bermon and Hans van der Marel

Abstract In reaction to the devastating tsunami in the Indian Ocean on December 26, 2004, a project team from the faculty of Aerospace Engineering, part of the Delft University of Technology, started to investigate the feasibility of a tsunami global early warning system using reflections of a Global Navigation Satellite System (GNSS). A conceptual design of a demonstrator satellite to prove the principles of the Space-borne Tsunami Warning System (STWS) was made. This chapter provides background information about the characteristics and impact of tsunamis, about a Global Navigation Satellite System (GNSS) in general, and about the use of GNSS-Reflections (GNSS-R) in detecting disasters, as well as the actual design and a cost estimation for the Space-borne Tsunami Warning System. Keywords GNSS · GNSS-R · GPS · Galileo · Tsunami · Disaster prevention · Seismic confirmation · Satellite · Reflections · Detection · Warning

Introduction On December 26, 2004 a disaster struck the island of Sumatra and other countries around the Indian Ocean. A large earthquake with a moment magnitude of around 9.2–9.3 triggered a tsunami in the Pacific Ocean, killing over 250,000 people and causing approximately e6 billion of economic damage in the affected countries (UNESCO-IOC, 2006). In reaction to the disaster several humanitarian and research projects were started. One of the fields of research is the design and construction of a global system to detect tsunamis in order to give an early warning signal to people in threatened areas. The Deep-ocean Assessment and Reporting of Tsunamis (DART) system is an operational warning system, expanding to cover the Indian Ocean, in addition to the

P.A.I. Brouwer Department Earth Observation & Space Systems, Delft University of Technology, Kluyverweg 1, 2629 HS Delft, The Netherlands e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 11,

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already covered Pacific Ocean. This system uses deep ocean pressure measurements to compute sea level heights for tsunami detection (Gonz´alez et al., 2001). Another principle to detect tsunamis is to use a space-borne satellite constellation, because this could provide global coverage, and could possibly replace the DART system. To ensure low cost of these satellites, one could make use of a passive measurement technique, namely Global Navigation Satellite System-Reflections (GNSS-R). The system proposed in this chapter will make use of this technique for the detection of tsunamis and will be called the Space-borne Tsunami Warning System (STWS). The challenge of GNSS-R for altimetry purposes is that it is an experimental technique. Various research teams have performed feasibility tests from aircraft and concluded that it is possible to use airborne GNSS-R for ocean altimetry. To perform space-borne feasibility tests, a demonstrator mission needs to be carried out. In this chapter first some background information on GNSS, GNSS-R and tsunamis is given. The characteristics of the STWS system are discussed, followed by a method to estimate magnitudes of earthquakes using GNSS-R. This creates the foundation of the demonstrator mission design and subsequently the costs. Finally conclusions are drawn together with the recommendations.

Global Navigation Satellite System Since the 1960s, the use of satellites was established as an important means of navigation on or near the Earth at any time and under any weather condition. The earliest systems were designed primarily for position updates of ships, but were also found useful for the navigation of land vehicles. During the early 1970s satellite navigation was under intense development. These efforts led to the implementation of the NAVSTAR Global Positioning System (GPS) (Kayton and Fried, 2004). The GPS network is widely used worldwide for civil applications; nevertheless it remains a military system that eventually can be switched to transmit deteriorated signals to the user. Therefore, it does not offer the required integrity and availability of the signal for real-time applications. The need for a civil, independent navigation system, which guarantees the integrity of the transmitted signal; led to the approval of the European Program for Global Navigation Services (Galileo) (ESA, Galileo, 2005, Galileo Joint Undertaking, 2004). This section will introduce some relevant information about the signal, orbits and services of both GPS and Galileo, due to their large effect on the design of the Space-borne Tsunami Warning System (STWS).

NAVSTAR Global Positioning System The U.S. Department of Defense’s NAVSTAR Global Positioning System (GPS) is basically a ranging system, which consists of 29 satellites. The GPS satellites

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Fig. 1 The GPS signal. Source (Delft University of Technology, authors (Mark Visser))

are distributed in 6 orbital planes at an altitude of 20,180 km. As a consequence of the choice of these orbital parameters, the ground tracks repeat approximately every day. Each satellite transmits signals at two frequencies in the L-Band: L1 at 1,575.42 MHz, and L2 at 1,227.6 MHz. The signals are modulated with synchronized satelliteunique, so called Pseudo Random Noise (PRN), codes that provide the instantaneous ranging capability. Figure 1 shows a schematic representation of the GPS satellite signals. L1 provides the Coarse/Acquisition (C/A) code which is available to all users and used to be deliberately degraded with the so called Selective Availability (SA). It also provides the Precision (P) code which is encrypted and only available to authorized military users. The L2 carrier frequency only provides the P code. The use of two different frequencies enables some users to perform corrections for ionospheric delay uncertainties. Besides the previously described codes, both frequencies carry the navigation message. The GPS navigation message is a 50 Hz signal consisting of bits that describe the GPS satellite orbits, clock corrections and other system parameters, which is called the almanac.

European Program for Global Navigation Services The European Program for Global Navigation Services (Galileo) is the first satellite positioning and navigation system specifically designed for civil purposes and will offer state-of-the-art services with outstanding performance in accuracy, continuity and availability. The 700 kg Galileo satellites will be in a Medium Earth Orbit (MEO), in a constellation of 27 operational satellites plus 3 in-orbit spares, using the

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spare to replace a failed satellite and launching a new satellite to replace the spare one. The MEO constellation consists of three planes, all with an inclination of 56 degrees, with equally-spaced operational satellites, all at an altitude of 23,222 km. The Galileo satellites all transmit at the same frequency bands but will each contain a unique code used for identification. Galileo is designed to transmit 10 different signals (ESA, Galileo, 2005), ranging between 1.1 GHz and 1.6 GHz band. This enables the opportunity to offer various services to the users. Within the 10 signals, there are signals that contain navigation data, the data channels, and signals without data, the pilot channels. The navigation signals will comprise ranging codes and data messages. The data messages will include satellite clock, ephemeris, space vehicle identity, status flag, constellation almanac information and a Signal-in-Space Accuracy parameter providing the users with a prediction of the satellite clock and ephemeris accuracy over time. A range of data message rates, up to 1,000 symbols per second, is considered, maximizing the potential for value-added services such as weather alerts, accident warnings, traffic information and map updates. The use of frequency bands can be found below and is visualized in Fig. 2.

r r r r

The Open Services use the signals at L1, E5a, and E5b, and a combination of the signals for ionospheric error cancellation for very precise applications The Safety-of-Life services use the open signal and make use of the integrity data from dedicated messages within this signal The Commercial Services use additional signals in the 1,278.75 MHz band and commercial data within the open signals The Public Regulated Service use two signals, one in the 1,575.42 MHz band and one in the 1,278.75 MHz band, which are encrypted

A key asset of Galileo is its ability to offer the integrity required for the provision of service guarantees and for the support of safety-of-life applications. It is planned to provide integrity by broadcasting integrity alerts to the user which will indicate when the Galileo signals are outside specification. The user receiver can then reject signals from satellites to which an alert refers, using the outputs of the receiver signal processing in conjunction with other receiver techniques. The need for several service categories in terms of accuracy, service guarantees, integrity, and other parameters, has been identified. Since GPS and Galileo make use of the same L1 frequency, a Binary Offset Carrier (BOC) of rate (1, 1) modulation is used to avoid interference.

Fig. 2 Frequency Filling of the Galileo System

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Global Navigation Satellite System Reflections Use of Global Navigation Satellite Systems Reflections (GNSS-R) is a new and promising technology. The reflections of GNSS signals from the Earth surface may provide the means for a passive, precise, long term, all-weather, multi-purpose and wide coverage measurement system. Therefore, it forms a potential and powerful technology for remote sensing applications (Ruffini, 2006). There are two possible applications of GNSS-R that have rapidly gained interest in the scientific community. The first is sea surface altimetry, which aims at retrieving the mean sea level like classical radar altimeters do. The second is surface reflectometry, used for the determination of sea roughness, near-surface winds and soil moisture.

Description of GNSS-Reflections GNSS-R is a form of passive, bistatic radar. GNSS satellites emit signals which reflect on the Earth surface, especially the oceans. These reflected signals can be picked up by a satellite receiver in Low Earth Orbit (LEO). The scattering points on the surface span an area approximately equal to two times the altitude, h, of the satellite (Fig. 3). A GNSS-R detection system would act as a multiple-point altimeter, which provides multiple tracks of an observed phenomenon. The detectable points are expected to be within a Field Of View (FOV) of approximately 100 degrees. A single

Fig. 3 GNSS-R receiver passively detects multiple reflected GNSS signals

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GNSS-R receiver is able to collect information from a simultaneous set of reflection points associated with different GNSS emitters, therefore the GNSS-R system is called multistatic. A system in LEO capable of collecting GNSS signals could potentially combine more than twenty reflection tracks at the same time (using GPS, GLONASS, and Galileo). The major advantage of this property would be the improvement of the quality of altimetric measurements. Important parameters such as temporal and spatial resolution and swath-width will be improved with respect to conventional altimeters. Potentially GNSS-R altimetry makes the detection of major tsunamis possible. GNSS was designed for navigation and positioning purposes, not radar applications. Unlike radar pulses, the GNSS signal is not aimed at confined areas of the Earth surface, making its reflected signals quite weak. Nevertheless, they can be detected, and contain a lot of useful information. In 2005, GPS-R L1 C/A signals have been successfully detected in space by the UK-DMC mission, using a moderate antenna gain of 11.8 dBiC (Gleason et al., 2005). The reflection process affects the signal in several ways, at the same time degrading it and loading it with information from the reflection surface. Normally, the amplitude will be reduced, the waveform shape distorted and the coherence mostly lost. Signals scattering from off-specular locations arrive later than the ones from the specular point, as the specular point corresponds to the shortest path (Ruffini, 2006).

Altimetry Applications Altimetry with GNSS-R can be carried out in two ways: by means of the code contained in the signal, or by means of the signal phase. Both methods compare the direct and reflected signal. As mentioned earlier, the reflection process affects the GNSS signal. It distorts the triangular waveform and reflects the signal very incoherently (Fig. 4). The basic principle of GNSS-R altimetry (Fig. 5) is that the reflected wave arrives later than the direct one, since it will travel a longer distance to the receiver. At low altitudes the path difference (D R − D D ) is proportional to the altitude (h) over the reflecting surface and the local elevation (ε) of the satellite as seen from the specular point: D R − D D = 2h sin ε

Fig. 4 The direct (left) and reflected (right) waveform as a function of time

(1)

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Fig. 5 The principle of GNSS-R altimetry: The path difference between the reflected and direct signal is proportional to the altitude

The arrival time difference is called lapse, l. Uncertainty in the lapse translates rather directly into altimetric uncertainty. The altimetric error (σh ) is related to the lapse error through: σh =

σl 2 sin ε

(2)

where σl is the lapse precision. In turn, this parameter depends on four terms: 1. 2. 3. 4.

Delay precision of the direct waveform, σd Delay precision of the reflected waveform, σr Effect of the ionosphere, f iono Effect of the troposphere, σtr opo

and can be written as (Starlab, 2005): σl2 = f iono σ R2 + σ D2 + σtr2 opo

(3)

GNSS code ranging can be compared to pulse ranging. Indeed, after correlation with a clean replica, the continuous signal in the C/A code can be represented by a triangular pulse (Fig. 4). The triangle’s base is twice the chip length (293 m in GPS C/A). One of the most interesting characteristics of GNSS is the fact that the attainable centimeter precision is orders of magnitude smaller than the chip length. The resolution obtained by a radar system is assumed to be in the order of magnitude of the pulse length. Hence, it would seem unlikely that a system like GPS C/A, with a bandwidth of about 1 MHz and an associated pulse length of 293 m, could provide centimeter precision ranging. However, it can be shown that the ranging uncertainty is not only proportional to the pulse width, but also inversely proportional to the

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signal to noise ratio (Starlab, 2005). In practice, the precision can be greatly improved by a fitting procedure, for example least squares. The waveform is affected in several ways: change of the peak height, and modification of the leading and trailing edges due to ocean roughness. These effects can be modeled. Some aspects of the waveform are less sensitive to the precise roughness model than others. For example, the leading edge of the waveform is typically used in GNSS-R altimetry.

Tsunami Characteristics Tsunamis are large waves that can be generated by many different mechanisms including submarine earthquakes, landslides, submarine volcano eruptions and meteoroid impacts. Earthquakes are the most common cause of large tsunamis (Pedersen, 2001). Tsunamis can potentially have enormous impact on societies. As seen with the tsunami near Sumatra in 2004, the loss of life and economic damage can devastate communities. This section will give an overview of how and where tsunamis originate and what is the impact on societies.

Tsunami Causes and Propagation Most Tsunami Warning Systems (TWS) depend on seismic data to identify deep-sea earthquakes that could potentially cause a tsunami. Although the seismic magnitude and epicenter of the earthquake provide important clues on whether a tsunami may or may not occur there is not a one-to-one relationship between the occurrence of a tsunami and the seismic magnitude. First of all, the epicenter must be located beneath the oceans, but above all, vertical slip along the fault line must occur (Fig. 6). An unambiguous tsunami quantification scale would aid risk assessment and allow for meaningful comparison of tsunami events. However, there is still no single tsunami quantification scale that has been widely agreed upon. Since a tsunami can be considered as a particular type of seismic wave, problems related to tsunami quantification are usually approached analogously to seismology. It is important to note the difference between intensity and magnitude. According to seismology, magnitude is an objective physical parameter that measures either energy radiated by a source, or the moment released in a source. On the contrary, intensity is a rather subjective estimate of the effects of an earthquake. Tsunamis are waves that extend through the entire water column, form ocean bottom to sea surface. Consequently, these phenomena carry a large amount of energy through the ocean. Since the energy loss is inversely related to the wavelength, the energy of the tsunami is not dissipated on the deep ocean (Starlab, 2005). Therefore, this type of waves can travel long distances without significant loss. The total energy per unit area of a wave is given by:

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Fig. 6 Tsunami resulting from vertical displacement of the seabed. Source (Modified from howstuffworks.com)

E=

1 ρg H 2 8

(4)

In which, ρ is the water density, H is the wave height and g is the acceleration of gravity. Since tsunamis are characterized by a wavelength of hundreds of kilometers, the propagation speed of the wave can be determined: ν=

gh w

(5)

where ν is the wave speed and h w is the water depth. From equation (5) follows that tsunami waves propagate slower when traveling through shallow water. In addition, the energy of a tsunami wave is inversely proportional to its wave speed because tsunamis can be considered as shallow-water waves, i.e. waves for which the ratio between the water depth and its wavelength is very small (Sterna, 2005). Since the energy, in its turn, is proportional to the square of the wave height (equation (4)), the following relation holds: ν1 = ν2

H2 H1

2 (6)

The consequence of equation (6) is that reduction of the propagation speed results in a large increase of the wave height. This explains the reason why tsunami waves become meters high when approaching the shore. At this point it seems obvious to state that a tsunami with large wave height is more likely to claim human lives than a tsunami with small wave height. However, there is no specific or formal correlation between magnitude and intensity. Even

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the largest tsunami will have the lowest intensity if it hits an uninhabited area (Papadopoulos and Imamura, 2001). To give an accurate prediction of local tsunami intensity, many aspects have to be taken into account. These include:

r r r r r r r r

Detected wave height Ocean depth at the site of the detected wave. Distance from the wave to endangered areas. The tide at the endangered coast. Depth of coastal waters and steepness of the seafloor. Friction coefficient of the sea floor. Elevation of the coast. Population of the endangered region.

It follows that the decision on whether or not to issue a warning will be inaccurate if it is exclusively based on measured wave height. Information on bathymetry, population density and tidal flows could improve the estimate of the tsunami intensity. Predictive modeling of tsunami propagation and the effect of the tsunami on coastal communities will be vital aspects of the warning system, because both false alarm and failure to alarm are highly undesirable. The height above mean sea level at the maximum intrusion point of a tsunami is called the run-up height (Fig. 7). A run-up height of more than one meter is commonly considered dangerous for human life. Since it is very unlikely that a tsunami with a wave height of less than 10 cm at open sea would cause a dangerous run-up height, a reliable and accurate detection system should be able to detect wave heights of 10 cm at open sea.

Tsunami Prone Locations Vertical ocean bed displacements, which are the prime cause of tsunamis, usually occur at tectonic plate boundaries. It follows that populations in coastal regions close

Fig. 7 Tsunami intrusion and run-up. Source (Modified from UNESCO IOC)

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Fig. 8 Worldwide earthquake epicenters. Source (NASA (via Wikipedia Commons))

to seismically active plate boundaries suffer the most tsunami events. As illustrated in Fig. 8, the Pacific Ring of Fire, the Mid-Atlantic Ridge, and the Alpine beltwhich ranges from Atlantic through the Mediterranean and the Himalaya and into Indonesia- are the area’s most in danger (Starlab, 2005).

Tsunamis in History Tsunami events occur with a frequency of approximately 10 per year. Of the 1,043 events recorded during the twentieth century, 141 were damaging, whereas 902 were not (Starlab, 2005; NOAA, 2008). Throughout history many events have been recorded that cost over a 1,000 casualties per event (Table 1). Although there is no direct correlation between the casualties and economic damage, it can be imagined that also the economic consequences are devastating for the affected regions. After the tsunami that originated near Indonesia in 2004, the world community pledged to give over $ 7 billion in aid.

Current Systems & Developments Shortly after the devastating tsunami on 26 December 2004, initiative was taken by the International Oceanographic Commission (IOC) of UNESCO for an Indian Ocean Tsunami Warning System (IOTWS) (UNESCO-IOC, 2007). At the same time, Tsunami Warning Systems (TWS’s) were established for the Northeast Atlantic Ocean, Caribbean and Mediterranean Seas. A TWS for the Pacific already existed since 1968. This means that the large oceans, except the South Atlantic Ocean, are covered by Tsunami Warning Systems. Each of these Tsunami Warning Systems is coordinated regionally, resulting in four individual Intergovernmental

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Table 1 The deadliest tsunamis in history (note: numbers before the 20th century are approximations), source NOAA Year

Location

Deaths

2004 1883 1707 1783 1896 1771 1815 1765 1586 365 1703 1605 1611 1687 1941 1746 1792 1899 1512 1498 1933 1854 1341 1992 1696 1976 1674 1998 1923 1751 887 1570 1692 1707 1946 1766 1819

INDONESIA INDONESIA JAPAN ITALY JAPAN JAPAN INDONESIA SOUTH CHINA SEA JAPAN GREECE JAPAN JAPAN JAPAN PERU INDIA PERU JAPAN INDONESIA JAPAN JAPAN JAPAN JAPAN JAPAN INDONESIA JAPAN PHILIPPINES INDONESIA PAPUA NEW GUINEA JAPAN JAPAN JAPAN CHILE JAMAICA JAPAN DOMINICAN REPUBLIC JAPAN INDIA

250,000 36,000 30,000 30,000 27,122 13,486 11,453 1,0000 8,000 5,700 5,233 5,000 5,000 5,000 5,000 4,800 4,300 3,730 3,700 3,100 3,064 3,000 2,600 2,500 2,450 2,349 2,243 2,183 2,144 2,100 2,000 2,000 2,000 2,000 1,790 1,700 1,543

Coordination Groups (ICG’s), with the Mediterranean and Caribbean regions as one ICG. The International Tsunami Information Center (ITIC) of the UNESCO IOC assists establishments of new TWS’s for the Member States and acts as an educational and information resource for the IOC’s Tsunami Program. This program has been established to provide tsunami mitigation trainings to support capacity building of the Member States. The program also acts as an information clearinghouse for the promotion of research, and the development and distribution of educational and preparedness materials to mitigate the tsunami hazard (UNESCO-IOC, 2006). All the established TWS’s are based on the Pacific example and as a consequence they rely on the same principle for detecting tsunamis and the distribution of information to the ICG’s. After the location and size of the earthquake has been

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determined, through seismic parameter analysis from buoys and seismographic stations, the potential that the earthquake generates a tsunami is computed. Thereafter the tsunami wave arrival time and run-up on the coast are predicted. The next operation is to provide effective tsunami information and warnings to the authorities and population (UNESCO-IOC, 2006). For the actual warning at the high risk zones, several systems have been proposed including the distribution of the warning via cell phones, by sending text messages, and by using air raid alarms. Two different warnings can be distinguished. The fist type holds the initial and most important warning to the areas the tsunami could reach within a few hours. This message includes the predicted tsunami arrival times at the selected coastal communities. The communities outside these areas will receive the second type of warning urging a tsunami watch or advisory status. For both messages the same holds that the warnings, watches and advisories are distributed over appointed officials, which in their turn warn the general public. At the same time, scientists at warning centers will monitor the impact and severity of the tsunami. In case of significant tsunami activities and long-range destructive potential, the warning is extended to remote located authorities and communities (UNESCO-IOC, 2006).

Benefits After the Sumatra-Andaman in 2004, the existing systems did not issue a notification of a possible tsunami event until 65 min after the occurrence of the earthquake. This is 41 min after the first tsunami waves struck the coasts of Indonesia. Not until two and half hours after the tsunami, internet newswire reports provided the Tsunami Warning Centers with real indication of a destructive tsunami. The Space-borne Tsunami Warning System is a global system, in contrast to these other systems. Although the expenses of a space borne system will be higher, it is not threatened by natural hazards and human interference. In such events the availability and the integrity of the system decreases and the maintenance cost expands. The threats of the STWS are not like Earth-based systems, but could consist of events such as (micro-) meteorite and atomic oxygen impacts. However, the probability of a hit is negligible with respect to the lifetime of the system. Next to tsunami detection, other applications can make the system economically more feasible. These applications include wind speed and direction, significant wave height, salinity, pollution and soil moisture (Ruffini et al., 2003). Furthermore, the availability of the STWS can lead to new advances in the use of GNSS-R for currently unexplored applications. Apart from the humanitarian benefits, more benefits have the possibility to arise in other fields.

Characteristics of the Space-Borne Tsunami Warning System For proper definition and understanding of the STWS, first some essential requirements and constraints are set and discussed. Based on these, the required methods and limitations can be identified and a correct overview of the actual capabilities

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of the system can be produced. For example, it is important to know how the system detects a tsunami, when an actual warning is required and how much time it takes to execute a warning. This overview will be demonstrated by discussing the capabilities for a hypothetical case of a tsunami. Eventually, a requirement compliance analysis will be performed and the conclusion of this analysis can verify the feasibility of the system.

Requirements of the STWS The system requirements are divided into three groups; operational requirements, functional requirements and constraints. These form the boundary conditions to be met for a well-performing system. Operational requirements describe the system operations and the related human interactions to achieve the mission objectives. Functional requirements are definitions of the performance of the system in order to meet its objectives. The system constraints are usually set by the client, which in this case will be a collaboration of countries or global a organization. Operational Requirements Errors in the detection of a tsunami can greatly affect the reliability of the system. The public confidence in the system will recede if a tsunami is not detected or if a warning is falsely issued. A direct consequence could be significant loss of life. Even though ideally a tsunami should never be missed, any real system always takes into account system imperfections and human mistakes. As a consequence, detection of every tsunami cannot be guaranteed and a feasible and realistic requirement should be set. Therefore, the reliability requirement is that the system should not miss more than one out of a thousand tsunamis, and the frequency of false warnings must be less than once in three years (Brouwer et al., 2006). The availability of the system is directly related to this requirement and is required to be at least 99.9 percent (Brouwer et al., 2006). System maintenance is essential in order to achieve such a high availability. This requirement implies virtually no inactivity of the system during the critical ocean passes. Included in system maintenance are orbit control, software updates and satellite replacement due to failure or lifetime expiration. This translates into a system lifecycle of around 10 years (Brouwer et al., 2006). Functional Requirements The first step in the process of a tsunami detection and warning is the reception of a signal with sufficient signal to noise ratio (SNR). This directly influences the physical dimensions of the antenna. The system, which passively collects GNSS-R data, must be able to handle this data amount and must be able to store it, before down-linking it to the ground station. The raw signal is processed on board prior to the downlink and in the case of a possible tsunami it will transmit to the satellite

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already in contact with a ground station. This implies that even though a satellite detecting a tsunami cannot directly downlink its information to a ground station, the information can be sent through STWS satellite(s) in contact with a ground station (Brouwer et al., 2006). Immediate (direct or indirect) relay of the data is needed because of the required 45 minute warning time. This delay is based on a trade-off between observed travel times of past destructive tsunamis and a reasonable estimate of the detection, processing and warning time. A shorter warning time is not realistic, because of all the processes involved and the requirements on the quality of an executed warning. Efficiently distributing the warning is needed to reach the goal of warning 98 percent of the endangered people. Knowledge about which area to warn first is an essential factor of interpretation of the processed data. System Constraints The system is constrained by the detection time, and will therefore require a constellation of satellites to achieve global coverage. The use of GNSS-R impels design constraints on the power consumption of the satellites, and the dimensions and type of the antenna. The final constraint concerns the minimization of the cost of the system. The total cost of the system is determined by research, production, launch and operational cost.

Hypothetical Case of a Tsunami The devastating power of a tsunami can be explained from tsunami physics. A tsunami wave with a small wave height at open sea could produce a potential lifethreatening tsunami wave at the shore, since its energy is not dissipated as the wave travels through deep water. Moreover, a tsunami wave propagates rapidly through deep water, reducing its velocity once the wave approaches shallow water. These physical characteristics of tsunamis impose two important requirements on the tsunami warning system. First, the minimum detectable wave amplitude should correspond to the minimum height of a potential life-threatening tsunami wave at open sea. Second, the warning signal should be generated before the tsunami wave reaches the coast. For the present description of the system, a minimum wave height of 10 cm (Starlab 2005) at open sea and a warning time of 45 min is considered. These two values are realistic and feasible estimates; however it might happen that the coast of a threatened area is located closer in time to the source of the tsunami. Receiving the Signal The thirty minute detection time constraint on a global scale implies the use of a constellation of satellites to continuously scan the oceans. Every satellite, when flying over a liquid surface, receives reflected GNSS signals that could contain information about a generated tsunami wave. Due to the unique spatial characteristics

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of a tsunami wave, i.e. large wavelength and relatively small amplitude; a tsunami wave can be detected if the error in the altimetry measurement remains smaller than the physical quantity to be measured, i.e. the amplitude. An acceptable error of 10 cm in the altimetric measurements leads to antenna diameters between 1.6 and 2.2 m when the P code reflections are used, where the lower values for the antenna size correspond to lower altitudes of the constellation (See section Requirements compliance analysis). However, a low orbit will require more satellites to obtain global coverage within the given timeframe and also require more fuel to compensate for atmospheric drag perturbations of the orbit. Consequently, a trade-off has to be made between the altitude of the constellation’s altitude and the required antenna size. The optimal system would provide a combination altitude-antenna size, which is the most cost-efficient over a lifetime of 10 years. The proposed system, although not optimal, consists of approximately forty satellites at an altitude of 650 km, with an antenna diameter of 1.8 m. The inclination of the orbits also plays a role in the determination of the number of satellites, because it determines the area on Earth covered by the satellites. Satellites with high inclinations provide global coverage, but they need more passages in order to provide a full coverage of the low latitude regions. On the other hand; global coverage of life-threatening tsunamis implies the detection of tsunami waves at 60 degrees latitude, because of two reasons. First, because 96 percent of the earthquakes with a magnitude six or higher on the Richter scale are located within sixty degree latitude (Sterna, 2005). Second, due to the fact that high latitude regions on Earth have a very low demographic density. Since the inclination of GPS is approximately 56 degrees and the minimum elevation angle of the reflected signals has been set to 30 degrees for the P code reflections, the detection of a tsunami travelling at 60 degrees latitude implies an inclination of approximately 68 degrees for the constellation’s orbit. The given orbital inclination will result in some coverage gaps at low latitudes, if applied to the proposed constellation. Therefore it would be advisable to set some satellites in a low orbital inclination to cover the resulting gaps. Calibration and Processing The satellites are provided with three signals, the direct, the reflected, and the navigation data. These signals are all used in the processing and calibration of the signal. Calibration of both direct and reflected signals is done in order to use the modified GPS receiver as an accurate reflectometer. This calibration will take into account the differences between the direct and reflected signal. Multipath resulting from satellite surfaces should also be taken into account simulating what should be a nearly constant source of illumination (Katzberg et al. 1996), although choke rings for the direct antenna will minimize this effect. Over-the-water-calibration uses the observations from several satellites of reflected power values corresponding to smooth-surface and reflections at high elevation over the water. In the case of a tsunami, the reflected signals of multiple satellites will show a height anomaly of the ocean surface, resulting in a difference with respect to the calibrated model.

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Processing of the signal is relatively simple, because both processing of the direct and reflected signals is done in the same way (Martin-Neira et al., 2001). A clear replica of each direct GPS signal is generated and up-converted with its own Doppler due to GPS motion. Each signal is then cross-correlated with the direct and reflected signal, resulting in two signals resembling the autocorrelation function of a PRN code. For a pulse-limited system the autocorrelation function of the reflected signal should look like a typical altimeter waveform. The peak of the two (interpolated) cross-correlation functions is determined and the delay is derived. The delay between the peaks is assumed to be the time lag of the reflected signal with respect to the direct signal (Fig. 8). With the known geometry, the expected surface height with respect to all the measurements can be computed. An anomaly larger than the error incorporated in these measurements corresponds to the detection of a possible tsunami.

Tsunami Warning Execution After detecting a tsunami, the information is sent to a ground station and the tsunami warning is broadcast. The tsunami warning can be distributed using various methods, where a combination of methods will result in a maximum number of warned people. Not all methods and combinations need to be implemented everywhere, because in some areas it may be unfeasible or unnecessary. The first broadcasting method is SMS (text message) cell broadcasting, which is the simultaneous distribution of SMS messages to a given geographic area. It is one of the most effective options because of the dense mobile phone usage all over the world. However, not everyone has access to a mobile phone, especially in areas such as the eastern coast of Africa, or some coastal parts of Asia. Therefore the warning should also be distributed over private fixed lines. For SMS cell broadcasting, the affected areas should be known and for the private lines (such as those of local authorities, hotels and restaurants) the relevant phone numbers should be known beforehand. After broadcasting the warning, mouth-to-mouth alerting should inform the unaware bystanders of the threat. Another method is the Emergency Alerting Service (EAS), which uses FM and AM radio, and television broadcasting. A signal is sent out directly, as soon as the authorities receive such an alert. The time it takes to initialize such a system is estimated to be less than five minutes when using pre-recorded messages or live interruption. Again, the parties (e.g. local broadcast stations) to be contacted should be known beforehand to minimize the time to broadcast. For regions not accessible through communication methods mentioned above, there is the option for setting up air raid sirens emitting sound and light signals. At some places on Asian shores this system already exists and the principle could be expanded to other regions with a high tsunami risk. Another application, currently under development is the “Alert Interface via EGNOS” (ALIVE) and is concerned with the provision of early warning messages to citizens or governmental/local authorities in case of a major event or disaster. It will

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use the Satellite Based Augmentation System (SBAS) message broadcasting capability as a means of disaster announcement (Javier Ventura-Traveset et al., 2007). Seismic Confirmation Current seismic methods cannot quickly determine the moment magnitude for very large earthquakes. This is clearly illustrated by the magnitude 9.2–9.3 SumatraAndaman earthquake of December 26, 2004, which was first estimated at magnitude 8.0 using rapid seismological techniques. As the minimal magnitude to generate major ocean-wide tsunamis is 8.5 (Blewitt et al, 2006), this explains why the tsunami generating potential of the Sumatra-Andaman earthquake was initially underestimated. Seismological techniques tend to underestimate earthquakes larger than magnitude 8. This is because seismic instruments are easily saturated in higher frequencies. Another thing to bear in mind is that not every large earthquake will generate a tsunami as mentioned in the section discussing the background of tsunamis. A new method to compute the magnitude moment using GPS measurements has been proposed by (Blewitt et al, 2006). This method is based upon measuring precisely the position of GPS receivers within a few thousand kilometers of the earthquake. From this data scientists can compute the displacement of GPS stations, because of the earthquake, with millimeter accuracy and then derive the earthquakes magnitude and tsunami generating potential as early as 15 minutes after the occurrence of the earthquake. Somewhat surprisingly, many GPS networks are already in place for surveying and geophysical applications, and could be used for a tsunami warning system with some additional effort. The additional effort is mainly in establishing reliable realtime communication with these stations and in setting up the necessary real-time data-processing infrastructure. Additional high-end GPS receivers will cost less than e13.000 per item. Examples of existing networks are the world-wide network of the International GNSS Service (IGS) with 300 receivers; the European permanent network (EPN) of 200 receivers and its national densifications by national mapping agencies and commercial companies with in total over 2000 receivers; GEONET of the Geographical Survey Institute (GSI) of Japan consisting of 200 continuous GPS stations in Japan; and the US CORS and plate-boundary observation system with several thousands of receivers. Significant efforts are already being made to generate near real-time data and products from these networks for Earth observation applications. One of these initiatives is the real-time IGS network (RT-IGS) and real-time GPS orbit and clock analysis products, pre-requisite products for a tsunami warning system. At the same time standards have been developed for the real-time dissemination of GPS data, such as the NTRIP standard for the transfer of GPS data over the Internet which is supported by most major GPS receiver manufacturers. The displacements caused by the Sumatra-Andaman earthquake have been observed by GPS stations in South-East Asia (Vigny et al., 2005, Blewitt et al, 2006). The displacements computed by (Vigny et al., 2005) are given in (Fig. 9). In an operational system these displacements can be computed within 15 min after the occurrence of the earthquake (Blewitt et al, 2006). Using these displacements and

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Fig. 9 Panel (a) shows a large scale overview of the co-seismic displacement related to the Sumatra-Andaman earthquake of December 26, 2004. Panel (b) provides more detail, zooming in on a smaller area (rectangular box in a). Bold numbers next to arrow heads give the displacement in mm. Ellipses depict the 90% confidence level. Thin black lines depict major faults. The USGS earthquake epicenter location is portrayed by the star symbol, near bottom left of box. Figure courtesy of (Vigny et al., 2005). Source (Vigny, C.; Simons, W. J. F.; Abu, S.; Bamphenyu, R.; Satirapod, C.; Choosakul, N.; Subarya, C.; Socquet, A.; Omar, K.; Abidin, H. Z.; Ambrosius, B. A. C; Insight into the 2004 Sumatra-Andaman earthquake from GPS measurements in southeast Asia. Nature 436, 201-206 (14 July 2005) | doi: 10.1038/nature03937 http://www.nature.com/nature/journal/v436/n7048/abs/nature03937.html)

the initial epicenter from seismology, a modeled displacement field and moment magnitude can be computed, and hence the vertical displacement of the ocean. This in turn can be used to initialize real-time tsunami models and generate warnings for specific areas. Unlike seismometers and accelerometers, which measure the velocity and acceleration of the ground, the GPS receivers measure the movement of the ground directly in real-time. Seismometers and accelerometers are therefore very sensitive to short-period seismic waves, but less sensitive to longer-period ones. In contrast, GPS measures the ground displacement directly, including long- and short-periodic components depending on the sample rate of the receiver, which may be as high as 1–10 Hz. As discussed above, the permanent component of the displacement is a direct function of the earthquake magnitude and can be used to estimate the magnitude and tsunami generating potential. High rate kinematic GPS measurements also can give long-period components of seismic waves, which will never be saturated and can be detected over large distances for large seismic events. Seismic waves for

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the Sumatra-Andaman earthquake have been observed by GPS receivers as far as in Europe with amplitude of a few centimeters (Sohne et al., 2005). Displacements measured at the Earth surface by GPS are not the only way to detect tsunamis. Incredible as it may seem, a tsunami will also generate a signature in the Earth ionosphere, a region approximately 50 km to 1000 km above the Earth surface. The small displacement in the ocean surface displaces the Earth atmosphere, and this propagates into the Earth ionosphere as pressure waves, causing changes in the electron density which can be tracked by GPS (Occhipinti et al, 2008).

Requirements Compliance Analysis In this section the capability of the instrument to perform altimetry observations will be discussed in some detail. The instrument performance, expressed as the measurement signal to noise ratio (SNR), can be related to the altimetric precision by means of equation (2). The lapse precision (σl ) is a parameter expressing the accuracy of the estimation of the relative delay between direct and reflected signals. This parameter is theoretically defined by Equation (3). However, in reality, the lapse precision is dominated by the delay precision of the reflected signal (Starlab 2005). Consequently, equation (2) can be written as follows; σh =

σr 2 sin ε

(7)

The determination of the range precision (σr ) is not a straightforward task. To first order accuracy, the range precision of the reflected signal can be evaluated in the same way as for the direct signal (Lowe et al., 2002). For direct GNSS signals, the estimated delay error is a function of the 1-sec voltage SNR (SNRv ) and is given by the following expressions (Thomas, J.B., 1995); √ 0.50 2 τC/A 1 − C (2) SNRν √ 0.37 2 τP σr (P) = SNRν

σr (C/A) =

(8) (9)

In equations (8) and (9), the parameter τ represents the chip length of respectively the C/A and P code. The parameter C (2) is the correlation factor between amplitudes separated by two lags and is equal to 0.9 for the present analysis (Lowe et al., 2002). The approach presented above shows several limitations. As it could be observed from Fig. 4, the shape of the reflected signal is far from the triangular form of the direct signal. Moreover, the model does not take into account signal fluctuations caused by speckle noise. Furthermore, “the approach is only valid for relatively high thermal signal to noise ratio (SNRv ) and the derived expressions assume a

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direct signal statistical model, which is tied to the choice of a particular estimator” (Germain et al., 2006). A different approach, which makes use of Estimation Theory, solves most of the limitations of Lowe’s approach (Germain et al., 2006). In this approach, the delay precision of a signal is estimated from the probability density function (PDF) of the signal’s complex waveform. The resulting model does not show deviation from the model defined by Equations (7), (8), (9) if the triangular shape of the direct signal is used. However, since the geometry of the reflected wave is not triangular (Fig. 4), the reflected complex waveform is modeled by a Gaussian probability density function. (Germain et al., 2006) shows that this method leads to a more pessimistic value for the range precision. In most cases the predicted value of σr is four times larger than the value estimated by means of Lowe’s method. As stated before, the performance of the instrument can be expressed in terms of the SNR. The calculation of the SNR for one pulse, SNR0 , can be carried out by means of the multi-static radar equation for distributed targets (Martin-Neira, 1993): SNR0 = 0.5

Pt G t 4π R12

σb A

1 4π R22

λ2 Gr 4π

1 KTS B

(10)

As it can be seen from Equation (10), the SNR for one pulse depends on the GNSS transmitted power (Pt ), the transmitter antenna gain (G t ), the mean distance from the GNSS satellite to the reflecting footprint surface (R1 ), the mean normalized bistatic radar cross-section across the receiver antenna footprint (σb ), the area of the receiver antenna footprint on the Earth surface ( A), the mean distance between the reflecting footprint and the STWS receiver (R2 ), the wavelength of the signal (λ), the gain of the receiver antenna (G r ), the Boltzmann constant (K ), the system temperature (Ts ) and the signal bandwidth (B). Most of these parameters are fixed or code-dependent. Nevertheless; a couple of them act as design variables, since they depend on a combination of the altitude of the receiver satellite, the reflection (or elevation) angle of the reflected signal (ε) and the diameter of the receiver antenna (Dr ). A detailed description of the steps involved in the calculation of SNR0 can be found in (Martin-Neira 1993). The reflected signal is correlated with the direct signal in order to perform the computation of the sea level height. If the correlation process is coherent, an improvement by a factor N is achieved with respect to the single pulse SNR0 . Consequently, the SNR for one shot can be expressed as follows, SNR = N (SNR0 )

(11)

If one assumes a triangular waveform, the one-shot SNRv can be derived by multiplying the obtained one-shot SNR by the square-root of two (Germain et al., 2006). The one-second SNRv can be, in its turn, derived by multiplying the value of the one-shot SNRv by the square root of the number of shots in one second. In general, the time-dependent thermal SNRv can be related to the one-shot SNRv through Equation (12) (Le Traon et al., 2003).

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SNRv (t) =

√ n T SNRv

(12)

In Equation (12), the number of shots (n T ) is equal to the inverse of the signal integration time (Ti), times the observation time (t). The integration time of the reflected signal, in its turn, depends on the GNSS code. A good approximation of the value for the C/A code is Ti = 0.8 ms, and for the P code is Ti = 2.4 ms (Germain et al. 2006). A simple calculation shows that one second of observations contains 1250 shots in the case of the C/A code and about 417 shots in the case of the P code. An interesting characteristic of a tsunami wave is its long wavelength. This property enables the satellites to observe the sea-anomaly during a longer lapse of time than the mentioned one second. If a conservative assumption of the wavelength is taken (λw ≈ 50 km), then a satellite traveling at approximately 7 km/s will have slightly more than 7 s to perform measurements of the sea level anomaly. The thermal SNRv corresponding to this measurement time can then be obtained from equation (12). Based on the theoretical background presented above, the altimetric precision (σh ) of the STWS measurements can be computed for different orbital altitudes, elevation angles and antenna dimensions. The range of the most important input parameters are presented in Table 2. Therein, the worst-case scenario is taken into account, i.e. reflection under the smallest feasible value for the elevation angle (ε). Figure 10a describes the altimetric precision for C/A code reflections as a function of the orbit altitude and the antenna diameter, if Lowe’s approach is used. From Fig. 10a, it could be concluded that an altimetric precision of 10 cm can be achieved through the implementation of receiver antennas with a diameter smaller than one meter. Based on these results, although optimistic, various authors proposed the feasibility of a Tsunami Warning System based on C/A code observations (Germain et al. 2006). Figure 10b, based on Germain’s model of the reflected wave, illustrates why the premature conclusion taken above is optimistic. By comparing both results, one can observe that the improved model of the reflected wave leads to more pessimistic results than in previous analysis (Starlab 2005). As it could be observed from Fig. 10b, the altimetric precision of the measurements is considerably reduced to values that do not satisfy the imposed requirements on the accuracy of the measurements. Consequently, it can be safely concluded that tsunami detection from space using the C/A code is not feasible, unless the objective of the mission is modified to only detect strong tsunami waves (Germain et al. 2006).

Table 2 Input parameters STWS measurements Parameter

C/A

P

Altitude [km] Antenna gain [dB] (Antenna diameter [m]) Elevation angle [degrees] Coherence time [ms]

500–900 15–40 (0.42–7.5) 40 0.8

500–900 15–40 (0.42–7.5) 30 2.4

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a

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Altimetric precision as a function of antenna diameter and satellite height for C/A code (Lowe model) for real measurement. 5 h = 500 km h = 600 km h = 700 km h = 800 km h = 900 km h = 1000 km

4.5

Antenna diameter [m]

4 3.5 3 2.5 2 1.5 1 0.5 0

0

0.02

0.04

0.06

0.08 0.1 0.12 Altimetric precision [m]

0.14

0.16

0.2

Altimetric precision as a function of antenna diameter and satellite height for C/A code (Germain model) for real measurement.

b

h = 500 km h = 600 km h = 700 km h = 800 km h = 900 km h = 1000 km

5.5 5 Antenna diameter [m]

0.18

4.5 4 3.5 3 2.5 2 1.5 1

0.1

0.12

0.14

0.16 0.18 0.2 0.22 Altimetric precision [m]

0.24

0.26

0.28

Fig. 10 Altimetric precision as a function of antenna diameter and satellite height for C/A code reflections. (a) Lowe’s model. (b) Germain’s model

The previous analysis leads to the fact that the feasibility of STWS as a tsunami detection system from space depends on the altimetric accuracy of the P code observations. Figure 10 shows the altimetric precision of P code measurements, based on Germain’s model. As it could be observed from the presented results, the required accuracy of 10 cm is feasible for any combination of input variables. In other words;

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for orbits ranging between 500 and 1000 km, the diameter of the antenna will vary from approximately 1.6 m to 2.2 m. A trade-off between the available options can then be performed, by taking into account that lower orbits imply an increase of the number of constellation’s satellites and that larger antennas imply larger satellites. A good compromise would be to choose an orbit between 650 and 700 km, leading to an antenna with a diameter close to 1.8 m (27 dB < Gr < 28 dB) (Fig. 11). At this stage, it is important to emphasize that the P code is encrypted, and therefore not available for civil applications. Nevertheless, the analysis presented above shows the potential of GNSS reflections for tsunami detection from space. The availability in the near future of P-like code for civil (commercial) applications from Galileo and the modernized GPS, will certainly provide a better foundation for real measurements.

Warning Timeline A critical aspect of the STWS is the timely delivery of the warning signal. The benefits of the system for society are only relevant if the warning reaches the communities to be affected in time. The tsunami warning delay is defined as the time it takes from the tsunami initiation until the execution of the warning. This delay is dependent on several phases: 1. data acquisition, preprocessing and down-link by the satellites 2. processing, validating and simulation of the tsunami at the ground stations 3. execution of the tsunami warning Altimetric precision as a function of antenna diameter and satellite height for P code (Germain model) for real measurement. 5 h = 500 km h = 600 km h = 700 km h = 800 km h = 900 km h = 1000 km

4.5

Antenna diameter [m]

4 3.5 3 2.5 2 1.5 1 0.5 0

0

0.02

0.04

0.06

0.08 0.10 0.12 Altimetric precision [m]

0.14

0.16

0.18

0.20

Fig. 11 Altimetric precision as a function of antenna diameter and satellite height for P code reflections, based on Germain’s model

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The detection of a tsunami from space takes up the main part of the warning time. The instrument on board of the STWS satellite will pick up the GNSS data reflected by the ocean surface. In the worst case scenario, the time elapsed between the initiation of the tsunami event and the acquisition of the reflected GNSS signals is 30 minutes. This time is required by the satellite constellation to cover the entire Earth and is called the detection time, part of the first phase. Each satellite constantly pre-processes the data to check for an initial indication of tsunami forming. In case the pre-processing indicates a possible tsunami, the data is down linked to a ground station. If the satellite cannot be in direct contact with the ground station, inter-satellite communication will be used. No sensor data will be sent to ground stations if the satellite does not have an indication of tsunami forming, which saves a significant amount of power and bandwidth. Since tsunamis are caused by events which generate seismic waves, seismological data can be used for verification of the satellite observations and as a result reduce the possibility of a false warning. This implies that the ground stations will monitor the seismological data received by seismic stations constantly. After satellite data is received and stored by the ground station, the processing of the data starts immediately, to minimize the time delay. Initial processing includes the correction of the measured data for orbit and attitude errors, correction of the data for ionospheric and tropospheric errors and extraction of noise. If processing at the ground station indicates tsunami forming and the seismological data confirms this possibility, the actual warning will be generated. First of all, a tsunami propagation model is simulated to determine the locations with highest risk. Based on experience of existing models, such a simulation would need to run for about two minutes, to be able to determine and analyze the high risk coast lines. The simulation will be able to predict the propagation of the tsunami and subsequently identify in which order which shores will be hit. The information provided by the simulation will be distributed amongst call centers on the ground station to inform the authorities immediately. This distribution stage is estimated to last one minute. Finally, after the higher and local authorities and institutes have been informed, the actual tsunami warning will be broadcasted to the public, which will take another 5 minutes. The used methods at a specific region are most likely to be selected by the authorities of that country. It is assumed that the warning needs to go via the authorities since they are responsible for the consequences of evacuations. Authorities will use different methods for broadcasting of the Tsunami signal for redundancy. Figure 12 shows the worst case scenario warning time line.

Demonstrator Satellite The design of the Space-borne Tsunami Warning System shows the need for a demonstrator mission to validate the experimental technology. The key differences between the constellation and demonstrator satellite are found in four aspects. First, the GNSS-R antenna used for the demonstrator satellite is designed conservatively. Since the technology is experimental, it is important to show that it works. Therefore an oversized antenna is developed to ensure the satellite will receive a signal.

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Fig. 12 The Spaceborne Tsunami Warning System timeline

After the mission lifetime of the demonstrator mission, a lot more will be known about the signal properties and the required antenna gain to meet the system requirements. This knowledge will provide the background for further optimization of the antenna, i.e. its size reduction. Second, the lifetime of a STWS satellite will be ten years, compared to one year of the demonstrator satellite. Third, the cost of the STWS satellites is expected to be reduced significantly. At the time the constellation will be launched, the GNSSR technology will be in a more mature stage. Furthermore the development costs are spread out over more satellites. Moreover, engineering teams will experience a learning curve in building the same satellites, which will be translated in cost reductions. Fourth, since the STWS constellation of satellites should be in contact with the ground segment at least every 30 min, additional requirements for the communication subsystem will appear. Inter satellite communication should be investigated, since the demonstrator satellite will not be able to test this. However the CHAMP satellites (Chinn et al., 2002) have proven in flight that this kind of communication technology is mature enough to apply it to the STWS satellites. A conceptual design study was performed for the demonstrator mission (Brouwer et al., 2006). The payload consists of three systems, a standard GPS antenna, a standard receiver and a GNSS-R instrument. The first two are proven technology, while the latter is at the moment of writing experimental and in development. The supporting systems are all build from “Commercial of the Shelf” components. The complete design can be seen in Table 3. The most critical systems are outlined below. The choice for a receiver is based on the mass, power consumption and dimensions, in which mass is the most important. A standard GNSS receiver cannot be used, because the time and phase differences between the direct and the reflected GNSS signal have to be determined. A standard GNSS receiver must therefore be modified to accomplish this requirement. The direct GNSS receiving antenna is Zenith pointing and must be a geodetic antenna, because of its characteristics, such as multi-path, multi-frequency, calibration and construction specification, and the high quality. For the reception of the much weaker reflected GNSS signals, a phased array antenna with digital (multi) beam steering is required. The beam steering is needed, because multiple reflection points of the GNSS-R signals have to be tracked and

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Table 3 Demonstrator satellite: technical resource budget Spacecraft subsystem

Mass [kg]

Power [W]

Size [mm]

Payload GNSS-R instrument Receiver Zenith Antenna Spacecraft Margin (10%) Dry Mass Propellant mass

40.57 40.00 0.12 0.45 65.38 11.77 117.72 12.05

57 50 7 – 31 – – –

– Ø 1900×80 178×100×13 Ø 152×57 1900×1900×500 – – –

Total

129.77

145

the gain in the direction of these reflection points must be significantly increased. This Antenna has to be designed for Left Hand Circular Polarized (LHCP) signals, because when the signals are reflected by the ocean, the polarization changes from RHCP to predominantly LHCP. Despite the fact that there are a few antennas commercially available, none of those is an option for this mission because of the strict requirements on gain, weight and power usage. Therefore it is required to develop an antenna specifically for this mission. It is expected that this antenna has characteristics as described before with a gain of at least 28 dB. The orbit of the demonstrator is determined by the same parameters as the orbit of the constellation satellites. Therefore the altitude is set to the altitude used for the constellation, 650 km. The inclination of the orbit is also the same as for the constellation satellites, 68◦ . The supporting subsystems are all standard. Solar panels and batteries provide energy during daytime and eclipse respectively, the latter are charged by the solar panels. The solar panels provide the power needed for all the subsystems of the satellite. The demonstrator satellite will require approximately 300 W (cf. Table 3, while taking into account the time the satellite is in eclipse). Attitude determination is an important aspect for the satellite since accurate knowledge of how the GNSS-R antenna is pointed to the Earth must be known at all times. Furthermore a reliable data storage system is implemented with appropriate downlink capacity to the Earth. The data gathered with the demonstrator mission will determine whether a dedicated constellation of satellites for tsunami detection is a feasible option. At the same moment, the possibility to use the acquired data for alternative applications will be investigated. These applications can form a source of income to earn back part of the investment needed for the system. In developing the constellation these alternate data uses might then be taken into account.

Costs The costs for STWS and its demonstrator mission are estimated using parametric cost relations (Wertz and Larson, 1999), which are based on historical data and is the preferred method by the US Department of Defense. The cost of the demonstrator

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mission can be estimated more accurately than the complete constellation. Since cost specifications of the satellite components are not available, Cost Estimating Relationships (CER) are used to approximate the mission cost. A small satellite cost model (Wertz and Larson, 1999, Bearden et al., 1996) is used to estimate the cost of the demonstrator mission. This method uses, amongst others, the volume, weight, power and fuel requirements as input. These costs then form the basis for the complete system.

Demonstrator Mission The cost of the demonstrator mission is a relatively small, but significant part of the STWS mission cost. The costs are split in recurring and nonrecurring factors. Nonrecurring costs include, amongst others, design, drafting, engineering and ground systems. Recurring costs are related to flight hardware and operations. Nonrecurring costs are denoted by Research, Development, Test and Evaluation (RDT&E) and recurring by the Theoretical First Unit (TFU), the first satellite of a production series. It is clear that for a bigger series the cost per unit will decrease significantly. For the launch the use of a Russian Tsyklon rocket is assumed. This provides a relatively cheap opportunity for launch. In the calculation contractor fees have been excluded, but these are often estimated to be around 10% of the total cost (excluding launch). The total cost of deployment amounts to approximately e96 million (Table 4). Since the demonstrator mission is planned for 1 year, operational costs are relatively low (Table 5).

Table 4 Costs for the space segment of the demonstrator mission Estimates [in millions of e]

RDT & E [FY08e]

FTU [FY08e]

Cost [FY08e]

Spacecraft Structure Thermal Electrical Power System Telemetry Tracking & Command Command & Data Handling Attitude Determination & Control Propulsion Payload Integration Assembly & Testing Program Level Ground Support Equipment Software Launch & Orbital Operations Support Research costs Launch (Russian Tsyklon)

e 23,7 e 1,0 e 0,1 e 9,6 e 5,5 e 1,8 e 3,5 e 1,3 e 9,5 e0 e 4,5 e 2,6 e 8,3 e0 e 1,1

e 15,8 e 0,4 e 0,1 e 5,9 e 2,2 e 0,8 e 6,0 e 1,3 e 6,3 e 5,5 e 4,5 e0 e0 e 2,4 e0 e 12,2

e 39,5 e 1,4 e 0,2 e 15,4 e 7,7 e 2,6 e 9,5 e 2,6 e 15,8 e 5,5 e 9,0 e 2,6 e 8,3 e 2,4 e 1,1 e 12,2

Total Cost of Deployment

e 49,7

e 34,5

e 96,4

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Table 5 Costs for the total lifecycle of the demonstrator mission Initial deployment Space Launch Ground Operations Operations per yr Total operations for 1 yr Total LCC for 1 yr

Cost [millions FY08e] e 84,2 e 12,2 e 50,5 e 5,8 e 5,8 e 152,7

Space-Borne Tsunami Warning System The total Life Cycle Cost (LCC) of the STWS consists of the demonstrator mission, constellation hardware, launch and operational costs. The total LCC is estimated on e 1.5 billion for a period of 20 years (Table 6). The production cost of the TFU was estimated at e 34.5 million (Table 4). This is based on satellites with comparable weight and orbit characteristics (Wertz and Larson, 1999, Bearden et al., 1996). The lifetime of a satellite is limited due to the atmospheric drag, which is approximately 5000 days (+/− 13 years) for an altitude of around 650 km. The lifetime used in the cost estimation is set to 10 years. For a constellation of 40 satellites 80 satellites have to be produced for a life cycle of 20 years, assuming equal satellite lifetimes and no satellite losses. Taking into account the learning curve, the production cost of 80 satellites in 20 years will be significantly less. This results in an average production cost of e12.8 million per satellite for a production series of 80 satellites, assuming a learning curve slope of 85% (Wertz and Larson, 1999). In the estimation of the costs of the launch a few assumptions are made: All the satellites can be launched in groups of five. The satellites will then be transferred

Table 6 Total lifecycle cost of the Space-borne Tsunami Warning System Segment Space Segment First theoretical unit (FTU) Av. cost per satellite [# = 80] Total Cost Space Segment Operations p/a operations warning segment Total Operations for 20yr Launch Tsyklon launcher Total launch costs Total Costs Constellation Demonstrator Mission Overall Total Cost STWS

Cost [millions FY08e] e 35 e 13 e 989 e6 e5 e 216 e 12 e 195 e 1.400 e 153 e 1.553

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into the desired orbits. Launching more satellites simultaneously is possible but since the constellation has a lot of different orbital planes, the fuel budget to move the satellites into the different planes would be inefficiently large. The launcher assumed to be used is here also the Russian Tsyklon, with an expected launch cost of about e12.2 million (Wertz and Larson, 1999). Not taken into account here is the possibility that the satellites might survive longer than expected or that a satellite fails before its intended end of life. The total launch cost is expected to be e195 million, with 16 launches. Operational costs are divided into two parts, the satellite operations and the warning segment. The latter comprises mainly the data analysis at the ground. Many uncertainties remain at this stage of cost modeling. From experience it is known that it is possible to produce large series of equal satellites at low cost, especially when commercial interests are at stake (Wertz and Larson, 1999). When the GNSS-R antenna reaches a next stage of development, the size might be reduced, resulting in a smaller satellite and lower costs than estimated here. Alternative data uses have not been taken into account, but these could generate significant revenue to offset the costs.

Conclusions and Recommendations Conclusions Using satellites to perform passive altimetry by means of GNSS-Reflections appears to be a feasible option for timely detection of dangerous tsunamis. A Space-borne Tsunami Warning System could provide nearly global coverage, in contrast to buoy systems. The Polar Regions would be outside of the covered latitudes, since tsunamis very rarely originate in these areas. In the unlikely event of this occurrence, the wave will be detected when it propagates to latitudes below 60◦ . By using a constellation consisting of approximately forty satellites, it is expected that a worst case detection time of thirty minutes can be achieved. However, the preliminary constellation design conducted in this study is very crude. The configuration of the constellation requires optimization before clear conclusions can be drawn. To minimize the time elapsed between the acquisition of observation data by the satellite and the delivery of this data to an accessible ground station, inter-satellite communication is required. Using C/A code measurements an altimetric precision of 24 cm is achievable. This quantity assumes an antenna diameter of 1.9 m at an altitude of 650 km for a reflection angle of 40◦ . Therefore, this analysis shows that C/A code measurements do not satisfy the requirement for altimetric precision. However, P-code measurements can achieve 10 cm altimetric precision for the same orbital altitude and antenna diameter of 1.8 m. This is sufficient for detection of a life-threatening tsunami. The accuracy of the measurements is dependent on antenna gain. For the detection of a tsunami wave, the required antenna gain will be approximately 28 dB.

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This calculation of the link budget, and hence the sizing of the antenna, should be regarded as an estimate however. Next to the direct measurements of the STWS, GPS measurements can be used to compute magnitude moments of earthquakes. These magnitude computations are better than seismic wave detections, because these seismic wave detections can become saturated in high frequencies for large earthquakes. The feasibility of sea-surface altimetry with GNNS-R technology should be demonstrated before the development of the complete warning system is approved. The demonstrator satellite designed in this study is slightly different from the proposed STWS-satellites. It will be heavier, due to the fact that the GNSS-R antenna is in an early stage of development and because the antenna is dimensioned conservatively in order to ensure sufficient gain. The worst case warning time for the STWS is 44 min, which is the time from the earthquake and tsunami generation till the moment the warning is broadcasted. The total cost of the systems amounts to approximately e 1.5 billion for a period of 20 years. This excludes alternative data uses, which might generate income.

Recommendations It is recommended to focus research on shortening of the detection time by optimizing the constellation design. This implies removal of the existing gaps in the ground coverage and, if possible, reduction of the number of satellites. A probability distribution should be calculated to indicate the expected detection time, using information from historical events and the constellation design. A critical part of the development that lies ahead is to define a well established link budget for the GNSS-R instrument. This is the basis for the development and optimization of the phased array antenna. An optimized instrument design will lead to a lower instrument mass and power usage, which will in turn translate into a smaller satellite and therefore lower cost. Tsunami intensity prediction models have to be developed to translate sea level height observations into real-time, reliable tsunami warnings. Also, alternative applications of the obtained GNSS-R data require further investigation. Additional commercial and scientific benefits may justify the cost of the system.

References Bearden, D., Boudreault, R., and Wertz, J., Cost Modeling. Reducing Space Mission Cost, Microcosm Press, Torrance, Calif, pp. 253–284, Torrence, CA, 1996. Blewitt, G., Kreemer, C., Hammond, W. C., Plag, H.P., Stein, S., Okal, E., Rapid determination of earthquake magnitude using GPS for tsunami warning systems. Geophysical Research Letters, 33, L11309, 2006, doi:10.1029/2006GL026145. http://www.agu.org/pubs/crossref/2006/2006GL026145.shtml Brouwer, P.A.I., Visser, M., Baldee, M., Gunneman, J.C.T., Masselink, B., Molijn, R.A., Jara Oru´e, H.M., van Marwijk, B.J.A., Bermon, T.C.K., Space-borne Tsunami Warning System. Delft University of Technology, July 2006.

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Chinn, D.S., Lemoine, F.G., Rowlands, D.D., Ray, R.D., Short-arc analysis of intersatellite tracking data in a gravity mapping mission. Journal of Geodesy, 67, 10, January 2002. Garrison(∗ ), J.L., Russo(∗ ), A., Ferebee(∗∗ ), M.J., Mickler(∗∗∗ ), D., Armatys(∗∗∗ ), M., The GPS ocean reflection experiment on Spartan 251. (∗ ) NASA Goddard Space Flight Center. (∗∗ ) NASA Langley Research Center. (∗∗∗ ) The University of Colorado. Gerassimos(∗ ), P., Imamura(∗∗ ), F., A proposal for a new tsunami intensity scale. Technical report, 2001. (∗ ) Institute of geodynamics, National observatory of Athens, Greece. (∗∗ ) Disaster Control Research Center, Tohoku University, Oaba, Sendai, Japan. Germain, O., Ruffini, G., A Revisit to the GNSS-R Code Range Precision, Proceedings of the GNSS-R’06 Workshop, 2006. Gleason, S., Hodgart, S., Sun, Y., Gommenginger, C., Mackin, S., Adjrad, M., Unwin, M., Detection and Processing of bistatically reflected GPS signals from low Earth orbit for the purpose of ocean remote sensing. IEEE Transactions on Geoscience and Remote Sensing, 43(6), 1229–1241, June 2005. Gonz´alez, F.I., Meining, C., Bernard, E.N., Milburn, H.B., Early detection and real-time reporting of deep-ocean tsunamis. Technical report, NOAA, 2001. Katzberg, S.J., Garrison, Jr., J.L., Utilizing GPS to determine ionospheric delay over the ocean, NASA technical memorandum 4750, NASA Langley Research Center, Hampton, USA, December 1996. Katzberg(∗ ), S.J., Torres(∗ ), O., Grant(∗ ), M.S., Masters(∗∗ ), D., Utilizing calibrated GPS reflected signals to estimate soil reflectivity and dielectric constant: Result from SMEX02. Science Direct, November 2005. (∗ ) NASA Langley Research Center Hampton, USA. (∗∗ ) University of Colorado, Boulder, USA. Kayton, M., Fried, W.R., Avionics Navigation Systems. John Wiley and Sons, 2004. Le Traon, P.Y., Dibarbourne G., Ruffini, G., Germain, O., Thompson, A., Mathew, C., PARIS Gamma: GNSS-R Measurements for Ocean Mesoscale Circulation Mapping, an Update. Technical Note Extract from the PARIS-Gamma ESA/ESTEC Study WP1100, 2003. Lowe, S.L., LaBrecque, J.L., Zuffada, C., Romans, L.J., Young, L.E., Haij, G.A., First spaceborne observation of an Earth-reflected GPS signal. Jet Propulsion Laboratory, California institute of technology, Pasadana, California. Martin-Neira, M., A passive reflectometry and interferometry system (PARIS): Application to ocean altimetry. ESA journal, 17, 331–355, November 1993. Martin-Neira, M., Caparrini, M., Font-Rosello, J., Lannelongue, S., Vallmitjana, C.S., The PARIS concept: An experimental demonstration of sea surface altimetry using GPS reflected signals. IEEE transactions on geoscience and remote sensing, 39(1), January 2001. Occhipinti, G.; Komjathy, A.; Lognonn´e, P.; Tsunami Detection by GPS: How Ionospheric Observations Might Improve the Global Warning System. Innovation column, GPS World, Feb. 2008. http://sidt.gpsworld.com/gpssidt/Innovation/Innovation-Tsunami-Detectionby-GPS/ArticleStandard/Article/detail/491676 Papadopoulos, G., Imamura, F., A proposal for a new tsunami intensity scale. Technical report, Institute of geodynamics, National observatory of Athens, 2001. Pedersen, G., A note on tsunami generation by earthquakes. Scientific report, 2001, Department of Mathematics, University of Oslo, Oslo, Norway. Ruffini, G., Germain, O., Soulat F., Taani M., Caparrini M., GNSS-R: Operational Applications, 2003 Workshop on Oceanography with GNSS Reflections. Starlab, Edifici de l’Observatori Fabra, 08035 Barcelona, Spain, http://starlab.es Ruffini, G., A brief introduction to remote sensing using GNSS reflections. IEEE geoscience and remote sensing newsletter, page 7, March 2006. S¨ohne, W.; Schwahn, W.; Ground motion at a great distance following the Sumatra-Andaman Mw 9.3 earthquake (Dec 26, 2004) using 1 Hz GPS data in a dense network. Bundesamt f¨ur Kartographie und Geod¨asie Frankfurt am Main, Germany, presentation ADVANCES IN GPS DATA PROCESSING AND MODELLING, London, November 09 -10, 2005 http://wwwresearch.ge.ucl.ac.uk/COMET/soehneschwahn comet05 oral.ppt.pdf

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Starlab. Sterna: A Feasibility Study of PARIS Tsunami Detection, Final Report. ESA/ESTEC, Contract 19016/05/NL/JA, 2005. Thomas J.B., Signal Processing Theory for the Turbo Rogue Receiver. JPL Publication 95-6, 1995. UNESCO-IOC. Tsunami, The Great Waves. IOC Brochure 2006-2. Paris, UNESCO, 2006. Ventura-Traveset, J., Mathur, A.R., Toran, F., Provision of Emergency Communication Messages through Satellite Based Augmentation Systems for GNSS: The ESA ALIVE Concept. ESA 2007. Vigny, C., Simons, W.J.F., Abu, S., Bamphenyu, R., Satirapod, C., Choosakul, N., Subarya, C., Socquet, A., Omar, K., Abidin, H.Z., Ambrosius, B.A.C, Insight into the 2004 SumatraAndaman earthquake from GPS measurements in southeast Asia. Nature 436, 201–206 (14 July 2005) | doi: 10.1038/nature03937 http://www.nature.com/nature/journal/v436/n7048/abs /nature03937.html Wertz, J.R., Mission Geometry: Orbit and Constellation Design and Management. Microcosm Press, 2001. Wertz, J.R., Larson, W.J., Space mission analysis and design. Microcosm press, 1999.

Websites Daleh, 2008. http://www.daleh.id.au/world seismic stations.html Galileo joint undertaking [online]. 2004 [cited 18-02-2008]. Available from: http://www.galileoju.com/page.cfm?voce=m&idvoce=301&plugIn=1. ESA, Galileo navigation satellite system [online]. 2005 [cited 05-03-2008]. Available from: http://www.esa.int/esaNA/galileo.html Global positioning system overview [online]. 2000 [cited 28-02-2008]. Available from: http://www.colorado.edu/geography/gcraft/notes/gps/gps.html. Intergovernmental oceanographic commission [online]. [cited 05-03-2008]. Available from: http://www.ioc-tsunami.org/index.php?option=com content&task=view&id=34&Itemid=39 NOAA. http://www.ngdc.noaa.gov/hazard/tsu.shtml last updated 16 April 2008 [cited 16-04-2008] Spectrolab space solar panels data sheet [online]. 2004 [cited 09-03-2008]. Available from: http://www.spectrolab.com. Swopnet Waypoint DataBank [online]. [cited 28-02-2008]. Available from: http://www. swopnet.com/waypoints/images/gps sat.gif. UNESCO IOC global tsunami website, last updated 10-2007. Last accessed March 2008, http://www.ioc-tsunami.org/index.php?option=com frontpage&Itemid=1.

GEONETCast Americas – A GEOSS Environmental Data Dissemination System Using Commercial Satellites Richard Fulton, Paul Seymour and Linda Moodie

Abstract GEONETCast Americas is a regional contribution to a global, near-realtime, environmental data dissemination system in support of the Global Earth Observation System of Systems. It is a contribution from the United States National Oceanic and Atmospheric Administration whose goal is to enable enhanced dissemination, application, and exploitation of environmental data and products for the diverse societal benefits defined by the Group on Earth Observations, including agriculture, energy, health, climate, weather, disaster mitigation, biodiversity, water resources, and ecosystems. GEONETCast Americas serves North, Central, and South Americas beginning early in 2008 using inexpensive satellite receiver stations based on Digital Video Broadcast standards and will link with similar regional environmental data dissemination systems deployed around the world. Keywords Data dissemination · Commercial communication satellites · Digital video broadcast-satellite DVB-S · Environmental data · GEOSS · GEONETCast

Introduction Ministers from 58 countries and the European Commission agreed at the third Earth Observation Summit in February 2005 to put in place a Global Earth Observation System of Systems (GEOSS) to meet the need for timely, quality, long-term global information as a basis for sound decision making and to enhance delivery of benefits to society. The ministers also established the intergovernmental Group on Earth Observations (GEO) to take the steps necessary to implement GEOSS. The United States, formerly represented by the National Oceanic and Atmospheric Administration (NOAA) Administrator Conrad Lautenbacher, serves as co-chair of GEO which now includes 76 member countries, the European Commission, and 56 participating organizations. R. Fulton (B) National Oceanic and Atmospheric Administration Satellite and Information Service (NESDIS), 1335 East-West Highway, Silver Spring, Maryland 20910 e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 12,

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GEO’s vision for GEOSS is the global leveraging of existing and future regional, national, and global environmental observation and data management systems for the benefit of all society. In many cases, organizations or governments develop and implement environmental observing and data management systems for their national and regional users’ needs without linking them with other similar systems in other regions, often resulting in a comprehensive yet disconnected patchwork of valuable environmental resources that cannot be exploited by all of society. And often these systems are built originally for specific limited purposes without realization of the potential value to other scientific or other disciplines for little or no added cost (e.g., the value of meteorological satellite observations for critical decision-making in the health or energy communities). In the current resource-constrained age of trying to do more with less, it has been shown to be imperative that world leaders reduce increasing impacts of environmental disasters by working together to share their individual resources across political borders and across scientific disciplines since many environmental problems are fundamentally global in scope. It is the objective of GEOSS to engage organizations and governments to take their existing environmental observing, value-added data processing, and distribution systems and integrate them together into a globally linked “system of systems” that can provide societal benefits for a global audience. The participation of no less than 76 member countries in GEOSS is a testament to the common understanding of the need for global cooperation to address global environmental challenges that cross political boundaries. GEONETCast is envisioned as one piece of this broader initiative and a step forward in the free global exchange of environmental information using a common and inexpensive receive station platform based on the latest communication technology. For more information on GEOSS, please see the GEO web page http://earthobservations.org, GEO (2007), and GEO Secretariat (2007). GEONETCast1 is an important near-real-time data distribution system within GEOSS by which environmental data and products from participating data providers are transmitted to users through a global network of communications satellites using a multicast, broadband capability. This general dissemination capability, manifested through a small number of regional but interconnected GEONETCast systems, may be especially useful in parts of the world where high speed terrestrial communication lines and/or internet are not available or in regions where these lines have been disrupted by natural disasters. It is intended to be complimentary with other existing data dissemination systems using other data delivery methods. A motivating factor to increase the use of environmental data across the Americas and the world is to make it accessible to all nations in a cost-effective and efficient manner. GEONETCast promises to facilitate and enhance access to environmental data in the nine defined societal benefit areas of GEO (agriculture, weather, water, energy, health, climate, biodiversity, disasters, and ecosystems). NOAA, in support of the U.S. Integrated Earth Observation System (IEOS) (CENR/IWGEO, 2005) and consistent with its own mission requirements, is a key global player in environmental

1

Loosely “Group on Earth Observations (GEO) Network Broadcast”.

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data dissemination and the development of a GEONETCast system covering the Americas. Potential societal benefits of GEONETCast exist in all nine of GEO’s defined societal benefit areas. GEONETCast is a pipe (not unlike the internet) through which environmental data is transmitted from the originating data providers to the data end users, so its benefits encompass all of the benefits derived from using the diverse environmental data that it carries. It is therefore an enabler of benefits through enhanced communications so that users that once may not have had access to data can now be a part of the network, at limited cost, to derive their associated benefits. Following co-chair Lautenbacher’s presentation to the GEO Executive Committee in September 2005, NOAA and the European Organization for the Exploitation of Meteorological Satellites (EUMETSAT) presented their vision for GEONETCast at the second GEO Plenary meeting in December 2005. The basic need was identified, and the GEO endorsed the concept and created a new GEO task that identified the development of the integrated GEONETCast system on a regional basis across the globe as a high priority for demonstration of early GEOSS success. In November 2006, early success in the development of GEONETCast was showcased at the third GEO Plenary meeting in Bonn, Germany, through an international press conference. The importance of continued forward movement in development of the GEONETCast system in the Americas was discussed to add to similar developing systems in Europe, Africa, and Asia to achieve the desired global coverage.

System Concept The GEONETCast system follows the GEOSS concept in being a system of regional dissemination systems working together to form a global system. GEONETCast is a user-driven interconnected global network of near-real-time regional dissemination systems to link GEOSS environmental data/products/service providers and users across the globe. Each regional system will be focused on a specific sector of the globe, primarily supporting the specific needs of users in that sector. However, these regional systems will be interoperable with each other to allow data files to flow across the regional boundaries in both directions as needed by users in other regions. The primary responsibility for development, management, and operations of GEONETCast within each region will reside with the GEO partner in that region that voluntarily agrees to perform that function. NOAA, in support of the Integrated Earth Observation System, which forms the U.S. contribution to GEOSS, will function as the initial GEONETCast operator and data/products/services purveyor in the Americas. This GEONETCast region includes North, Central, and South America and island regions of the central and eastern Pacific Ocean (see notional outline below in Fig. 1). The initial operating capability for the operational demonstration period will cover most of continental North, Central, and South America but not the Pacific Ocean region. It is the intention that the initially non-covered regions will

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Fig. 1 Notional approximate geographic coverage of GEONETCast Americas

be covered in the future as additional funding becomes available or through other communications mechanisms as deemed appropriate among the cooperating parties. This regional component of GEONETCast is called “GEONETCast Americas”, and it is integrated with similar GEONETCast systems such as EUMETCast (operated by the European Organization for Exploitation of Meteorological Satellites, EUMETSAT) and FengYunCast (operated by the China Meteorological Administration, CMA) in other parts of the world (Fig. 2). GEONETCast Americas utilizes modern telecommunication technology including communication satellites and uplink ground stations. Data originating from each region is disseminated within that

Fig. 2 Notional approximate geographic coverage of the global GEONETCast including other regional components

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region from a central network hub using one or more satellites with broadcast footprints that cover the identified region containing potential GEOSS data users.

Capabilities The three primary capabilities of GEONETCast Americas include:

r r r

Data acquisition – near-real-time receipt of diverse GEOSS environmental datasets at a central regional location(s) from GEONETCast data providers in the Americas and eastern Pacific Ocean region, System and data management – data management, prioritization, and scheduling of GEOSS data for dissemination, and system administration Data dissemination – timely dissemination of GEOSS data within the Americas and Pacific Ocean region using satellite telecommunication infrastructure (uplink ground stations, satellites, and turnaround stations).

This near-real-time satellite-based dissemination system is one component of a larger GEOSS data dissemination system that may include the internet and fiber optic land lines in the future.

Data Products, Formats, and Channels GEONETCast Americas is envisioned to become a “one stop shopping” system for distribution of diverse environmental data and products for receipt by users with a single GEONETCast receive station. These data and products will be in the form of electronic data files. GEOSS data that will be disseminated through GEONETCast Americas may include diverse raw data or processed value-added products or services from any of the nine defined GEO societal benefit areas, particularly those areas that are currently underserved by existing dissemination systems. The products may include environmental data or products from any observing data platforms including operational or research-based, in situ or remote sensing systems such as satellites (polar or geostationary), ground-based, or airborne platforms. Other non-observational environmental information will also be disseminated such as text-based environmental data or products, e.g., climate assessments, fisheries announcements, earthquake advisories, or even environmental training materials that may support GEOSS user needs. A channel capability will be developed for users to selectively choose categories of products they wish to receive on their receiver station and disable reception of files within product categories they do not need through NOAA’s establishment of broadcast channels that contain common data types or themes as appropriate, e.g., separate categories for each of the nine GEO societal benefit areas is an initial possibility. These product categories will be developed in cooperation with the U.S. Group on Earth Observations (USGEO) and participants from the Americas region.

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A special category of environmental products for urgent emergency response purposes, including Common Alert Protocol (CAP) products, may be appropriate and may be distributed via a dedicated emergency channel(s) or, at a minimum, be assigned highest priority for dissemination when the need arises. A low bandwidth announcement channel will also be implemented for distribution of administrative or other general use messages that all GEONETCast users would generally tune in to for information on new products, service change notices, or other information needing wide distribution. Although dissemination of meteorological satellite products is within the scope of GEONETCast Americas, it is not intended to be the primary dissemination mechanism for NOAA’s meteorological satellite data nor a replacement for its existing meteorological satellite data dissemination systems. Neither is GEONETCast Americas intended to replace any other primary dissemination system(s) for environmental data, advisories, watches, warnings, etc. in NOAA or elsewhere. In these cases, GEONETCast Americas should be viewed only as augmenting existing dissemination systems via an alternative means. Regarding data file formats, there is technically no restriction on formats for data products that a data provider might wish to contribute to GEONETCast for broadcast. Any of a wide variety of standard formatted products can be used, e.g., ASCII, JPEG, GIF, HDF, BUFR, NetCDF, GRIB2, and others. It is obviously in the best interest of the data providers that the data that they disseminate be in standard formats for ease of use, but the system itself imposes no specific requirements on file format other than the information be file-based. Provision of any special decoding or processing software required to decode and/or use data files distributed by GEONETCast resides with the original data providers who contributed that data for broadcast. A catalog of information about data products being carried on GEONETCast Americas and associated channel assignments and technical receive station information will be routinely updated as necessary and distributed by satellite broadcast as well as via the GEONETCast Americas internet web page (http://geonetcastamericas. noaa.gov) for the benefit of the users and others desiring information on the service. GEONETCast will comply with the data policies of GEO, i.e., full and open distribution while respecting existing data sharing policies of contributing organizations. There will be no recurring subscription charges to obtain the GEONETCast Americas broadcast other than perhaps optional nominal software licensing costs for the client datacasting software that will reside on the receive station. Data files are distributed in the original file formats of the data providers. If particular data providers impose restrictions on dissemination of their data to certain subscriptionbased users or classes of users, the providers are required to encrypt those files prior to sending it to the NOAA system for broadcast since GEONETCast Americas will provide no inherent access control services for either data providers or data users. Users wishing to use any of these encrypted data files are required to work directly with the data provider to obtain any necessary decryption keys or software and/or pay any subscription fees if appropriate.

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Global Participants There are four major categories of participants in GEONETCast (Fig. 3). The key participants are the end users who receive environmental data through GEONETCast to serve their near-real-time needs. This data is supplied to the system by the many diverse data providers who voluntarily contributed data and products in file format for broadcast to the users. Often these two groups work together so that the products produced and disseminated are the ones required by the users. The communication “pipe” extending between the data providers and the end users is GEONETCast. It is composed of two main participants, the dissemination service managers and the satellite service providers. The service managers, including NOAA, EUMETSAT, and CMA, are the organizations who are currently developing and operating each of the regional systems for the benefit of the users in their regions. They provide the resources that make the system possible and sustainable. Together they form the GEONETCast Implementation Group and meet routinely to coordinate activities and assure interoperability of the regional components. The satellite service providers are generally commercial telecommunication vendors who provide the satellite broadcast infrastructure (processing hardware and software, ground stations, telecommunication satellites). They work directly with the dissemination service managers to assure that the system is operationally robust and reliable.

Fig. 3 Major participants in the global GEONETCast system

System Architecture There are two main system components of GEONETCast Americas: (1) a regional data collection, management, and dissemination system, and (2) distributed user receiver stations. These components are illustrated schematically in Fig. 4.

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Fig. 4 System architecture illustration

Data Collection, Management, and Dissemination System The general capabilities of the regional components of this system include one or more data collection, management, and dissemination data hubs that receive, prioritize, and schedule the incoming GEOSS data files originating within the Americas sector as well as ones coming in from adjacent regional GEONETCast data hubs. For GEONETCast Americas, one single data hub resides at Intelsat General Corporation’s commercial teleport facility in Ellenwood, Georgia. This hub, utilizing commercial KenCast Inc. datacasting servers, then processes and forwards the prioritized data files to the satellite uplink ground station which receives the data files, processes them for broadcast, and then immediately uplinks them to a communication satellite for dissemination within the footprint of each satellite. This service will be configured and managed remotely by NOAA from our NOAA Satellite Operations Facility in Suitland, Maryland. The GEONETCast Americas services uses the Intelsat-9 (IS-9) communications satellite at C band which is one of the frequency bands typically used for commercial DVB-S broadcast. These components of the system are enclosed in the dashed box in Fig. 4. Figure 5 below shows the footprint coverage area of the IS-9 satellite over the Americas and the minimum antenna diameter needed (yellow: 2.4 m, green: larger). The GEONETCast Americas service is currently being configured and tested by NOAA and is broadcasting an initial set of products for demonstration purposes. GEONETCast Americas is a near-real-time dissemination system. This means that once data or information products arrive at the data hub they are turned around and rebroadcast in a timely manner. No near-real-time dissemination guarantees are implied for products that are late in arriving at the data hub from the data providers due to circumstances beyond the control of NOAA or the GEONETCast Americas system. Data providers may contribute any approved data or information products accepting the dissemination timeliness of the system.

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Fig. 5 Intelsat-9 satellite coverage area and minimum antenna size required to receive the broadcast

Receiver Stations The satellite broadcast is received on the ground by relatively low-cost user receiver stations with commercial off-the-shelf components to the maximum extent possible to minimize user costs. These stations will include an appropriately-sized dish antenna (2.4 m or larger, see Fig. 5) and a standard personal computer and hardware and software components necessary to decode the incoming satellite signal and create the data files on the station’s hard disk. See Fig. 6. These components include a standard commercial Digital Video Broadcast-Satellite (DVB-S) receiver box and client datacasting software. The client software for the Americas service is produced by KenCast Inc. and is available from them directly. Standards and specifications for these components have been developed and published by NOAA on the GEONETCast Americas web page (http://geonetcastamericas.noaa.gov) for use by potential users and commercial vendors, and a suggested reference implementation of hardware and software will be implemented by NOAA for service demonstration, monitoring, and validation purposes. However the purchase and operation of the receiver station are the responsibility of the user and not the GEONETCast project or NOAA. Required receiver station hardware, software and instructions will be available from commercial vendors to decode the signal, select the data types of interest to the user, translate the signal into data files in their original format, and

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Fig. 6 Components of a typical GEONETCast Americas receiver station

distribute the incoming data products into appropriate product category folders on the receiver station. These receive station components are intended to be relatively affordable with a projected cost of approximately $2000–2500 with the antenna probably being the largest cost at roughly $1500. The commercial DVB receiver boxes cost approximately $80–200. It is recommended that the receiver station’s personal computer be dedicated to receiving data to eliminate potential loss of data that might occur if the user is running other highly intensive processing applications concurrently. Further software processing of the received data, including data decompression, decoding, archive, and other value-added user processing and analyses, is best performed on external computers, which may be networked to the receiver station, again to prevent loss of incoming data. This additional software is not a part of the GEONETCast Americas system and is the responsibility of the users in cooperation with commercial vendors or other service organizations.

GEONETCast Global Interoperability Each of the regional GEONETCast systems, including NOAA’s GEONETCast Americas service in the Americas, EUMETSAT’s EUMETCast in Europe and Africa, and CMA’s FengYunCast in the Asia-Pacific region, will be interoperable with each other. Although each system may have unique system architecture characteristics, they will all be able to exchange data files in both directions in a manner that is transparent to the user. For example, data files originating in China or Africa or Europe will be received by GEONETCast Americas for broadcast as needed by users in the Americas, and similarly data files originating in the Americas will be sent to these other regional systems for broadcast in their regions (Fig. 7).

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Fig. 7 GEONETCast global data exchange within and across regional boundaries

EUMETSAT’s EUMETCast data dissemination system, which is their regional contribution to the GEONETCast system, actually predated the development of GEONETCast, and many of the design concepts ultimately utilized by the new global GEONETCast system originated in the early 2000s from the EUMETCast model, including the use of DVB-S technology on commercial satellites as a means to distribute real-time environmental data. Once EUMETSAT developed and demonstrated the benefits of such a DVB-S-based system compared to existing legacy dissemination systems, the wider meteorological satellite community, led by the World Meteorological Organization, then began promoting this concept globally as a standard for broadcast of meteorological satellite data. It was called the Integrated Global Data Dissemination System (IGDDS). Then the GEONETCast concept for distribution of a much more diverse selection of environmental data (beyond just meteorological satellite data) naturally followed and was developed and implemented by the international GEONETCast Implementation Group in direct support of the GEOSS concepts for globally linking environmental data management systems to maximize international societal benefits. The EUMETCast system uses several commercial satellites and transponders to cover their region of Europe and Africa as shown previously in Fig. 2. Additional details can be found at http://www.eumetsat.int/Home/Main/What We Do/ EUMETCast/System Description/index.htm. They are using Ku-band and C-band frequencies with several satellite footprints. Unique sets of data are broadcast over each footprint based on regional user needs. The commercial multicasting software used by EUMETCast at their teleport and in their receive stations differs from that used by the U.S. and China in their respective systems. Therefore, even though the regional systems are globally linked, one could not transport a EUMETCast receive station to the Americas or AsiaPacific region and expect it to work, and vice-versa. Users must purchase a receive station that is configured for the broadcast in their particular region of the world. Regardless, the receive station costs are very similar between systems and relatively inexpensive. The advantage of this for the GEONETCast Implementation

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Group is that, while the regional systems are linked in terms of data exchange, they remain loosely connected from a system architecture perspective which permits flexibility of regional implementation approaches to meet regional needs or constraints. CMA’s contribution to GEONETCast is called FengYunCast and was deployed in 2007. Similar to EUMETSAT, they started out with an IGDDS focus on distribution of their Chinese meteorological satellite data to users but have since expanded to include a broader set of environmental data from other environmental disciplines as well. As a result, FengYunCast also became CMA’s contribution to GEONETCast for the Asia-Pacific region. One of the requirements of deploying a GEONETCast system that goes beyond an IGDDS is that the system accommodates all types of environmental data from as many of the nine societal benefit areas as possible. FengYunCast started out initially using Ku-band but has now switched to C-band frequencies that have the advantage of a larger footprint coverage area than Ku-band in general. There are two possible approaches to implement the global data exchange between these regional systems, either through exchange by satellite telecommunication methods (assuming there are overlapping satellite footprints extending across regional boundaries) or through terrestrial communication lines (Fig. 8). It is not expected, however, that all data from a given region will be distributed to the other regions as this has resource impacts on each system (e.g., availability of limited satellite transponder bandwidth to carry all extra-regional data). Therefore there will need to be a coordination mechanism established to determine what products are required to cross regional system boundaries and what are their priorities for broadcast so that sufficient bandwidth is acquired and allocated to carry as many products as is affordable, particularly the highest priority products.

Fig. 8 GEONETCast Americas (GNC-A) data flow to and from the Americas

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Summary GEONETCast Americas is an environmental data dissemination system that uses commercial communications satellites for broadcasting information direct to users over the Americas. It is a regional implementation of a global integrated GEONETCast system which is a component of the Global Earth Observation System of Systems. The objective is to enable increased availability and utilization of environmental information across the globe and to foster improved communication and decision making for diverse societal benefits. One of the driving forces is to increase access to environmental information through a relatively inexpensive delivery system based on modern commercial telecommunication technology so that user’s costs are kept low. As the U.S./NOAA completed the service implementation in early 2008, this vision can begin to be realized in the Americas and beyond through collaboration among all the GEONETCast Americas partners. These partners are encouraged to contact us now to participate either as data providers or end users.

References CENR/IWGEO, 2005: Strategic Plan for the U.S. Integrated Earth Observation System, National Science and Technology Council Committee on Environmental and Natural Resources, Washington, D.C. [Available from CENR Executive Secretariat, 1401 Constitution Ave. NW, Washington, DC 20230 or at http://www.ostp.gov]. GEO Secretariat, 2007: The First 100 Steps to GEOSS, Edited by GEO Secretariat, 212 pages. Available at http://www.earthobservations.org. GEO, 2007: The Full Picture, Edited by GEO Secretariat, Tudor Rose Publishers, 143 pages. Available at http://www.earthobservations.org.

Space Technology for Disaster Monitoring, Mitigation and Damage Assessment ´ Gonzalo, Gonzalo Mart´ın-de-Mercado and Fernando Valcarce Jesus

Although sometimes eclipsed by the tremendous expansion of the space communication and navigation applications, space remote sensing is a continuously emerging technology providing valuable help to decision-makers in local, regional and global scale. At very early stages, complex general purpose satellites allowed for rough weather predictions and terrestrial mapping, involving huge computers for data processing and ineffective storage media. The advances in remote sensing payloads quickly follow that of the rest of space technologies to the point that today a considerable number of remote sensing satellites exist, from the multi-purpose, highprecision, scientific, global missions to the small, dedicated, local-oriented ones. As an example, ESA-ENVISAT is an 8-Tm satellite embarking 10 high quality sensors for scientific purposes whereas SSTL provides 300-kg satellites for the remote sensing data provision to town or small country administrations. In this scenario, applications demanding quick and effective response, using timely available geographical or atmospheric information, have incorporated the new techniques and data sources very quickly. Among those, the management of disasters is one of the priorities for administrations and taxpayers. The different types of disasters, the number of final users and the variety of their requirements imposes great care in the definition of the space systems, that are often the bottleneck for the consecution of the final goals. For most of the services, current space assets may lead to satisfactory results if a dedicated processing chain and data distribution network is setup; for others, new satellites may be necessary. In the present chapter an overall view of the use of remote sensing data in emergency management is provided. Multiple classifications of users, types of disaster and their phases, from prevention to damage assessment, covering prediction, detection and crisis management, will allow the lector to understand the key difficulties present in the definition of services from current space systems and the definition of new ones.

J. Gonzalo (B) University of Le´on, Le´on, Spain e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 13,

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For the sake of clarity, real examples will be given, customising the general results for the particular case of forest fire management, both from and engineering and final user points of view.

Introduction to Management of Disasters In the last years, natural and man-made disasters have become one of the main concerns for Administrations. Human causalities and large economical and ecological losses often come along with earthquakes, wildland fires, oil spills and the rest of unmitigated events so-called disasters. Lately, human efforts measure up to the problem. Risk areas often provide dedicated bodies to prevent and alert, to quickly actuate and eventually to recover from the noxious effects. Space remote sensing, as a global, accurate and available tool, is helping civil protection decision makers for the last decades. At the beginning, the resources, procedures and dissemination channels were local and much focused on the particular problem of the region. The main space agencies all over the world developed remote sensing systems. The American NOAA as the precursor and the new European GMES (together between ESA and European Commission) with modern satellites under construction can be good representatives of this scenario. However, it was quickly understood that the nature of the issue is global, the coverage of the satellites is global and the research in each area is of great value for the rest; thus, inter-agency initiatives were established to exploit the synergies among users and applications. Two of these collaborations are remarkable: the International Charter on Cooperation to Achieve the Coordinated Use of Space Facilities in the Event of Natural or Technological Disasters (CHARTER) and the Global Earth Observation System of Systems (GEOSS). The CHARTER, operative from 2000, promotes cooperation between space agencies and space system operators in the use of space facilities as a contribution to the management of crises. The main objectives are to supply data providing a basis for critical information for the anticipation and management of potential crises and to participate, by means of this data and of the information and services resulting from the exploitation of space facilities, in the organisation of emergency assistance or reconstruction and subsequent operations. On the other hand, but fully compatible with the former, the GEOSS represents a worldwide effort to federate disaster management users, air and space data providers, data archives, research groups and communication channels with the single aim to be more efficient in the understanding of the key processes of our planet. In this connection, in the published list of areas of interest for GEOSS outcomes and benefits, the term ‘disaster reduction’ appears in the first position. When considering services based on remote sensing assets, there is no a single classification of natural and man-made disasters, since the order of priority in the different characteristics is not fixed: the user demand, the potential impact and the

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social benefit for risk management ability, the maturity of research and technology, the willingness of potential operators to develop and operate these applications, the added value gained by the dedicated data processing, the programmatic that is required to develop a coordinated actions with other parallel applications, the availability of past data, among others. As a reference, the following list of areas of remote sensing application is provided:

r r r r r r r r r

Windstorms: risk mapping and awareness, early warning and forecasting Floods: medium-range plain flood early warning and forecasting, short-range plain flood forecasting, very short range flash flood forecasting Forest fires: fuel parameters monitoring, high resolution fire risk anticipation, winter fires risk index, hot-spot monitoring, fire-line monitoring, fire propagation tools, fire damage and severity assessment Earthquakes: activity prevention and alert, earthquake monitoring and damage evaluation Volcanoes: volcano activity prevention, volcanic monitoring and damage evaluation Landslides: monitoring of deep-seated, slow-moving landslides, prediction of shallow rapid slope movements Oil spills: quick and continuous monitoring, propagation tools, impact measurements Man-made: industrial accident management support Others: general services, assets mapping, rapid mapping (including international Charter), damages and disaster intensity assessments

Along this chapter, forest fires will be taken as reference example of remote sensing techniques for disaster management. The Fire Services proposed are aimed to support all the phases involving the fire events: prevention (fuel parameters mapping and fire risk index), early warning and crisis (fire monitoring and propagation forecast) and post-crisis (fire damage assessment).

Some History on Space Based Fire-Fighting Space-based Earth observation technologies, whilst being a fundamental pillar in some fields, such as meteorology, is far from being fully exploited in other areas, for example under crisis situations, where the availability of this kind of data in real time can provide a major advantage in emergency management. It has to be noted that in these particular case, the later the information is supplied, the less useful it becomes. Forest fire emergencies are possibly one of the best candidates in the civil and environment protection fields to develop Earth observation applications: small forest fires can be detected and observed from space using infrared sensors, much better

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Fig. 1 The precursor: the AVHRR instrument (courtesy of NASA)

than other emergency situations and with better observation geometry than terrestrial observers. Space remote sensing applied to forest fires was just an idea until the advent of the first Advanced Very High Resolution Radiometer (AVHRR) instrument, on board the TIROS-N and NOAA-6 satellites (launched in 1978 and 1979 respectively). Through the data acquired, it was demonstrated that it was possible not only to locate, but also to analyse physical parameters of different heath sources. However, the nature of the activity done through these forerunner instruments was more scientific and informative than operational; potential users found it interesting, and somehow, useful for some off-line activities. In the mid-90’s of the last century, the first operational system for forest-fire detection and monitoring was proposed, called FUEGO programme. The idea behind it was to build a constellation of 12 small satellites able to provide high-spatial resolution data every 25 min over a regular basis, covering the temperate forests around the world. The programme was adopted by the European Space Agency, ESA, that funded several studies and prototypes. In 2003, due to the apparition of new infrared sources and the improvement of the technology, funds were moved to demonstration initiatives that can justify the necessity of building such a system. These demonstrations were successful and still operational nowadays. In 2001, the German Aerospace Centre (DLR) launched the BI-spectral Infrared Detection micro-satellite (BIRD), equipped with a payload similar to the one proposed for the FUEGO programme satellites. ESA helped to exploit the capabilities of this micro-satellite as a demonstration concept of the FUEGO constellation, and to see if the detection capabilities cope with requirements expected by the final users. The experience was remarkable, consolidating the capability of space technology to provide a fire inventory service as well as early detection features (during demonstrations, even fires unnoticed by forest fire-fighting services were reported). However, the lack of temporal resolution was considered as a major drawback by end-users. In parallel to the space-segment development and test, ESA started the Realtime EMergency via SATellite (REMSAT) programme, oriented to the provision of remote sensing, communication and navigation services taking advantage of the space technology for emergencies.

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Fig. 2 Artistic representation of the FUEGO constellation

The development of the programme in Spain (named RemFIRESat) was oriented to fire crisis situations. A whole network based on Commercial Off-the-Shelf (COTS) hardware and managed by a dedicated Geographical Information System (GIS) software was deployed in several forest-fire fighting centres, including a mobile unit, to take advantage of all space capabilities even in the fire front. Remote sensing services were supported by means of a special node inside the network called External Data Gateway (EDG), capable of processing data coming from different sources, either in real-time conditions and off-line. The products generated covered all phases of forest fire emergencies, from fire risk analysis to damage assessment.

Fig. 3 BIRD micro-satellite and hot-spot map 30-May-2003 (courtesy of DLR and INSA)

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Fig. 4 Mobile and portable units of REMSAT

Navigation features were provided through the Global Positioning System (GPS). The information was transmitted by means of ORBCOMM devices to the management centres, where they were analysed in deep. Communication features consisted in satellite voice links with GLOBALSTAR and THURAYA, while data transmission was provided through GLOBALSTAR, ORBCOMM, and Internet satellite links.

Remote Sensing Satellites for Fire Fighting Applications The major drawback of satellite Earth observation technology is the lack of re-visit time, especially for crisis situations, when the availability of data in real-time is critical. Up to today, the satellites used for fire detection and monitoring were all low-Earth orbit satellites, providing few images of a specific region a day, being the number of these satellites not enough to cope with the requirements of a fire management service; however, with the advent of the new generation of geo-stationary Earth observation satellites, the strategy to provide data to the fire services may change. The first geo-stationary satellite to be considered is the METEOSAT Second Generation (MSG), launched in August 2002. The MSG satellite is equipped with the Spinning Enhanced Visible & InfraRed Imager (SEVIRI) instrument that, among other capabilities, is able to provide data of the Earth every 15 min with a resolution between 9 and 16 km2 , depending on the site of interest. SEVIRI has infrared channels that can be used to determine the presence of fire and to estimate somehow fire-related parameters thanks to their Short-Wave Infrared (SWIR), Medium Infrared (MIR) and Thermal Infrared (TIR) channels. Being the spatial resolution not the most appropriate for emergency situations, the frequent acquisition together with an analysis of differences can report small changes on the surface of the Earth, for example, forest fires. An example of fire detected with SEVIRI is shown in Fig. 5.

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Fig. 5 MSG and SEVIRI products (RGB and MIR channels)

The only way to cope with the spatial resolution today is with the utilisation of low Earth orbit satellites. Of all the infrared sensors available now, one of paramount importance in fire applications is the Moderate-resolution Imaging Spectro-radiometer (MODIS), a payload developed by NASA, onboard the TERRA and AQUA satellites. These satellites provide data two times a day, and the resolutions on ground are between 250 m and 1 km. MODIS provide information in 36 different spectral bands, and thanks to its MIR and TIR channels, it is possible to detect and to provide precise parameters associated to a fire. MODIS system has been largely tested and its efficiency demonstrated either for forest fire detection and characterisation, providing medium-range resolutions largely appreciated by a wide community of users. The major inconvenience, again, is the few number of daily acquisitions allowed, insufficient to meet the requirements of an operational service. Interesting data fusion techniques allow the combination of the information of both MODIS and SEVIRI sensors, so that it is possible to provide a near-operational service. A high re-visit time using SEVIRI data, and a fine tuning using MODIS. The proposed solution requires not only to receive images from both sensors in realtime, but to improve fire detection algorithms as well, adapting to the capabilities of each sensor to obtain the maximum performance.

Services for Disaster Detection and Mitigation Two important products can help decision-makers with the management of running fires. First the hotspot realtime map. Second, the realtime fireline map. The qualification ‘realtime’ corresponds to the need of having fresh information compatible with the reaction time, that is often different in the two cases. During the detection phase, the position of a new small fire outbreak is unknown. The area of interest must be scanned for anomalous hot spots. A hotspot, by nature, is conspicuous in an infrared image. However, given the physics behind infrared imaging and the undefinition of the position, the required large map is often incompatible with a high resolution per pixel. At this point, data processing must be able to separate false alarms from real suspicious hotspots.

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With respect to the monitoring of the fire-line, image saturation can be a major problem. Most of the infrared instruments onboard current satellites are not specifically designed to deal with the huge amount of energy emitted by a wildfire. Exposure time programming and reduction of the resolution are some of the techniques that can be applied if available. When fires are large, short wave infrared can avoid saturation.

Data Sources As mentioned, the use of NOAA-AVHRR sensor, with high time resolution and convenient spectral characteristic, initiated the era of space based products for fire fighting. The low spatial resolution led to the development of ingenious algorithms (Dozier, 1981) to extract sub-pixel information thanks to the data from different spectral bands; it is then possible to determine the size and temperature of a small hot spot as small as 1/1000 of the pixel surface. Currently, revisions and expansions of these procedures (Li et al., 1999) are being applied. Other low resolution sensors have been used to monitor fire activity at global scale. Such is the case of European sensor Advanced Along Track Scanning Radiometer (ATSR), able to yearly generate the World Fire Atlas (Arino et al., 1999), validated in Mediterranean regions and China. The new version of the sensor, onboard ENVISAT, allows the continuation of the task. But the arrival of MODIS was a quantum leap. Up to 36 spectral bands, improved resolution, 12 bit quantisation, high infrared saturation level and in general, fire products considered during design time (Kaufman & Justice, 1998) made it the most advanced sensor for fire monitoring ever. MODIS infrared performance is astonishing: 03 K error over a top of scale of 500 K. besides, MODIS is available onboard TERRA and AQUA, with data broadcast in real time as it is acquired. Another important source of infrared data for fire mapping was the Bi-spectral Infrared Detection Satellite (BIRD) developed and operated by the German Institute of Space Sensor Technology and Planetary Exploration (DLR) (Bries et al., 2003). This satellite, prototype of future fire-fighting constellations, provided a sensor dedicated to the monitoring of hot-spots: two spectral bands (MIR and TIR) with an excellent resolution of 190 m/pixel and a saturation level around 1000 K in the 4 ␮m spectral region. BIRD, and its experimental mission, finished by 2004, establishing an unquestionable reference for the sensors dedicated to wildfires. Other polar platforms that have been notorious in fire monitoring efforts are the Defence Meteorological Satellite Program (DMSP), Operational Linescan System (OLS) and the Advanced Earth Observing Satellite (ADEOS). In all these, although the radiometric necessities of detection were fulfilled, the main obstacle was the time resolution, requested to provide the adequate calibration campaigns and preoperational services. The fire monitoring from geostationary satellites has been and extension of their primary meteorological use. The Geostationary Operational Environmental Satellite (GOES) has been the reference for the worldwide monitoring of fires, running the

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Geostationary Wildfire Automated Biomass Burning Algorithm (WF ABBA) for the west hemisphere in real time with a resolution of 30 min (Prins and Menzel, 1992). The European Meteosat Second Generation (MSG), situated at Greenwich meridian, provides an excellent thermal product every 15 min (Spinning Enhanced Visible and Infrared Imager, SEVIRI). Although the resolution is still rough, 3 km at nadir, multi-temporal data processing provides valuable information on fire evolution. The Japanese Multifunctional Transport Satellite (MTSAT), situated 140◦ E, completes the scenario, although with slightly worse performance than the previous.

Processing for Products A generic data flow for the resolution of fire-lines and hot spots, false alarms and other features interesting for the mitigation of during the crisis can be the following: – Data reception – Front-End Processing – De-packet/de-multiplexing – De-compression – – – – –

Medium infrared (WMIR) data processing Level 1A Thermal infrared (TIR) data processing Level 1A Visible (VIS) data processing Level 1A Near infrared (NIR) data processing Level 1A Detection Product Processing Level 1A – Geometric correction and de-staggered – Radiometric calibration – Preliminary Hot spot detection

– – – – – –

Level 1B image generation [optional] Brightness Temperature Cloud Classification and Masking Surface Radiation/Reflectance De-correlated Scenes Fire detection and Monitoring Product Processing – – – – –

Fine geo-location Hot spot detection Mask of known alarms Mask of sun glints Fire-line extraction

– Consolidated Products for the Historical Database

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The historical database plays an important role in the data process. The benefits of the frequent revisit are fully exploited. The results (final and partial) of the processing, the user inputs and the relevant external data need to be stored for algorithm optimisation and future playback. In a reverse manner, the algorithm can use data from the historical database to avoid known alarms and to improve its performance. Following the standard nomenclature for remote sensing products, but always considering that the image is not the primary output of the system but an interim step to detect the presence of a fire and its shape, the scheme of Fig. 6 identifies the contents of the different products generated along the processing chain. (The products that are not essential are marked in discontinuous line).

LEVEL 0 Level-0 Data Set Raw Data in a continuous stream of packets embedding payload and spacecraft data. Synchronisation of packets from different satellite sources is not assumed.

Level-0A Data Set Five blocks (cameras + telemetry) of Raw Data after de-packetising and de-mux the Level-0 stream. Part of the satellite telemetry can be added in the headers.

LEVEL 1 Level-1A Data Set Level-0A is complemented with the radiometric and geometric correction coefficients. De-staggering process.

Rapid Fire Detection Product Rapid detection algorithm applied. Hot spot geo-location, fire surrounding cutting and resample.

Level-1B Data Set Level-1A is projected onto the map and the radiometric and geometric coefficients applied. The image is re-sampled.

LEVEL 2 Brightness Temperature

De-correlated Scenes

Brightness temperature at TIR sensor entrance (and also WMIR sensor during night).

Generation of inter-channel correlation parameters. Parallax correction if needed. Data re-sorted and decorrelation parameters calculated

Surface Radiation/Reflectance For VIS, NIR and WMIR cloud free pixels, atmospheric corrections applied, TOA estimations included. For TIR, only surface radiation is obtained

Precise Geo-located Scenes Consolidation of geometric corrections (system and decorrelation) Digital terrain model, ephemerids and GIS. Scene re-sampled.

Cloud Masking Multi-step Cloud detection algorithms applied (with and without surface radiation calculations)

Fire Detection Product Fine detection algorithm applied to Fire Detection Product 1A. Sub-products are obtained during the process.

Fig. 6 Summary of products for Detection and Monitoring

Space Technology for Disaster Monitoring, Mitigation and Damage Assessment Level-0 Data Set

Level-0A Data Set

De-packetising De-compression

Compression for archive

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Archive

Radiometric and Geometric coeff. De-stagger User mask

Level-1A Data Set

Inter-band Geometry

Pre-processed Fire Detection

Thresholding Scene cutting

Static calibration

Rapid Cloud cover

Map selection and re-sample

Level-1B Data Set

Rapid Sun/ Atmosphere

NDVI Map

Brightness Temperature

Cloud analysis

Cloud Masking

Atm. Model Emmisivity/ reflectance separation

Surface radiation

Correlated scenes

Correlation Parallax error

Quality control Scene Enlargement

DTM GCP identify.

Precise Geo-location

Fire Detection & Monitoring

Vegetated area

Consolidation

DISPLAY Post-process

Known scene features

Historical Database

Sun glint Rejection

Hot Spot Identification

For algorithm usage

Fig. 7 Scheme of data flow for Detection and Monitoring products

Although a sequential process could be envisaged, the need of real time data delivery required a more powerful mechanism. An iterative process (Fig. 7) combined to multi-level algorithms would allow a progressive process where both the surface covered and the detail of the process are improved in successive iterations. This is in line with the requirement of having a real time alarm and fire-line representation for rapid movement of the resources and posterior refinements to inform the crews once they are in the way.

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Example of Validation Campaign The Spanish Ministry of Environment, by means of the Direcci´on General para la Biodiversidad (DGB), has been requesting from 2004 the provision of near real-time fir products using space data, as well as other sources of useful information. The data reception centre, located in Valladolid, Spain, was prepared to receive data from TERRA-MODIS, AQUA-MODIS and MSG-SEVIRI. The images received and stored were made available to the processors to automatically start the generation of fire products. Table 1 Images received from MODIS and SEVIRI Satellite

Images per day

Delay (min)

TERRA AQUA MSG

2–4 2–4 96 (every 15 min)

12 (download) 12 (download) 15 (EUMETCast)

The whole process, including all the steps explained in former paragraphs, is finished in approximately 25 min in the case of MODIS, and 15 min in the case of SEVIRI. Apart from these real-time products, other remote sensing products, like risk index maps, cloud coverage or burned area estimations, are obtained by means of additional processors, also connected to the data acquisition servers.

Fig. 8 GUI for real-time hot spot mapping

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Table 2 Products delivered and times achieved Product

Delivery Time

Number of products per day

Fire risk Hot spot Fire line (medium resolution) Cloud coverage Burned area

1 h – 1:30 h < 30 min < 30 min < 30 min 2 days

2 100–104 4–8 40–60 As demanded

Then, the dissemination network allows all authenticated users to display and manage the information. A decision support system (Fig. 8) provides the necessary elements to calculate statistics, to manage archives and to generate value added information that can also be transferred to colleagues or press. As a matter of example, the data in Tables 2 and 3, taken during the whole 2005 campaign in Spain, are provided. Users validated the figures, confirming more than 95% of the hotspots and reporting less than 0.5% of skipped fires (very short fire outbreaks that maybe were not active at the pass of MODIS). Table 3 Number of products delivered in 2005 Product

Number of products during the campaign

Fire risk Hot spot Fire line (low resolution) Cloud coverage Burned area

484 10,179 871 4,876 21

Services for Damage Assessment Technical Needs The most important post-crisis activity in wildfire management is the assessment of the burned areas and protection of critical resources. Remote sensing by 2007 has already proven its usefulness in this activity, and the number of authorities using space-borne data operationally for assessment of wildfire damage is increasing year after year. The ‘Global Monitoring for Environment and Security’ (GMES) (http://www.gmes.info/) is a European initiative for the implementation of information services dealing with environment and security and represents a concerted effort to bring data and information providers together with users, so they can better understand each other and make environmental and security-related information available to the people who need it through enhanced or new services. Within this initiative that started its consolidation phase in 2003, several civil protections from the main European countries are actively participating in the different projects development. This participation is done in three ways: first defining their real operational requirements in terms of products definition, resolution, accuracy, secondly in terms

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of services delivery, availability and continuously doing a follow up of the projects releasing recommendations related to the project adjustment to the user requirements, and thirdly, progressively integrating the use of remote sensing information within the Fire Fighter users and decision maker operational chain. When speaking about technical needs, the levels of application are two fold:

r

r

Local burned area assessments that is focused on local, regional or even national authorities in charge of fire risk management and land management that are focused which main activities are: prevention to avoid as much as possible fire occurrence, fire attack to extinguish any fire outbreak and fire damage assessment to carry out the task needed for the best vegetation restoration Global Burned area assessment focused on international authorities that require a global understanding of the scale and impact of biomass burning to undertake corrective actions

With respect to regional-local burned area, we distinguish between the rapid mapping of the damage and the systematic provision of burned areas. Rapid damage assessment usually includes information only on the burnt area size, location and type of vegetation affected. The provision of these burnt areas should be as soon as possible after the fire occurrence, typically with only one day delay and resolution better than 30 m. To fulfil these requirements, since there are no dedicated constellations of satellites dedicated to fire monitoring, the best solution is found in the co-scheduling of satellites acquisition such as Spot 5 together with the use of other satellites available such as LANDSAT; one example is the CHARTER initiative for the quick provision of data for emergencies. With respect to the spectral requirements, the discrimination of burnt areas requires the availability of spectral information in the RED and NIR bands, generally available in the EO satellites we mentioned before. Other examples are The ITALSCAR project as well, inserted in the frame of ESA Data User Program, was aimed to generate reference Burn Scars Maps (BSM) and the associated catalogue, based on the use of historical Remote Sensing data from European Earth Observation (EO) satellite missions, for supporting the operational Fire Disaster management over Italy at national and at regional level. The systematic provision of burnt areas is delivered every specific period of time (i.e. every 15 days, every month) or just once after the fire campaign. This service includes information such as severity of burnt, potential vegetation regeneration, and soil erosion. Sensors used are from high (IRS AWIFS) to medium resolution (TERRA/AQUA MODIS), (Valcarce et al., 2006). For the discrimination of the level of damage caused to the vegetation inside the fire perimeter, the SWIR data is required with the advantage that provided the capability to see through some light smoke and haze (CEOS report). One example is this systematic provision is the EFFIS:European Forest Fire Information System. The European Commission DG Joint Research Centre set up since 1999 a research group to work specifically on the development and implementation of advanced methods for the evaluation of forest fire risk and mapping of burnt areas at the European scale. These activities led to the development of the European Forest Fire

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Information System (EFFIS). Since the year 2003, EFFIS is aimed to provide relevant information for the protection of forests against fire in Europe addressing both pre-fire and post-fire conditions. On the post-fire phase, EFFIS is focused on the estimation of annual damage caused by forest fires in southern EU. All burned areas larger than 50 ha, which account for around 75% of the total area burnt in southern Europe are mapped every year using satellite imagery. The first cartography of forest fire damages in southern EU was produced on year 2000 and continued for the subsequent years. Wide Field of View Sensor (WIFS) on board Indian Remote Sensing Satellite (IRS) provides the satellite imagery used. This type of satellite imagery presents a spatial resolution of 180 m that permits detailed mapping of fires of at least 50 ha. The validation of the burned area maps has been made using high resolution satellite images (Landsat TM/ETM) presenting an overall accuracy in the order of 92%. Additionally, as from 2003 a new activity for rapid assessment of forest fire damage has been developed in order to map all the fires larger than 100 ha twice during the fire season: at the beginning of August and at the beginning of October (EFFIS – Rapid Damage Assessment). Analysing MODIS daily images at 250 m spatial resolution carries out this system. The outcome of research topics on forest fires currently investigated at the JRC will be implemented in EFFIS in the forthcoming years. These topics are all related to the post-fire phase and refer to forest fire atmospheric emissions, vegetation regeneration, and post-fire risk analysis. Regarding global burned area assessment, some examples of the users interested are: Global Change Research; public health officials, concerned ministries and departments of tourism, IGBP. The information that has to be provided is the total burnt area, the intensity of burnt and the vegetation and fuel type. In this case, resolution of data is not that critical and the global coverage in the main requirement. To achieve this, there is a need to develop an international agreement to improve access to timely and affordable data for the fire management community. Some initiatives are on going such as that from the Fire Implementation Team of the Global Terrestrial Observing System panel on Global Observation of Forest Cover and Land Cover Dynamics (GOFC/GOLD) which are making right steps in the use of the available GEO meteorological satellites for the estimation of the global burnt areas and carbon emissions. There are other several services attempting to obtain systematic maps of burned areas worldwide. the most well-known are: the GLOBSCAR project launched by the European Space Agency to analyse a time series of imagery provided by the Along Track Scanning Radiometer (ATSR) onboard the ERS-2 satellite, at global level for the year 2000 (ESA/ESRIN 2002). The Global Burnt Area – 2000 (GBA 2000) initiative has been launched by the Global Vegetation Monitoring (GVM) Unit of the Joint Research Centre (JRC) in partnership with several institutions around the world. The specific objectives are to produce a map of the areas burnt globally in the year 2000, using the medium spatial resolution satellite imagery provided by the SPOT-VEGETATION system and to derive, from this map, statistics of area burnt per country, per month, and

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per main type of vegetation cover. We have to mention also the MODIS Burned products, which is still a prototype.

Data Sources In Europe, space borne remote sensing data have only been used for mapping burnt forest areas at local or national level, being of limited use to map burnt areas at the European Union level. This is due to the difficulty of assembling a complete mosaic of high-resolution satellite images, such as Landsat or SPOT, to cover all these countries immediately after the end of the fire season. The higher spatial resolution of these systems is balanced by a decrease in other data sensitive parameters, such as the swath width, that leads to a decrease in temporal resolution. Alternatively, medium-resolution satellite images have been used to map the burnt areas in Southern European Union countries (Portugal, Spain, France, Italy, and Greece). This has been accomplished using the 188 m spatial resolution Wide Field Sensor (WiFS), on board the Indian Remote Sensing (IRS) satellites (Barbosa et al. 2002). Although WiFS has been successfully used to map burnt areas larger than 50 ha, it lacks information on the short-wave infrared (SWIR) part of the spectra. While the red and near infrared (NIR) bands are useful to detect burnt areas, some authors have suggested that the shortwave infrared bands can be an additional important input in order to accurately map burnt areas. Thus, the new mission of Indian Remote Sensing Satellites (IRS), called Resourcesat-1, provided enhanced imaging services. Resourcesat-1 carries three imaging sensors—a moderate resolution camera Advanced Wide Field Sensor (AWiFS), a moderate resolution Linear Imaging Self Scanning—III device (LISS-III) and a high resolution Linear Imaging Self Scanning—IV device (LISS-IV). The satellite in orbit provides for LISS-III basic repetitively of 24 days and AWIFS camera has a repetitively of 5 days. AWiFS camera provides enhanced capabilities over the WiFS in terms of spatial resolution (60 m and 180 m, respectively) and has four bands in coverage—red, green, near-IR and shortwave IR. All the four bands have 10 bit quantization. AWiFS images given the large area covered, good spectral resolution and high frequency of passing could be effectively used in regional and national scales analysis and are clearly an advantage against other type of images, especially where cloud cover is a critical factor in the image availability. Other medium resolution images are provided by the Medium Resolution Imaging Spectrometer (MERIS) on board ENVISAT satellite. MERIS is a 68, 5◦ field-ofview push broom imaging spectrometer that measures the solar radiation reflected by the Earth at a ground spatial resolution of 300 m in 15 spectral bands in the visible and near infrared. Because of its fine spectral and moderate spatial resolution and three-day repeat cycle, MERIS is a potentially valuable sensor for the measurement and monitoring of terrestrial environments at regional to global scales. MERIS has two product levels and two product resolutions. (Chuvieco 2005). For the assessment of global impact of burned areas, SEVIRI instrument on board the GEO meteorological satellite METEOSAT Second Generation allows the

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estimation of the Fire Radiative Energy (FRE) released by the fire. This information together with the fuel type consumed results in the estimation of the carbon emission caused by wildfires.

Processing for Products Methods for Mapping Burned Areas The restoration and protection of burnt areas originated by wildfires requires from a accurate mapping and location. Experts propose a wide set of techniques for mapping the burned areas (Justice et al. 2002, Gr´egoire et al. 2003), going from single channel threshold algorithm application to other more complex such as spectral mixture analysis and neural networks. The methodologies used in the evaluation of burned areas depend on the temporal, spatial and spectral resolution of available images (V´azquez et al. 2001). Spectral Values and Derived Indexes The burnt areas can be enhanced combining spectral bands in different ways (NDVI, BAI, PCA . . .). Each index, although subjected to specific limitations, is able to outline peculiar characteristics of the burnt areas and can consequently be exploited in classification techniques using thresholds or more sophisticated methodologies. Vegetation Indices Vegetation indices have been very common tools for burnt area mapping, in both unitemporal and in multitemporal frameworks. When examining the general reflectance curve of vegetation, the deviation observed between the red and near infrared constitutes a variable sensitive to the presence of green vegetation. Vegetation indices take into account the spectral contrast between those two spectral bands to enhance the vegetation signal while minimizing atmospheric, solar irradiance and soil background effects. These vegetation indices have shown to be very suitable for the discrimination of fire-affected areas. As several studies have reported, burnt plants tend to show a higher reflectance than healthy vegetation in the visible part of the spectrum and lower reflectance in the near infrared. But this spectral response causes a great deal of confusion with water, shaded areas and, in some cases, certain conifers (Chuvieco et al. 2002). Note that there are a group of spectral indexes that attempt to reduce soil noise but at the cost of decreasing their dynamic range. These indexes are slightly less sensitive to changes in vegetation cover than NDVI at low levels of vegetation cover and also more sensitive to atmospheric variations than NDVI (Qi et al. 1994). Hereinafter, are listed the most common vegetation indexes used for burned area mapping.

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Fig. 9 Distribution of reflectance values in the red and near-infrared regions are found in the gray shaded area. The greater the amount of photosynthetically active vegetation present, the greater the near infrared reflectance and the lower the red reflectance. (from Jensen, John R. Remote Sensing of the Environment: An Earth Resource Perspective. Prentice-Hall, New Jersey)

The Normalized Difference Vegetation Index (NDVI) The Normalized Difference Vegetation Index was initially proposed by Rouse et al., (1974) and has been extensively used in burned land discrimination (Fern´andez et al. 1997). NDVI =

␳NIR − ␳RED ␳NIR + ␳RED

where ␳NIR and ␳RED are the reflectance values in the near infrared and red bands respectively. The Normalized Difference Infrared Index (NDII) It has been recently proposed to detect water content in vegetation status and it is defined as: NDVI =

␳NIR − ␳SWIR ␳NIR + ␳SWIR

where ␳NIR and ␳SWIR are the reflectance values in the near infrared and shortwave infrared channels respectively (bands 4 and 7 Landsat-TM/ETM). The NDII was first developed by Hunt and Rock (1989).

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The Soil Adjusted Vegetation Index (SAVI) When the vegetation cover has a low density the soil reflectance increases in both the red and infrared channels. This index includes a soil adjustment factor L that ranges from 0, for very high vegetation cover, to 1, for very low vegetation cover: SAVI = (1 + L) ∗

␳NIR − ␳RED ␳NIR + ␳RED + L

where the L term accounts for the differential Red and NIR canopy transmission and (1+L) is a multiplicative factor to maintain the same bounds as NDVI. Huete (1988) has shown that a value L = 0.5 permits the best adjustment. The Generalized Soil-Adjusted Vegetation Index (GESAVI) The GESAVI index as well try to correct for the soil backscatter influence in the spectral response of vegetation. It is defined in terms of the soil line parameters (A and B) as: GESAVI =

␳NIR − B ∗ ␳RED − A ␳RED + Z

where Z (Mart´ınez et al. 2001) is defined as a soil adjustment coefficient and ␳NIR and ␳RED are the reflectance values in the near infrared and red bands respectively. Z depends on the type and vegetation amount being so influenced from the properties of the considered scene. This implies a prior knowledge of the analysed scene.

The Global Environmental Monitoring Index (GEMI) It has been introduced by (Pinty and Verstraete 1992) in order to reduce both the effect of atmosphere and soil: GEMI = η ∗ (1 − 0.25 ∗ η) −

ρ RED − 0.125 1 − ρ RED

where ␩ is defined as:

2 ∗ ρ NIR 2 − ρ RED 2 + 1.5ρ NIR + 0.5ρ RED η= ρ NIR + ρ RED + 0.5 and ␳NIR and ␳RED are the reflectance values in the near infrared and red bands respectively.

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The Burnt Area Index (BAI) This index defined by Mart´ın (1998) as the inverse quadratic distance to the convergence point of the burnt areas: BAI =

(PC R − ρ R

)2

1 + (PC NIR − ρ NIR )2

Where ␳R and ␳NIR are reflectances in the red and near infrared bands and PCR and PCNIR the convergence points for burned areas in these two bands. The convergence reflectances were extracted by previous studies done using AVHRR and confirmed with Landsat-TM. They were estimated as 0.1 reflectance in the red band and 0.06 reflectance in the near infrared band. Moreover, it has been demonstrated that BAI perform much better than NDVI, SAVI, and GEMI for burnt scar detection in different situations and to discriminate healthy vegetation from different levels of burnt vegetation (Mart´ın et al. 2005) However, the BAI index gives potential confusions with other non-vegetated covers, such as water bodies and relief shadows, which also present low reflectance in the red and near infrared bands.

Classification Techniques Photo-Interpretation This is considered the simplest and often the most effective method. The human photo-interpreter generally is able to combine the radiometry of the colour composite images with texture and contest information. Sometimes it is applied together with the Density Slicing that only requires defining a threshold that is then iteratively re-adjusted based on visual interpretation of results. This method is principally used on single images but can also be applied in a multi-temporal procedure relating the three basic guns (red, green and blue) to three different data sets of the same band instead of to three different bands of a single image (Multi-temporal Colour Composite). Consequently colour changes in the colour composition would refer to multi-temporal changes, otherwise pixel of a stable area would be grey (Barbosa et al. 1999). However, the major problem of these methods is that the identification is subjective and manual.

Spectral Mixture Analysis (SMA) The reflectance value at pixel level is the result of a mixture of various subhomogeneous components having different spectral behaviour. This method, also known as Spectral Unmixing, (Adams et al. 1995) assumes that the pixel values, expressed as digital numbers (DNs), are linear combinations of reflectances from a limited set of constituent elements, called end-members.

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This technique has been applied both in multi-temporal and single image approach and it has been considered efficient in detecting the charcoal signal even in light burnt areas that preserved a strong vegetation signal (Caetano et al. 1996).

Single and Multiple Thresholding Although it is not easy to detect burnt areas just defining a single threshold, some authors had good results from thresholding NIR band (Kasischke et al. 1994) or a selected vegetation index (VI, NDVI, etc.). Instead, multiple thresholding is based on establishing a set of consecutive or parallel rules that imply accepting or rejecting any specific pixel (Mart´ın 1994). For example, (Barbosa et al. 1999) compared NDVI with AVHRR channel 2 (0.725– 1.00 ␮m) and other vegetation indexes (GEMI, GEMI3, VI3) for a study area in Portugal, concluding that for Mediterranean land cover types NDVI was the least adequate to map burned surfaces and GEMI3 the best. The problem of using fixed thresholds is related to the fact that reflectances, temperatures and vegetation indexes are dependent on the atmospheric effects as well as on the land cover. Multitemporal thresholds, on the other hand, are based on the variations observed in the different spectral spaces. (Barbosa et al. 1999) by using different sets of AVHRR channels and derived indexes, obtained spectral signatures for burned and unburned surfaces. Indexes making use of channel 2 and channel 3 resulted to be the best in detecting burned areas.

Multi-temporal Analysis One of the most commonly used method to detect burned areas is based on a temporal sequence of spectral-data analysed pixel-by-pixel but taking into account only pixels not affected by clouds, shadow or other perturbing factors. This kind of analysis has resulted to be very effective in the enhancement of burnt area spectral characteristic, especially in quick detection, because the signal shortly after the fire is more unequivocal of fire occurrence than vegetation cover decreasing. Anyway, this type of application requires consistency in illumination conditions (solar angle or radar imaging geometry) to provide reliable and comparable classification results. It depends on calibrated data as well. As a matter of fact, only by relating the image brightness values to physical units, can the images be precisely compared and the nature and degree of the observed changes be determined.

Summary of Classification Techniques In the following Table 4 pros and cons of each technique above mentioned are compared:

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J. Gonzalo et al. Table 4 Pros and cons of the introduced classification techniques

Methodology

Pros

Cons

Photo Interpretation

Very simple; Very effective and accurate on a single image approach but also used in multi-temporal analysis (color composite). Takes into account the whole spectral information Estimation of reflectance pixel fraction relevant to different component (vegetation, soil etc.) Very simple; Simplicity of implementation;

Subjective identification (depends on the photo interpreter); Not automated procedure; Laborious (time).

Spectral Mixture Analysis (SMA)

Single Multiple Thresholding

Time Series Analysis

Reduction of the likelihood of confusion with similar spectral land cover type; Very effective in the enhancement of burnt area spectral characteristic, especially in quick detection;

Auxiliary ground truth data (spectral signature) required Limited application in burnt area mapping

Fixed thresholds do not take into account the reflectances, temperatures and vegetation indexes dependency on the atmospheric effects as well as on the land cover Dependency on calibrated data; Sensitivity to geometrical conditions of illumination and observation; Requires pre-fire images.

Data Delivery and Archive When dealing with international or global applications, where the temporal requirement is not critical, the typical way of delivering the information is through a “Web Mapping Interface”. This is the case for example of EFFIS, where users can see the different products produced, such as different fire risk indices mapping, burn areas over 50 ha from 2000 to 2007 and it is possible to choose different backgrounds: WiFS images, DEM, Land Cover (from CORINE) and fuel map. A EU Fire Database is also included in EFFIS, which contains the forest fire information compiled by some of the EU Member States. The forest fire data are provided each year by individual Member States, checked, stored and managed by JRC within EFFIS. At present the database covers seven Member States of the Union with fire-risk areas: Portugal, Spain, France, Italy and Greece (data available from 1985 to 2001), Germany (1994–2001) and Cyprus (2000–2001). When dealing with operational users, such as the National or Regional authorities that have to make quick decisions based on the information received, customised

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applications based on FTP protocol have to be designed. This is the case of the NOD (Near Operational Demonstration) project funded by ESA where the National Fire Fighting Authority (DGB) and the Regional Authority of Galicia where involved making use of the information provided. A desktop application was developed and installed at user premises. Every time a new Burnt Area product in the area under the authority responsibility is available, the server notifies the application and an automatic download of the product is done. Also a catalogue based on XML tags is available to download any product that was not automatically downloaded in past days. The products are sent in Shape format that has become a de-facto standard and the archive is done based on a tree folder structure classified by days.

Validation Validation is a very important task in order to demonstrate the accuracy of the products provided. In the next example, we present the validation of three different techniques already presented in the processing methods section for two medium resolution sensors such as MERIS and MODIS. Burned areas from AWIFS high resolution image was used to carry out the validation of the results. The confusion matrix shows the calculated Omission and Commission errors (Table 5). It can be observed that MERIS image offers better results than MODIS in terms of commission errors but has a higher omission error, when the spectral angle mapper method was used. In the other hand the results obtained with the indexes calculated from MERIS image are better than the ones from MODIS image.

Fig. 10 Burnt area from a fire occurred in Guadalajara (Spain) for the summer 2005

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J. Gonzalo et al. Table 5 Omission and Commission errors table Meris

SAM BAI GEMI

Modis

Omission

Commission

Omission

Commission

16,77 8.33 13.95

3,06 11.95 4.38

11,4 29.47 9.4

10 22.4 17.19

Globally, the MERIS image offers better results than the MODIS image. The smaller commission error with regard to MODIS results is a very important point to pay attention. The worst results have been found with BAI index in MODIS image.

Conclusion The improvements on space technology, in combination with appropriate strategies, allow the building of real-time services for disaster management and damage assessment. Satellite revisit frequency is, at this very moment, the bottleneck of the whole process. With respect to detection and monitoring of forest fires, MODIS is the reference among all polar platforms whereas SEVIRI is the proof of the value of geostationary infrared data. Both are best exploited when processed together for a combined final product, which can nowadays be offered to the administrations as a pre-operational service. For damage assessment, there is a 30-year history in the development of studies for the applicability of space remote sensing. However, it has not been until the advent of new Earth Observation satellites with enhanced capabilities, the improvement in data availability and dissemination, and the support of large institutions to start initiatives like CHARTER or GMES on major disasters; it is now when the authorities on command can use effectively such an information source. Although the use of the data produced is not fully integrated in the fire fighters procedures, it is increasingly becoming a support tool in their activities, and the interest in this kind of information grows year after year. The cost of all these complex and high quality systems and the growing access to space for medium and small agencies should lead to the development of dedicated systems for disaster management products, i.e. a constellation of small satellites with compact bi-spectral infrared payloads onboard for wildfire fighting, to provide high-frequency non-saturated data at affordable cost.

References Adams, J.B., Sabol, D.E., Kapos, V., Filho, R.A., Roberts, D.A., Smith, M.O., and Gillespie, A.R. (1995), Classification of multispectral images based on fractions of endmembers: application to land-cover change in the Brazilian Amazon. Remote Sensing of Environment; 52:137–54.

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Arino, O., and Rosaz, J.M. (1999), 1997 and 1998 World ATSR FIRE Atlas using ERS-2 ATSR-2 Data, Proceedings of the Joint Fire Science Conference, Boise, 15–17, June 1999. Barbosa, P.M., Gr´egoire, J.-M., and Pereira, J.M.C. (1999), An Algorithm for Extracting Burned Areas from Time Series of AVHRR GAC Data Applied at a Continental Scale, Remote Sensing of Environment, Vol. 13, No. 04, 933–950. Barbosa, P.M., San-Miguel Ayanz, J., Mart´ınez, B., and Schmuck, G. (2002), Burnt area mapping in southern Europe using irs-wifs. In Forest Fire Research & Wildland Fire Safety. Millpress, Rotterdam Briess, K., Jahn, H., Lorenz, E., Oertel, D., Skrbek, W., and Zhukov, B. (2003), Fire recognition potential of the bi-spectral detection (BIRD) satellite, International Journal Remote Sensing, 24, 865–872. Caetano, M.S., Mertes, L., Cadete, L., and Pereira, J.M.C. (1996), Assessment of AVHRR data for characterising burned area and post-fire vegetation recovery. EARSeL Advances in Remote Sensing, 4(4): pp. 124–134. Chuvieco, E., Mart´ın, M.P., and Palacios, A. (2002), Assessment of different spectral indices in the red-near-infrared spectral domain for burned land discrimination. International Journal of Remote Sensing, 23, 5103–5110. Chuvieco, E., De Santis, A. (2005), Fire Damage Assessment Scientific Report, published within EC prevention, information and Early warning project. Dozier, J. (1981), A method for satellite identification of surface temperature fields of subpixel resolution, Remote Sensing of Environment, 11, 221–229. Fern´andez, A., Illera, P., and Casanova, J.L. (1997), Automatic mapping of surfaces affected by forest fires in Spain using AVHRR NDVI composite image data. Remote Sensing of Environment, 60, 153–162. Gr´egoire, J.M., Tansey, K., and Silva, J.M.N. (2003), The GBA2000 initiative: Developing a global burned area database from SPOT-VEGETATION imagery. International Journal of Remote Sensing 24: 1369–1376. Huete, A.R. (1988), A soil-adjusted vegetation index (SAVI). Remote Sensing of Environment, 25, 295–309 Hunt, E.R., and Rock, B.N. (1989), Detection of changes in leaf water content using near and middle-infrared reflectances. Remote Sensing of Environment, 30, 43–54. Justice, C. O et al. (2002) The MODIS fire products. Remote Sensing of Environment, 83, 244– 262. Kasischke E.S., Bourgeau-Chavez L.L. & French N.H. (1994), Observations of variations in ERS-1 SAR image intensity associated with forest fires in Alaska. IEEE Transactions on Geoscience and Remote Sensing, 32(1), January 1994. Kaufman, Y., and Justice, C. (1998), MODIS Fire Products, Algorithm Theoretical Basis Document. MODIS Science Team. EOS ID#2741. Li, Z., Kaufman, Y.K., Ichoku, C., Fraser, R., Trishchenko, A., Giglio, L., Jin, J., and Yu, X. (1999). A review of AVHRR-based active fire detection algorithms: Principles, limitations and recommendations. Forest Fire Monitoring and Mapping: A Component of Global Observation of Forest Cover, Editors: Ahern, Gregoire and Justice, Ispra, Italy, 3–5 November 1999. Mart´ın, M.P. (1998), Cartograf´ıa e inventario de incendios forestales en la Pen´ınsula Ib´erica a partir de im´agenes NOAA-AVHRR. Tesis Doctoral. Universidad de Alcal´a, Alcal´a de Henares. Mart´ın, M.P., G´omez, I., and Chuvieco, E. (2005), Performance of a burned-area index (BAIM) for mapping Mediterranean burned scars from MODIS data. In Proceedings of the 5th International Workshop on Remote Sensing and GIS applications to Forest Fire Management: Fire Effects Assessment. Universidad de Zaragoza, GOFC-GOLD, EARSeL, Paris, pp. 193–198. Mart´ın, M.P., Viedma, O., and Chuvieco, E. (1994), High versus low resolution satellite images to estimate burned areas in large forest fires. Second International Conference on Forest Fire Research, Coimbra, Portugal, II, pp. 653–663. Mart´ınez, B., Gilabert, M.A., Garc´ıa-Haro, F.J., and Meli´a, J. (2001), Optimization of a Vegetation Index (GESAVI) for Operational Applications of Remotely Sensed Data, 8th International

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Remote Sensing and GIS Techniques for Natural Disaster Monitoring Luca Martino, Carlo Ulivieri, Munzer Jahjah and Emanuele Loret

Abstract On 26 Dec 2004, a magnitude 9.0 earthquake occurred off the west coast of northern Sumatra, Indonesia. Over 300,000 people lost their lives in this disaster. Areas near to the epicentre in Indonesia, especially Aceh, were devastated by the earthquake and tsunamis. The work was developed for the post emergency analysis in collaboration with European Space Agency – European Space Research Institute – (ESA-ESRIN) and the University of Rome – Centro Ricerca Progetto San Marco (CRPSM). Multi source and multi sensor data were used such as Synthetic Aperture Radar (SAR) images and, SPOT5,CHRIS/PROBA,QUICKBIRD images; a Geographic Information System (GIS) multi relational database was built and integrated with geophysical, topographic and hazard maps. A geo-statistical analysis was done to calculate the probability of changes. Different change detection algorithms were used. The active and passive remote sensing and GIS integration of the Tsunami affected area of Banda Aceh, were efficient instruments for evaluating and quantifying damages. The applied methodology showed how remote sensing techniques could be adopted for the quasi-real time and the post emergency operations. Keywords SAR · SPOT · GIS · Change detection · Classification · Statistics · Tsunami

Section I: Introduction It is a well known fact that natural disasters strike countries, both developed and developing, causing enormous destruction and creating human suffering and producing a negative impact on national economies. Due to diverse geo-climatic conditions prevalent in different parts of the globe, different types of natural disasters strike according to the vulnerability of the area. There are also less quantifiable, but significant effects such as environmental consequences, psycho-social effects and L. Martino (B) La Sapienza, University of Rome, Piazza di Villa Carpegna 42/B, 00165, Rome, Italy e-mail: [email protected], [email protected] P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 14,

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social dislocations. Currently, earth observation satellite data has played a major role in quickly assessing the damage caused by both natural and man–made disasters. Remote sensing is used for the management of the post emergency in Banda Aceh. This chapter aims to illustrate the application of remote sensing and GIS in a post Tsunami case. The active and passive data are used for the areas of Banda Aceh City and the Andaman islands and then compared. The multi sensor data and the different digital image processing methods used are effective tools in defining the different types of land cover for monitoring and management. The results are the change detection maps for the post emergency management. The integration with the GIS system was able to enhance the result of the change detection algorithm. The objective of using remote sensing data for tsunami disaster monitoring could be grouped into three main categories: – Cartographic mapping with accurate delineation of land and water with satisfactory accuracy. – Assessing changes in the coastal area and in the inland area evidencing the impact of Tsunami on the island through the spatial extent calculation. – Emphasizing how high frequency of the suitable sensor for land cover changes and its large extent acquisition are very useful, particularly for base and damage mapping and for emergency relief logistics, to estimate settlement and structure vulnerability and to point out affected areas.

Section II: Background Section III, provides a brief panorama of disasters; the main causes, the economic impact on society, mainly pointing out the importance of the historical memory of catastrophes to be used as a means of prevention and awareness. Section IV, a description of the study area and the physics of tsunami. After the event in the Indian Ocean, knowledge of tsunamis has been reviewed on the basis of their frequency. The tsunami generational mechanism, theories and new technologies are discussed. The works of B. Lautrup of V.V. Titov and F.I. Gonzalez, A. Papadopulos and F. Imamura have been taken into account. Section V, provides an overview of the Remote Sensing principles and aims to illustrate how the sheer scale of the catastrophe means that Earth Observation is vital both for damage assessment and for co-ordinating emergency activities. The Global Monitoring for Environment and Security (GMES), an initiative of ESA and the European Union, aims to combine Earth and space-based data sources and to develop an integrated form of environmental monitoring to benefit European and world citizens. A department of GMES Services, known as Respond, was founded in 2003 and immediately following the disaster, the International Charter on Space and Major Disasters was activated, prioritising the acquisition of satellite data over the affected region. Three Charter activations were triggered off on the 26th of December 2004 (United Nations Office of Outer Space Affairs (UNOOSA)

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for Indonesia and Thailand, French Civil Protection for Sri Lanka and the Indian Space Research Organisation (ISRO) for India, the Maldives, Andaman and Nicobar Islands). Section VI provides the role and the general impact and benefits of remote sensing on disasters such as Tsunamis. Section VII provides a detailed explanation of the materials and methods of both SAR and Optical data, and is particularly focused on the algorithms used for change detection. Section VIII introduces GIS potentialities and shows how this technology, from the beginning of the post Tsunami emergency, has played a pivotal role in guiding emergency responders to affected areas and, once there, mapping the enormous impact of the event to coordinate the relief effort. Many organizations have benefited from response activities thanks to GIS technologies. The United Nations Office for the Coordination of Humanitarian Affairs (UNOCHA) provided on-the-ground support, guidance for relief workers as well as disseminating information of the event for the international community. The two Humanitarian Information Center (HIC) offices of UNOCHA made extensive use of GIS. Other entities that have used GIS extensively in tsunami response activities, are the United Nations Joint Logistics Center (UNJLC), the Food and Agriculture Organization of the United Nations (FAO), the United Nations Children’s Fund (UNICEF), the United Nations High Commissioner for Refugees, the United Nations World Food Programme, the World Health Organization (WHO). The National Oceanic and Atmospheric Administration (NOAA) was one of the first to publish detailed animations of the tsunami that swept across the Indian Ocean. The U.S. Agency for International Development (USAID) used GIS to estimate the inundated areas of the tsunami. The Pacific Disaster Center (PDC) immediately embarked on several GIS-related activities, including the deployment of a WebGIS. PDC also launched the Indian Ocean Tsunami Response Geospatial Information Service. Section IX shows the study of another case: The Andaman and Nicobar Islands. Section X shows future trends including coastal structures; city planning and prevention systems were briefly discussed and refuted.

Section III: Disasters In the last thousand years, man’s behaviour has significantly modified many natural processes, undermining their secular equilibrium and as a consequence increasing their power. The frequency, strength, and location of hazards such as storms, floods, droughts, earthquakes, volcanic eruptions, wildfires and tsunamis etc. are closely connected to longer periods of global change, whether due to natural variations or human-induced changes. The impact caused by natural hazards are increasing as a result of social changes like urbanization and technological interdependence. A disaster represents a “situation or event, which overwhelms local capacity,

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necessitating a request at national or international level for external assistance; an unforeseen and often sudden event that causes great damage, destruction and human suffering” (Centre for Research on the Epidemiology of Disasters- CRED). Data on disaster occurrence, its effect on people and its cost to countries, are primary inputs to analyse the temporal and geographical trends in disaster impact. Disaster losses, systematically registered in historical databases, provide the basis for identifying where, and to what extent, the potentially negative outcomes embedded in the concept of risk take place. They help to understand where, and to whom, the risk of disaster is most likely providing the basis for risk assessment processes, a departure point for the application of disaster reduction measures (The Swiss Re Sigma 2006, Alexander 1999, Hoyois et al. 2007).

Natural and Man Made Disasters Disasters can be classified in several ways. A possible sub-division of disasters is: (1) natural disasters: when a potential natural hazard becomes a physical event (e.g. volcanic eruption, earthquake, landslide, tsunami) interacting with human activities (Fig. 1). (2) human made/induced disasters: disasters having an element of human intent, negligence, error or those involving the failure of a system. Natural disasters could be split into 3 specific groups (Fig. 1):

r r r

hydro-meteorological disasters: including floods and wave surges, storms, droughts and related disasters (extreme temperatures and forest/scrub fires) and landslides; geophysical disasters: divided into earthquakes, tsunamis and volcanic eruptions; biological disasters: covering epidemics and insect infestations.

Fig. 1 Regional distribution of natural disasters by origin (CRED)

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The Economic Impact of Disasters Natural disasters have a negative impact on society, so they must be measured and understood in human-related terms. In 2005, more than 97,000 people lost their lives due to natural catastrophes or man-made disasters. Still recovering from the tsunami of December 2004, Asia was again hit by a severe natural catastrophe: on 8 October 2005, an earthquake measuring 7.6 on the moment magnitude scale shook the mountain region of Kashmir. More than 73,300 people lost their lives, 72,000 of them in Pakistan and 1,300 on the Indian side. Natural and man-made catastrophes in 2005 caused USD 230 billion of damage to buildings, infrastructure, vehicles, or losses to directly affected businesses (the Swiss Re Sigma, 2006). Hurricane Katrina entailed the highest total damage by far, at USD 135 billion.

Learning from the Past Learning from the past to avoid future recurrence of catastrophic events seems almost impossible. A volcanic event, for example, should be a predictable event that, in any case, provides interpretable warning signals. Nevertheless, the desire to build countries or whole cities on volcanic areas is more powerful than any form of caution. A living example is represented by the uncontrolled urbanization of the slopes of Vesuvius (Naples, It). Over two million people live in the Vesuvius region today, which includes the city of Naples, approximately 15 km from the volcano. Over 700,000 people live within 10 km of the volcano, with populated areas extending up the flanks of Somma-Vesuvius. With detailed historical accounts of explosive volcanic activity over the last two thousand years, and such a high population density close to the volcano, the area has been extensively studied and monitored, and is regarded as a high risk. Vesuvius is an active volcano, able to produce a real catastrophe as demonstrated by the numerous eruptions, the most famous of which destroyed Pompeii and Ercolano in 79 A.C. Another Mediterranean example of lack of memory is Stromboli. This volcano, located north of Sicily, presents a permanent activity which has been reported for thousands of years. Many lethal accidents can be remembered from the past. Tourists are taken to visit the crater to watch the lava flows, and boat tours of volcano activity are still organized. Stromboli island was overcome by two tsunamis in 30/12/2002, which were activated by landslides that took place in the northern part of the Sciara del Fuoco on the northwest flank of the volcano. The waves, several meters high, flooded the villages of Stromboli and Ginostra causing damage to buildings and boats, and injuring several people. Large waves have been reported in Milazzo, on the northern coast of Sicily, at a distance of 60 km south of Stromboli.

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Section IV: Physics of Tsunami Unlike volcanic eruptions identifiable as localized phenomena in a dynamic-chaotic system, the tsunami is described as a great mass of oceanic water, the unpredictability of which governs the event. So the famous “butterfly effect” suggested by Edward Lorentz, could be used as a model to illustrate the effect that any tsunamigenic earthquake or submarine landslide could trigger off a waterberg, focusing its catastrophic force thousands of kilometers away from the place it was generated.

Profile of the Study Area The Indian subcontinent is prone to all types of natural disaster whether they be flood, drought, cyclone earthquake or forest fire etc. (Fig. 2). The available statistics evidence that 60% of the total area of the Indian subcontinent is vulnerable to seismic activity of varying intensity and 16% of the country’s total area is drought

Fig. 2 Seismicity of Southern Asia, above magnitude 3.0 (British geological Survey)

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prone. Coastal areas of India are exposed to tropical cyclones, while river floods are frequent and often devastating.

Banda Aceh Banda Aceh is the provincial capital and largest city of Aceh, Indonesia, located on the island of Sumatra. Banda Aceh, a sea level land, lies on a river delta created by the Aceh River reaching the Andaman Sea. Two large forks of the river split the city, with the main fork running through the center of town and the other lying 15 km to the east. The central area of Banda Aceh was separated from the open sea by nearly 2 km of low-lying wetland, probably used for aquaculture. Only on the sand spit of Uleele were significant structures built along the shoreline.

The Andaman and Nicobar Islands The Andaman and the Nicobar Islands, a sub-national administrative division of India, constitute a group of 572 islands, located in the Bay of Bengal. The Nicobar Islands are located to the south of the Andamans, 121 km from the Little Andaman Island. The Andamans and Nicobars are separated by the Ten Degree Channel, 150 km wide. The total area of the Andaman Islands is 6408 km2 ; that of the Nicobar Islands approximately 1841 km2 . Of the total 572 islands formed by a submarine mountain range, which separates the Bay of Bengal from the Andaman Sea, only 36 islands are inhabited. The Islands are located between the latitudes 6◦ to 14◦ North and longitudes 92◦ to 94◦ East. The islands are at sea level, with the exception of some hills or mountains such as Saddle Peak (730 m).

26/12/2004 Tsunami On 26 Dec 2004, a magnitude 9.0 earthquake is known to have occurred off the west coast of northern Sumatra, Indonesia. The epicentre was located on the sea bed at 3.32 N 95.85 E, at a depth of 30 km depth set by location program and at a distance of 255 km SSE from Banda Aceh (United State Geological Survey, USGS) (Fig. 3). This devastating megathrust tsunamigenic earthquake occurred on the interface of the India and Burma plates, and was caused by the release of stresses that develop as the India plate subducts beneath the overriding Burma plate (Lautrup 2005, Halif and Sabki 2005). Seismographic and acoustic data indicate that the first phase involved the formation of a rupture about 400 km long and 100 km wide, located 30 km (19 mi) beneath the sea bed—the longest rupture ever known to have been caused by an earthquake. The rupture proceeded at a speed of about 2.8 km/s (1.7 mi/s) or

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Fig. 3 Earthquackes in the Sumatra area (USGS)

10,000 km/h (6,300 mph), beginning off the coast of Aceh and proceeding northwesterly over a period of about 100 s. According to the Gutenberg-Richter empirical relation, between an earthquake’s magnitude (M) and the energy (E E R ) radiated all over the globe in the form of seismic vibrations we have: log10 E E R ≈ 4.8 + 1.5 M This was the fourth largest earthquake in the world since 1900 with an estimated total energy released of 3.35 × 1018 J. Tsunami: An Introduction Tsunamis, incorrectly called “tidal waves”, are shallow-water gravity waves, with an extremely limited amplitude and extremely large wavelength, generated in a body of water by an impulsive disturbance that vertically displaces the water column (Dudley and Lee 2005). Tsunamis could be caused by:

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Fig. 4 Underwater earthquake mechanism (USGS)

(1) (2) (3) (4)

an underwater earthquake: especially in the region of trenches (Fig. 4); a volcanic eruption: especially of the phreatic kind (es: Krakatoa or Tambora); a sub-marine rockslide; an asteroid or meteoroid crashing into the water from space.

Most tsunamis are caused by underwater earthquakes, but not all underwater earthquakes cause tsunamis. To cause a tsunami, an earthquake has to be over a magnitude of about 6.75 on the Richter scale and shallow focus (at a depth of <30 km in the earth). Obviously great earthquakes occur less often than small ones. The number of earthquakes larger than a given magnitude M also obey an empirical Gutenberg-Richter relation: log10 N = 8 − M According to this formula, an earthquake with M ≥ 9 occurs on average only once every ten years. About 90 percent of all tsunamis occur in the Pacific Ocean where dense oceanic plates slide under the lighter continental plates. When these plates fracture they provide a vertical movement of the seafloor that allows a quick and efficient transfer of energy from the solid earth to the ocean. When a tsunami is much larger than expected in relation to the earthquake’s magnitude, we have a “tsunami earthquake”.

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Tsunami in History The occurrence of the disaster is relegated to historic memory until it occurs again, either in the same area, or in some other part of a country. Tsunami, as we know, are not only a modern phenomenon. We have experience of numerous tsunamis in the world and in Europe, and even in the narrow Mediterranean sea some of the most Table 1 The most famous and damaging tsunami Year

Locations

1605 1703

Nankaido Tokaido and Kashima, Japan Awa, Japan Tokaido and Nankaido, Japan Lisbon, Portugal and Morroco Ryukyu Trench (between Taiwan and Japan) South China Sea Chile Krakatoa volcano explosion, Indian ocean Sanriku, Japan Messina, Italy Aleutian Island earthquake (Alaska and Hawaii USA) Lituya Bay, Alaska

1703 1707 1755 1771

1782 1868 1883

1896 1908 1946

1958

1960

1964

1976 1979

1998 2004

Great Chilean earthquake (Chile, Hawaii, Alaska, Philippines and Japan) Good Friday earthquake (Alaska and Hawaii USA) Cotabato City, Philippines Tumaco (pacific coast of Colombia and Ecuador) Papua New Guinea Indian Ocean earthquake

Total of death

Run-up (m)

Magnitude of source

5000 5233 100000 30000 100000

Earthquake-9 (Richter Scale)

13486

40000 25674 36000

40

Earthquake-7.5 (Richter Scale) Volcano- 6 VEI (volcanic explosivity index)

22070 70000 165

30

Earthquake-7.2 (Richter Scale) Earthquake-7.8 (Richter Scale)

5

524

2000

3-25

Earthquake-7.8 (Richter Scale) generated the landslide into the bay Earthquake-9.5 (Richter Scale)

122

6

Earthquake-9.5 (Richter Scale)

5000 354

Earthquake-7.9 (Richter Scale) 5

2200 12 >300,000 3–35

Earthquake-8.2 (Richter Scale)

Earthquake-7.0 (Richter Scale) Earthquake-9.2 (Richter Scale)

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Fig. 5 Tsunami wave parameters (Environment Waikato)

serious ones are still remembered in history (Table 1). The decline of the Minoan civilization was provoked by a powerful tsunami (after the explosion of the volcano Santorini) that struck the area in 1480 B.C. and destroyed its coastal settlements (Dudley and Lee 2005). Analytical Tsunami Wave Propagation A tsunami obeys linear shallow water gravity wave dynamics (Fig. 5) according to the inequalities (Mofjeld et al. 2000): A << H << λ. √

⭸ω ≈c ⭸k For the 26/12/2004 tsunami taking λ ≈ 150 km, H ≈ 4 km (according to the depth of the Indian Ocean) and A = 1.5 m, we have c = 200 m/s = 720 km/h, which is comparable to the speed of a passenger jet (Table 2). But phase speed does not depend on wavelength so the initial energy will not be dispersed. An ideal shallow-water wave is for this reason said to be non-dispersive. So the flux energy should be: The tsunami phase velocity is c =

g H and the group velocity is: cg =

⌽ = E T c = cost [W] Table 2 Ocean depth vs average speed of tsunami Ocean

Average depth (m)

Deepest depth (m)

Speed c (km/h)

Pacific Atlantic Indian Southern Arctic

4637 3926 3963 4000 to 5000 1200

Marianna Trench = 11033 Puerto Rico Trench = 8605 Java Trench = 7725 Southern Sandwich Trench = 7235 Eurasia Basin = 5450

766.8 < c < 1184.4 705.6 < c < 1044.0 709.2 < c < 990.0 712.8 < c < 957.6 388.8 < c < 831.6

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Fig. 6 Tsunami Waterberg volume

Where E T is the energy of a single tsunami wave. Nevertheless, using the Lautrup assumption’s (Lautrup 2005), we can imagine that, after an earthquake on the seafloor, the volume of the water above the active area, vertically shifted with the seafloor, is theoretically assumed to be a box-shaped “waterberg” (Fig. 6). So, the waterberg energy being E W , it follows that: 1 ρsea gλLd 2 = 2 × 1016 J 2

EW = where:

r r

d = vertical shift of height L = box-shaped length after displacement phenomena The tsunami energy E T may be calculated using the Amplitude of wave: ET =

1 ρsea gλL A2 2

So according to the previous assumptions, E ≈ 2×1015 J is about 10% of the total energy deposited in the sea by the earthquake. Per meter of the wave’s transverse length L, the energy becomes E T /L ≈ 2 × 109 J/m. With such available energy, one would be able to lift 1.000 tons of material 200 m vertically for each meter of coastline. We can note that from the radiation earthquake energy, the amount of energy is decreased according to: E T < E W < E E R where E E R is the energy of the Sumatra earthquake. Tsunami Magnitude-Intensity To determine the tsunami magnitude (Mt ) we can use the following formula (Mofjeld et al. 2000):

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Mt = log H + log D + 5.55 Where: (1) H: Maximum crest-to-trough amplitude on tide gage record in m. (2) D: Distance [km] from epicentre to station along the shortest oceanic path. A good estimate of the tsunami magnitude depends on the number of the station data available. The data from the nine operative station (Table 3) in the Indian Ocean for 26/12/2004, and taking into account that the average is 9.09, we easily compute Mt = 9.1. So by giving the Mt value, an estimate of run-up heights at near-source distances is made by using the relation: Mt = 2 log Hm + 6.6 Where: Hm is the maximum value of the local-mean run-up height in m. Taking the logarithmic mean of heights over a distance of about 40 km along the coast and giving Mt = 9.1, we have a rough estimate validated against the in-situ measurements made at Banda Aceh by Tsuji’s International Tsunami Survey Team: Hm = 18 m and Hmax = 36 m Another case of scale measuring tsunami size is that proposed as follows: i = log2 h (Shuto 1993) where i is the intensity (still a magnitude scale) and h is local tsunami height(m). Table 3 26/12/2004 Indian Ocean available stations Vishakapatnam, India Tuticorin, India Kochi, India Cocos Is., Australia Hillarys, Australia Hanimaadhoo, Maldive Male, Maldive Gan, Maldive Diego Garcia, Chagos A

H(m)

D(km)

Mt

2.4 2.1 1.3 0.5 0.9 2.2 2.1 1.4 0.8

2070 2100 2400 1820 4600 2500 2500 2500 2700

9.3 9.2 9.0 8.5 9.2 9.3 9.3 9.1 8.9

Tsunami Intensity Scale Here we present, with reference to Papadopoulos-Imamura (2001), a 12-point scale of tsunami intensity (Papadopulos and Fumihiko 2001). It is meant to correspond to

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current earthquake intensity scales (Table 4) like Mercalli scale. The tsunami scale is arranged according to a tsunami’s effects on:

r r r

Humans Objects including boats Damage to buildings Table 4 Tsunami intensity scale

Papadopoulos-Imamura tsunami intensity scale I. Not felt. II. Scarcely felt.

III. Weak.

IV. Largely observed.

V. Strong. (1 m)

VI. Slightly damaging. (2 m)

VII. Damaging. (4 m)

VIII. Heavily damaging. (4 m)

a. Felt by few people onboard small vessels. Not observed on the coast. b. No effect. c. No damage. a. Felt by most people onboard small vessels. Observed by a few people on the coast. b. No effect. c. No. damage. a. Felt by all onboard small vessels and by few people onboard large vessels. Observed by most people on the coast. b. Few small vessels move slightly onshore. c. No damage. a. Felt by all onboard large vessels and observed by all on the coast. Few people are frightened and run to higher ground. b. Many small vessels move strongly onshore, few of them crash into each other or overturn. Traces of sand layer are left behind on ground with favorable circumstances. Limited flooding of cultivated land. c. Limited flooding of outdoor facilities (such as gardens) of near-shore structures. a. Many people are frightened and run to higher ground. b. Most small vessels move violently onshare, crash strongly into each other, or overturn. c. Damage and flooding in a few wooden structures. Most masonry buildings withstand. a. Many people are frightened and try to run to higher ground. b. Many small vessels damaged. Few large vessels oscillate violently. Objects of variable size and stability overturn and drift. Sand layer and accumulations of pebbles are left behind. Few aquaculture rafts washed away. c. Many wooden structures damaged, few are demolished or washed away. Damage of grade 1 and flooding in a few masonry buildings. a. All people escape to higher ground, a few are washed away. b. Most of the small vessels are damaged, many are washed away. Few large vessels are moved ashore or crash into each other. Big objects are drifted away. Erosion and littering of the beach. Extensive flooding. Slight damage in tsunami-control forests and stop drifts. Many aquaculture rafts washed away, few partially damaged. c. Most wooden structures are washed away or demolished. Damage of grade 2 in a few masonry buildings. Most reinforced-concrete buildings sustain damage, in a few damage of grade 1 and flooding is observed.

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Table 4 (continued) Papadopoulos-Imamura tsunami intensity scale IX. Destructive. (8 m)

a. Many people are washed away. b. Most small vessels are destroyed or washed away. Many large vessels are moved violently ashore, few are destroyed. Extensive erosion and littering of the beach. Local ground subsidence. Partial destruction in tsunami-control forests and stop drifts. Most aquaculture rafts washed away, many partially damaged. c. Damage of grade 3 in many masonry buildings few reinforced-concrete buildings suffer from damage grade 2.

X. Very destructive. (8 m)

a. General partic. Most people are washed away. b. Most large vessels are moved violently ashore, many are destroyed or collide with buildings. Small boulders from the sea bottom are moved inland. Cars overturned and drifted. Oil spills, fires start. Extensive ground subsidence. c. Damage of grade 4 in many masonary buildings, few reinforced-concrete buildings suffer from damage grade 3. Artificial embankments collapse, port breakwaters damaged.

XI. Devastating. (16 m)

b. Lifelines interrupted. Extensive fires. Water backwash drifts cars and other objects into the sea. Big boulders from sea bottom are moved inland. c. Damage of grade 5 in many masonry buildings. Few reinforced-concrete buildings suffer from damage grade 4, many suffer from damage grade.

XII. Completely devastating. (32 m)

c. Practically all masonary buildings demolished. Most reinforced-concrete buildings suffer from at least damage grade 3.

A correlation between the Tsunami intensity scale (Table 5) and the quantities H and i introduced previously is provided by the following table: Table 5 Papadopoulos-Imamura intensity scale I

H(m)

i

I–V VI VII–VIII IX–X XI XII

<1 2 4 8 16 32

0 1 2 3 4 5

When a Tsunami hits the coast: the runup phenomenon Usually according to eyewitness the first signal of an approaching tsunami is a withdrawal of the sea from the coastal regions. This phenomenon is followed by one or more destructive waves with different time slices (Halif and Sabki 2005).

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Thus assuming that:

r r

The depth H of the sea slowly diminishes towards land, depending on bathymetry; The reflection from the sloping bottom can be ignored; √ Its phase velocity will decrease as c ≈ H . Then because there is no place that tsunami wave crests can accumulate, the period ␶ between the wave crests will be the same all the way in according to the dispersion relation (Fig. 10). This means √ that the wavelength becomes shorter in the same way as the phase velocity λ ≈ H . It follows that the energy E ≈ λA2 of a wavelength (or the rate of energy transport E/␶) must be constant all the way in. So we have the run-up relation: H = A14 also called Green’s law. Closer to land, the wave rises still more (A is magnified many times) and moves even more slowly. Runup heights (Fig. 7) are measured by looking at the distance and extent of salt-killed vegetation, and the debris left once the wave has receded. This distance refers to a datum level, usually being the mean sea level or mean lower low water level. If a Tsunami is “docking” in a harbour it could cause a seiche. Seiche waves are dangerous resonant oscillations, that may continue several days after a tsunami.

Fig. 7 Runup phenomenon

Section V: The Role of Remote Sensing and Geographic Information System – GIS Introduction to Remote Sensing Remote sensing refers to obtaining information about objects or areas without being in direct contact with it. Remote sensing techniques allow taking images of the earth surface in various wavelength region of the Electro Magnetic Spectrum (EMS). One

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Fig. 8 The electromagnetic spectrum and atmospheric windows (UNESCO)

of the major characteristics of a remotely sensed image is the wavelength region it represents in the spectrum (Fig. 8). Some of the images represent optical radiation as the reflected solar radiation in the visible mean and mid infrared (0.35–3 μm) or the energy emitted by the earth surface itself (the thermal or far infrared wavelength region, 3–1000 μm). The energy measured in the microwave region, also called passive microwave region (0.1–0.3 cm), is still due to: 1) the radiation emitted by the earth and 2) the backscattered wave from the earth’s surface, coming from the energy generated on board the vehicle itself and down transmitted. This is known as active remote sensing and the used wavelengths are represented by the letters k,x,c,s,l,p (Fig. 8) (Campbell 1985).

Passive Sensors When solar radiation falls upon a surface, some of the energy is absorbed, some is transmitted through the surface (water bodies) and some is reflected. Since the intensity of the reflected radiation is selective with the wavelength, depending on the characteristics of the observed coverage, each surface possesses its own spectral signature (Fig. 9). Part of the absorbed energy is reemitted at longer wavelengths in the form of earth (thermal infrared radiation).

Fig. 9 Comparison between typical vegetation, soil and water reflectance characteristics

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Passive sensors collect both reflected (0.4–2.6 μm) and emitted (3–5000 μm) Electro Magnetic Radiation (EMR). Therefore passive sensors operate from the visible to microwave region. The collection of the reflected EMR is obviously limited to daylight hours with clear skies. Moreover if the desired information (as in most of observations) comes from the Earth’s surface, measures are restricted in the spectral regions where the atmosphere is as transparent as possible (atmospheric windows – Fig. 8), in order to reduce the combined atmospheric effects of absorption and scattering which introduce uncertainty in the measurements. Two multispectral SPOT5 and Proba/Chris data were used for the change detection analysis using different image processing such supervised classification using maximum likelihood algorithm and image ratioing. NDVI: subtle variations in the spectral responses of various surface covers are highlighted. Vegetation reflects strongly in the near-infrared portion of the spectrum while absorbing strongly in the visible red. Other surface types, such as soil and water, show near equal reflectances in both the near-infrared and red portions. Near-Infrared band (0.72 to 1.1 μm) divided by Red Band (0.6 to 0.7 μm) would result in ratios much greater than 1.0 for vegetation, and ratios around 1.0 for soil and water. Thus the discrimination of vegetation from other surface cover types is significantly enhanced (Ulivieri 2006).

Active Sensors RADAR is the commonly used acronym for Radio Detection and Ranging. Imaging radar systems are versatile sources of remotely sensed images, providing day night, all-weather imaging capability. An imaging radar system uses an antenna to transmit microwave energy downward and toward the side of the flight path. As the radar beam strikes ground features, energy is scattered in various directions, and the radar antenna receives and measures the strength of the energy that is scattered back toward the sensor platform. A surface that is smooth and flat (such as a lake or road) will reflect nearly all of the incident energy away from the sensor. So flat surfaces appear dark in a radar image. A surface that is rough, with “bumps” comparable in height to the wavelength of the microwaves, will scatter more energy back to the sensor, and so will appear bright. Slopes that face the sensor will also appear brighter than surfaces that slope away from it, and steep backslopes may be completely shadowed. Terrain shape and surface roughness are thus the dominant controls on radar brightness variations.

Radar Image Imaging radar systems broadcast very short pulses of microwave energy and, in the pauses between them, receive the fluctuating return signal of backscattered energy. The Radar equation is as follows (Fig. 10):

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Pt λ2 G 2 σ 0 A (4π )3 R 4

where assuming the same antenna is used to transmit and receive:

r r r r r r r

Pr is the power that has been reradiated to the receiving radar antenna. Pt is the power transmitted by the radar system. G is the gain of the antenna. R is the range from antenna to target. λ is the wavelength of the radar system. σ 0 is the backscatter coefficient. A is the area of the resolution cell.

GIS GIS is a computer system for capturing, storing, checking, integrating, manipulating, analysing and displaying data related to positions on the Earth’s surface. Typically, a Geographical Information System is used for handling maps of different kinds in several different layers where each layer holds data about a particular kind of feature. Each feature is linked to a position on the graphical image on a map and a record in an attribute table.

The General Impact and Benefits of Remote Sensing on Natural Disasters Introduction Satellite images give a synoptic overview and provide a very useful environmental information, for a wide range of scales, from entire continents to details of a few meters. Disasters related to remote sensing applications could be briefly summarized as follows:

r r r r r

Weather Prediction: a key input to numerical weather prediction models globally used for weather forecasting. Global Warming: concentrations and distributions of atmospheric gases, sea and land ice thickness and change, and ozone measurements are key components to study and predict global warming. Severe Weather Events: prediction of severe weather events requires accurate measurements of rain rates in storms over the oceans, which is only possible with remote sensing satellites. Forest Fires: detection and damage evaluation of fires. Management of Natural Resources: measurements of biomass, deforestation, and water resources through systematic environmental monitoring.

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Volcanoes: detection of volcanic activity even before eruptions, tracking and predicting the volcanic fallout effects. Shipping: tracking sea ice and ice floes drift, and ocean storms detection. Long Range Climate Forecasts: study of global atmospheric and oceanic events and parameters such as El Ni˜no i.e.: sea surface temperature, ocean winds, ocean wave height.

Remote sensing also allows monitoring the event during the time of occurrence while the forces are in full swing. The vantage position of satellite makes it ideal for us to think of, plan for and operationally monitor the event. The information is used to help emergency officials make crucial short-term decisions related to evacuations, rescue and recovery in response to current or impending natural disasters. The possibility for long-term monitoring and forecasting, prediction, and real-time crisis monitoring make this technology a vital instrument in conducting risk assessments and studies useful to develop strategies to mitigate future hazards (Doeschera et al. 2005).

Remote Sensing in the Early Detection Many types of disasters, such as floods, droughts, cyclones, volcanic eruptions, etc. will have specific precursors that satellite can detect, in particular Tsunami. Tsunamis are surface gravity waves that spread for great distances in the oceans. In the open ocean, their long wavelengths (typically 200 km), long periods (20 min) and small amplitudes (50 cm for the event of 26/12/2004) make their detection very challenging, even with the deployment of GPS buoy systems. Unlike other techniques – such as wavebuoys and altimetry – satellite payload, like SAR, has the possibility to image ocean waves providing a more complete information on the wave field and the spectrum. A promising remote sensing technique for early detection of tsunamis is concerning the “tsunami shadow” (Godin Oleg 05/2004). When a tsunami is triggered, it produces extended darker strips due to changes in surface roughness (air-sea interaction). This way, airborne and satellite-based microwave radars and radiometers could be able to observe these phenomena, imaging ocean waves, in azimuth direction, taking advantage of the Doppler shift in the received signal; it is caused by the relative velocity between the ocean surface and the SAR. Satellite altimetry, on the other hand, has proved to be capable of measuring the sea surface variation in case of large tsunamis, as shown for the 26/12/2004 event. Radar altimetry provides an important contribution for a better understanding and an improvement of the modelling of tsunami propagation and dissipation but this technique is not sufficient for the early detection. Since tsunamis readily manifest themselves as Sea Level Anomalies (SLA) it’s necessary that one satellite overflies the wave almost immediately after it originates. This represents a drawback when we only have the measures from one satellite. In addition, tsunami signals in the open ocean are quite weak.

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The presence in orbit of several satellites (constellation), instead, allows to improve the frequency of observation and accordingly to have a better possibility in surveing the phenomenon as soon as it occurs. It is worthwhile to remember the accomplishment of COSMO-SkyMed (Constellation of Small Satellites for Mediterranean basin Observation) satellite constellation, the first global constellation for Earth Observation. This programme, a low-orbit dual-use Earth observation satellite system, will exploit the most advanced remote sensing technology with the four SAR satellites and a complex and geographically distributed Ground Segment. To implement the space-based, direct observations of tsunamis with altimetry missions there are ground systems based on GPS and ionospheric sounding. In fact ionospheric perturbations could be induced by seismic waves. This way it is expected that atmospheric gravity waves can be generated in the wake of a tsunami. Advances in the monitoring of smallscale perturbations of the ionosphere could allow tsunami-induced gravity waves to be detected with both GPS and ionospheric sounding systems (Artru et al. 2005). Recently a space-borne system, potentially able to provide ocean global monitoring and in particular tsunami detection has been proposed. This system, covering an observation area ranging between ± 60◦ in latitude, with a baseline of 10 spacecrafts, should be able to monitor a tsunami with the requirements of 50 km spatial resolution and 10 cm precision in the measurement. 80% of the tsunamis are detected within an hour with a constellation of 800 km prograde orbits but the best performance could be obtained with higher (1300 km) retrograde orbits, allowing a 84% rate of detection after an hour. This technique, due to the tsunami’s time detection, is suitable for an ocean like the Pacific, but it is not reliable for the Indian Ocean, where tsunamigenic areas are too close to the coastlines and a waterberg could suddenly strike.

Remote Sensing and Prevention Remote Sensing can help to avoid the damage and casualties caused by natural disasters and in particular Tsunami For this purpose it is possible to plan, to reduce the effects in high-risk areas according to:

r r r r

Buildings, whether residential, commercial or industrial – building use and occupancy; If a building is day-time or night-time occupied; Ports and Airports and other critical infrastructure; Other critical facilities (power plants, water tanks, etc.);

Topography could be an other important factor to calculate structural amplification (subject to wave penetration flooding). Therefore, only when high-risk areas have been identified (usually the areas at greatest risk are less than 25 feet above sea level and within one mile of the

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shoreline), construction planning should be restricted to ensure that residential development and major constructions, like power stations, are restricted to higher ground.

Remote Sensing in the Post Emergency The impact of a Tsunami causes an area of immense devastation. The tsunami disasters required the use of remotely sensed data also during disaster response operations; The event of 26/12/2004 was so vast that different resolution of optical satellite images became necessary as source of remotely sensed imagery. The potential of both high and low resolution satellite data, offers excellent opportunities for an input in planning logistics for response scenarios and risk assessing. Remote sensing data, useful for a post-Tsunami damage evaluation, can assist in damage assessment monitoring, providing a quantitative base for relief operation and can also be used in mapping the new situation and updating the database for the area reconstruction. In terms of benefits to emergency responders, urban damage functions generated from remote sensing coverage allow an accelerated rate of response, while guiding the scale of response efforts and resource allocation. They provide further critical information to international aid agencies, supporting logistical planning and deployment of equipment. A change in detection techniques based on high-resolution remote sensing data provides an overview of the post disaster scene; these can be considered as a method of rapid damage assessment, and critical information for directing rescue and recovery efforts. The Table 6 below shows the potential and limitation of active and passive remote sensing satellite data. Future efforts should concentrate on more extensive monitoring, advanced technology, and better and faster synthesis of information to detect hazardous events and Table 6 Potential and limitation of remotely sensed data Sensor

Advantages

Limitations

Optical

r r

r r

Radar

r

Easy to be understood and interpreted Some imagery is comparable to human vision

All day-night-weather imaging capability

r

Obscured by cloud and smoke Limited to daylight hours (except ThermalIR)

Image interpretation complexity

r SAR records backscatter r Considerable noise r

Layover issues due to Sideways looking

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convey the information to decision makers and public organizations. The satellite constellations would provide more timely and comprehensive data and the ability to support disaster management and information on the evolution of disaster areas.

Method The active and passive remote sensing data integration of the Tsunami affected area of Banda Aceh, were efficient instruments for evaluating and quantifying damage. A GIS multi relational database was built and integrated with geophysical, topographic and hazard map. The work steps can be summarized as follows: (1.) Optical and SAR image processing and change detection; (2.) Remotely sensed data and GIS was elaborated with different vector and raster information; (3.) GIS geo-statistical damage analysis;

Change Detection Analysis Change Detection Analysis encompasses a broad range of methods used to identify, describe and quantify differences between a pair of images that represent an Initial State and Final State of the same scene at different times or under different conditions. The ESA remote sensing satellites played an active role in Tsunami disaster management activities. Table 7 shows how the data was used. The region covered also includes the Andaman and Nicobar Islands. Multi change detection approaches were used as follows:

r

Banda Aceh: (1.) (2.) (3.) (4.)

r

subtraction of the SAR magnitude data; NDVI difference; post classification method; comparison Optical-Radar data;

Andaman and Nicobar: (1.) subtraction of the SAR magnitude data; (2.) comparison Optical-Radar data;

These techniques revealed the surface changes, as well as the type (from-to) using the post change detection statistic (matrix of change).

Table 7 Work diagram and Tsunami dataset content

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ERS2

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ENVISAT

Fig. 10 Co-registered pre and post event SAR images

SAR-ASAR Processing The objective of SAR processing is to reconstruct the imaged scene from the many pulses reflected by each single target, received by the antenna and memorised. Pre analyses were done to obtain an SAR-ASAR backscattering image (Fig. 10) Backscatter (␴0 ) Extraction Backscatter is the portion of the outgoing radar signal that the target redirects straight back to the radar antenna. It is a measure of the reflective strength of a radar target. The radar backscattering coefficient ␴0 is related to the radar brightness ␤0 as follows (ESA 2002, Leica 2003): ␴0 = ␤0 . sin ␣ where ␣ is the local incidence angle. To derive measurements of the radar backscattering coefficient ␴0 , detailed knowledge of the local terrain slope (i.e. the local incidence angle ␣) is needed. As the local incidence angle is usually not known, or only partially known, if a flat terrain is assumed, ESA decided to present the Precision Image (PRI) as an image of the radar brightness ␤0 of the scene. Consequently, pixel intensity values in ERS SAR PRI products are directly proportional to the radar brightness ␤0 of the illuminated scene. The digital number giving the value of a pixel in PRI products, say DN, is directly related to ␤0 and to ␴0 by the following relations: [D N ]2 = Const · β 0 = Const ·

σ0 = Const(α) · σ 0 sin α

Constant (␣) is a function depending on the local incidence angle and can be decomposed as follows:

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Const(α) = K

sin αr e f sin α

where K is the calibration constant and ␣ref the reference incidence angle, 23 degrees, K is specific to the type of data product and to the processing centre. The backscattering coefficient ␴0 is usually expressed in decibels: σ(d0 B) = 10 log10 σ 0 The following calculations on the local incidence angle ␣ were made: (1) Banda Aceh is considered a flat terrain, i.e. there is no slope. The incidence angle ␣ depends only on the ellipsoid and varies from about 19.5◦ at near range to about 26.5◦ at long range. (2) Any change in the incidence angle across a distributed target is ignored, i.e. a distributed target corresponds to one average value of the incidence angle. The calibration constants:

r r

ERS2 K1 = 944061.0000000 ASAR: K2 = 277332.000000

Bearing the previously made calculations in mind, and without taking into account the various sources of radiometric inaccuracy and stability errors, the backscattering coefficient ␴o of a distributed target is given by the following simplified equation: ⎛

⎞ 1 1 sin α D Ni2j ⎠ σ0 = ⎝ N i, j=1 K sin αr e f i, j=N

where:

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N= number of pixels within the Area Of Interest (AOI) i.e. the group of pixels corresponding to the distributed target in the image; i and j are the range and azimuth locations of the pixels within the distributed target containing N pixels; DNij = digital number corresponding to the pixel at location (i,j); ␣ = average incidence angle within the distributed target; ␣ref = reference incidence angle, i.e. 23.0 degrees.

Here ␴0 also depends on other important parameters as follows: σ 0 = σ 0 (b f , ⌬b f , σz , S MC, s, p) where: bf = fruit biomass, ⌬b f = arboreous and leaf growth, σz =soil roughness, SMC= soil moisture, s= ground slope, p= typology of plant.

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Fig. 11 RGB colour composite

RGB Colour Composite In order to visualize the surface effects of the Tsunamigenic earthquake, RGB colour composite images have been generated (Fig. 11). After the exact co-registration of the SAR-ASAR data (ESA and Nuova Telespazio 2004, Duca 2004), the preevent acquisition (22/11/2002) was assigned to the red component, while the posttsunami acquisition (25/01/2005) was assigned to the blue and green. According to the colour additive theory, the changes on the resulting image have been identified as follows:

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Red: loss of backscatter (coastlines +inland); White: unchanged scattering (the urbanized inland: 2–4 km from the coast); Cyan: increase of backscatter corresponding to a change not necessarily due to tsunami destruction. Yet, near the coastline, we can note dotted areas that probably show areas that were still flooded in the days following the disaster.

Preliminary Results The acquisitions include very large variations in the shape of the coastline and the surface of Aceh, as evident along the whole northern coast of Sumatra. A preliminary analysis of backscatter variations between several different data pairs seems to indicate a lost extension of the land surface in several locations, irrespective of tidal conditions (Table 8). In particular, some ROI (Regions of Interest) were defined in the pre-tsunami and post-tsunami images and the backscatter levels were measured to quantify the backscatter variation. A loss of backscatter was found close to the coastline in the post-tsunami image (−1.30 dB). This phenomenon may be due to the elastic release of stress related to the contemporary Burma plate subduction and the tectonic uplift of the Andaman group linked to the seismic event of 26/12/2004. Two densely inhabited areas were then studied: the first, close to the shoreline, in which a remarkable ␴◦ loss (−3 dB) was found,

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pointing to total devastation, and the second in the urbanized inland, 3 km along the coast, where an unchanged scattering (−0.5 dB) can be noted: probably due to the scattering properties of the buildings canopies, all similar at the pre-event period, even if this area was one of the most struck (GMES-Respond ground truth damage maps). Instead the backscatter values close to the canal areas, in the south of Aceh, are all similar, therefore the nature of the targets is probably the same and not due to tsunami wave damage (Fig. 12).

Optical Change Detection Method Remote Sensing (RS) can provide information on habitat types, vegetation structures, landscape geometry and habitat fragmentation. It also provides digital models, net primary production areas, actual evaporation, and the amount of biomass and leaf area indices %. Vegetation cover can be estimated by NDVI and the Transformed Soil Adjusted Vegetation Index (TSAVI). The basic assumptions in RS change detection are: (a) changes in land cover result in changes in radiance values; (b) changes in radiance due to land cover changes are large with respect to radiance changes caused by other factors such as a difference in atmospheric condition, difference in soil moisture and difference in sun angles (Jahjah 2003). Applied Method In this work we used and compared two change detection algorithms for Banda Aceh using SPOT images. The change detection algorithms were post classification comparison and image differencing from the available images of SPOT5 for two different dates (Table 5), these techniques were analyzed independently, using the concept of well known procedures like supervised classification algorithm with a maximum likelihood of additional post classification comparison, image differencing between two NDVI for two dates (Fig. 13). Algebra Change Detection The NDVI (Normalized Difference Vegetation Index) had been used to transform multispectral data into a single image band representing vegetation distribution. The NDVI values indicate the amount of green vegetation present in the pixel (ie: higher NDVI values indicate more green vegetation). NDVI standard algorithm, the difference between the near-infrared and visible bands divided by the sum of these two bands, was used as follows (Puredorj et al. 1998): N DV I =

band3 − band2 ρnir − ρr = ρnir + ρr band3 + band2

Where ρ is the reflectance and the valid result falls between −1 and +1.

Max

20.875.027 0.539820 24.611.082 12.172.563

Min

−27.287.273 −27.122.562 −23.650.482 −21.244.743

ROI

Shoreline Inland Coltures North western flank City centre

PRE −8.070.792 −8.789.287 −5.312.921 −6.180.926

Mean 4.153.135 3.546.883 5.890.753 4.137.679

Stdev −20.115.150 −17.712.307 −22.578.503 −18.437.208

Min

POST

Table 8 Analysis of pre – post event backscatter variations

2.142.013 2.060.342 0.115255 4.317.696

Max

−9.305.922 −8.137.346 −8.359.155 −6.644.247

Mean

2.804.596 2.583.565 2.839.961 2.813.580

Stdev

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Fig. 12 Sigma values for different areas

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Fig. 13 SPOT 5: pre-post event

The next step was the creation of a NDVI look-up-Table (LUT). This LUT stretched each input DN to an output value visualized in Yellow, Green, Blue and Red. We can note yellow areas (NDVI≈ 0,19∼0,15) concentrated above all along the coastline to show total waste, while the red ones (NDVI≈0,10∼0,04) show average changes of rural areas. Finally Green (NDVI≈ 0, 02 ∼ −0, 002) and Blue (NDVI≈ −0, 1 ∼ −0, 23) show respectively partial and no change areas (Fig. 14).

Fig. 14 NDVI Look-up table

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Classification and Post Classification Changes The classification process is meant to categorize all pixels in a digital image into one of the several land cover classes, or “themes”. The SPOT5 multispectral data was used to perform the classification. The objective of image classification is to identify and portray, as a unique grey level (or colour), those features occurring in an image in terms of land cover. Some training sets (16 regions of interest) were chosen in order to identify examples of the Information classes, and the relative statistical characterization of the reflectance for each information class was then undertaken, (spectral separability between classes, the maximum likelihood supervised classification algorithm was used taking advantage of the GMES-Respond ground truth damage map) (Duda et al. 2001). The classification accuracy (confusion matrix, Kappa coefficient), for both images proved to be acceptable (over 90%); a Median filter 3 × 3 was done to eliminate the isolated pixels, and then the difference between the two results was calculated. The differences map, depending on threshold values (−1 to +1), was outlined in three main colours: red (big change>0,8), green (medium change), cyan (no change) as in Fig. 15. Post Classification Results The most important statistical data, based on the reflectance for each information class, could be summarized as follows: the inundation area was about 113 Km2 ,

Fig. 15 Post classification images and change map

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while a 6 Km inland Tsunami wave penetration was estimated taking into account that the Aceh area is at sea level; 20 km2 of dense habitation area, 8 km2 of paddy fields-aqua cultures and 1.5 km2 of mangrove forest area were transformed into debris, mud and water sea areas; 2.8 km2 of dense habitation were submerged. These results were supported by damage maps based on ground truth.

GIS and Geo-Statistical Analysis Two workspaces have been created for scientific management and orientated information (Johnston et al. 2001):

r r

A National Level G.I.S. A Banda Aceh Local Level G.I.S.

The National Level GIS The national level GIS with a 1:250.000 digital map scale, has been made for the entire country of Sumatra used both to facilitate measurement, mapping, monitoring and modelling of a variety of data types related to Risk Assessment and for providing useful information, and creating disaster awareness (Fig. 16). The specific application in this field concerns hazard mapping to show earthquake, landslides, floods, volcanic activities (lake Toba, mount Talang, Leuser mountain) according to the historical memory of Sumatra disasters. Using the seismic layer as an example we have pointed out the Peak Ground Accelerations (PGA) for a 10 % probability of exceedence in 50 years of the locations of an initial earthquake and all aftershocks measuring more than 4.0 from December 26, 2004 to January 10, 2005, and its main faults etc. Afterwards flood inundation maps were created by overlaying land use features and

Fig. 16 The layers of the national level G.I.S: I Orography and bathymetry; II Distribution of the vegetation; III Landslide and inundation Risk map; IV Seismic; V Ethnic and religions

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infrastructures to delineate flooded areas. GIS was used for an analysis to esrtablish hazard zones on the maps, which serve as risk zone identifiers for the general population. More generic mapping was digitized to point out territorial characteristics like orography, bathymetry but also district maps with ethnolinguistics and juridical differences.

The Local Level G.I.S. In reality with the second workspace two informative main layers have been defined:

r r

the first of a general nature showing all the flooded areas in the province of Aceh; the second regarding exclusively the Banda Aceh area.

The base layer has been created by georeferencing, using the GCP method and then digitizing a Post-Tsunami-Situation map of the US Geological Survey. The map deriving from the collaboration of USGS, Disaster Monitoring Constellation (DMC) International Imaging and United Nation Operation Satellite (UNOSAT) as in Table 9 was drawn up.

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Pre-post event Landsat5 TM – landsat7 ETM+ (15 m) maps; DEM with three seconds of spatial resolution (90 m around); Topographical map 1:250.000.

Numerous flooded villages have been identified in these layers as well as heavily damaged infrastructures such as bridges (wood or steel), airports, fish breeding and industrial complexes (Red area Fig. 17). The zones where the seaquake wave penetrated have been digitized, allowing us to visualize two areas with maximum (red zone: between the coastline and the city) and minimum damage (yellow zone: inland area). The depth of the wave penetration was calculated, oscillating between 3.2 and 4.4 km, in the red zone where the highest number of deaths was registered. Therefore, according to multi data satellite change detection results, the tsunami affected area was digitized and indicated that the red zone covered almost the same area previously computed (Red zone = 113 km2 ). Nevertheless, this layer served as a comparison to the following one based on the statistical analysis of the damage and based on maps with a smaller scale.

The National Level G.I.S. The second workspace could be defined as a Banda Aceh local level G.I.S.. It is made up of topological overlayers with a typical mapping scale of 1:30,000 (GMESRespond QUICKBIRD elaborations and remotely sensed data integration). The results were: the damage map for existing settlements and villages of the district; the disaster planning map for preparation and relief activities.

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Table 9 Source information for the Tsunami remote sensing and GIS The Indian Ocean Earthquake and Tsunami, 26 December 2004 Source

Web pages from

Description

CRISP, National University of Singapore Dartmouth Flood Observatory DLR Center for Satellite Based Crisis Information DM Solutions Group

www.crisp.nus.edu.sg/tsunami/

Satellite imagery

www.dartmouth.edu/∼floods/

Observatory for extreme flood events worldwide Satellite imagery

DRI, Japan

www.dri.ne.jp/koshimuras/sumatra/

Earth Observatory

http://earthobservatory.nasa.gov/

European Space Agency ESA Envirtech

www.esa.int/esaEO/index.html www.envirtech.org

Geospatial One-Stop

www.geodata.gov

Global Monitoring for Environment and Security (GMES)

www.esa.int/esaLP/

www.zki.caf.dlr.de/intro en.html www.dmsolutions.ca/

International Institute for www.itc.nl/ Geo-Information Science and Earth Observation (ITC) IndoTsunami web site http://ioc3.unesco.org/indotsunami/

National Oceangraphic and www.noaa.gov/ Space Administration (NOAA) National Remote Sensing www.nrsa.gov.in/ Agency, India

Interactive Web-mapping of affected areas before and after tsunami Numerical model of tsunami in Sumatra waters Tectonic map of the region and location of epicenter Earth Observation essential for geohazard mitigation Indian Tsunami Warning System Indian Ocean Tsunami/Earthquake Relief Works Map It provides autonomous and independent access to information for policy-markers, particularly in relation to environment and security Links to satellite images and background information It is intended to keep us informed about the progress in developing a Regional Tsunami Warning and Mitigation System for the Indian Ocean. Information bulletin on earthquake before arrival of tsunami End-to-end solutions for utilization of data for natural resource management, geospatial applications and information services

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The Indian Ocean Earthquake and Tsunami, 26 December 2004 Source

Web pages from

Pacific Disater Center (PDC) SERTIT, Strasbourg University

www.pdc.org/iweb/pdchome.html;

Space and Major Disasters Spot Image UN Atlas of the Oceans UNOCHA

UNOSAT U.S. Geological Survey (USGS)

Description

Geospatial information and maps http://sertit.uMaps based on SPOT strasbg.fr/documents/asie/asia en.html imagery and video flythru. www.disasterscharter.org/ Satellite maps and imagery www.spotimage.fr/ Spot satellite images before and after tsunami www.oceansatlas.com/index.jsp Animations; strategy for early warning system www.reliefweb.int UNOCHA promote the dissemination of information on global humanitarian events http://unosat.web.cern.ch/unosat/asp/ Satellite imagery www.usgs.gov/ The U.S. Geological Survey disseminated a wide array of GIS products related to the tsunami via The National Map’s Hazard’s Data Distribution System

Fig. 17 Comparison of USGS damage maps and the GIS change map

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Damage Analysis: The Ordinary Kriging Technique Damage analysis is a complex task, as many factors can play an important role in post emergency operations. Therefore, the analysis requires a large number of input parameters, and the analysis techniques can be very costly and time consuming. So in order to create a continuous damage map of the Banda Aceh district, the Ordinary Kriging technique from ArcGIS SW was used and the Geo-statistical analysis tool of this simple prediction method was made. The first step was to create seven equidistant strips of 1.5 km from the shoreline. Then, 61 spread out points along the district were chosen from the SPOT5 classification results and GMES-respond map, and a value was assigned to each of them for both exposure factor “E” (crop, dense habitation, school buildings or vegetation) and vulnerability V (based on distance). The product of these two terms is the damage analysis map with a value of between 0 and 1: D= E×V The data points were interpolated as continuous surface and the root mean square standardized error was close to one (good estimation). The final results were visualized on two damage surface maps: the prediction standard error Map and the prediction map with probability of change (POC) values. Both maps, based on change detection analysis, show ten different coloured damage zones with standard errors ranging from 15% to 24% (Fig. 18). So the maximum damage area (0.86–1) was estimated as being 42 km2 , while the other disaster-stricken areas next to the shoreline were 27 km2 (0.73–0.86) and 24 km2 (0.6–0.73).

Fig. 18 1: Quickbird damage map (GMES); 2: Damage mask (km2 ): maximum damage area with yellow dotted line

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Results and Comparison Result 1: Comparison Optical vs SAR Data From a comparison between an ASAR-SAR change detection product, the related image (visible channels) and GIS damage analysis, the level of destruction was observed to be more extreme on the north western flank of the city in the areas immediately inland from the aquaculture pond (Mas 1999). A lot of numerical results for this area were registered indicating the total destruction:

r r r r r r

RGB SAR/ASAR Composites: great loss of backscatter with ␴◦ = −3 dB (pre/post) damage analysis map: D=1 Maximum damage; difference map: RED>0,8 big change; tsunami runup (12 m) with flow depths (5–9 m); post classification results (II): from dense to sparse habitation; Quickbird post Tsunami (I).

The area towards the sea was wiped clean of nearly every structure, while closer to the river, heavily built up areas in the commercial district showed the effects of severe flooding (Fig. 19).

Fig. 19 Effects of flooding

Result 2: Spot5 NIR of Banda Aceh Finally, Spot5 images were enhanced to make Near Infra Red colour composites RGB, by loading images on a layers stack (RED: pre-event GREEN, BLUE: postevent). Generally, the best wavelength region for separating water from land is the

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Fig. 20 Spot5 in the NIR channels Yellow dotted line: shore line prior to the tsunami. Yellow line: extent of inundation by the tsunami. Yellow numbers: representative measurements of tsunami flow depth in m (1 m=3.28 feet). White arrows: direction of tsunami flow; R:Tsunami runup

near-infra-red region at a wavelength between 0.75 ␮m −2.35 ␮m. The near infrared is strongly reflected by such vegetation as mangrooves, but strongly absorbed by water. This means that floods can be monitored by using the NIR images. With such images, changes from vegetated to open water surfaces become apparent. Thus, according to GIS and change detection results, a red flooded area was digitized and defined (Fig. 20). The previously detected extension of flooded area and the Tsunami wave penetration confirmed the estimated area based on the SPOT5 optical images (Yalciner et al. 2005, Martino et al. 2006).

The Andaman Islands The changes that can be detected between post and pre-event acquisitions include very large variations in the shape of the coastlines and the surface of some islands, as evident on the western coast of the Andaman Islands. Below we can see the variations of backscatter (red) from the combination of ASAR IS2 VV 11309 of 29/04/2004 with ASAR IS2 VV 16319 of 14/04/2005 (Fig. 21). These variations should be interpreted and modelled taking into account a variety of complementary data and measurements, including tides, depth of coral reefs and slopes on the coastline. Nevertheless, a preliminary analysis of backscatter variations between several different data pairs seems to indicate on several locations an increased extension of the land surface, irrespective of tidal conditions. Colour composites between ASAR IS2 VV acquisitions, taken before and after the date of 26/12/2004, show in red an increase in backscatter (coastlines around Sentinel Island, North Reef Island, Landfall Island, West coast of the Andaman Island). The same kind of effect is visible on all possible combinations of available pre- and post-event ASAR Narrow Swath acquisitions (Figs. 22 and 23).

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Fig. 21 Images of the detected changes between radar backscatter on the Northern (1) and Southern (2) Andaman islands, before and after 26/12/2004. (Uniroma2 TorVergata-ESA/ESRIN)

Fig. 22 a, North Reef Island; b, Sentinel Island; c, Landfall Island. (Uniroma2 TorVergataESA/ESRIN)

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Fig. 23 Sentinel island: Backscatter variations.(Uniroma2 -TorVergata-ESA/ESRIN)

We have defined some ROI (Regions of Interest) in the pre-tsunami and posttsunami images and the backscatter levels have been measured to quantify the backscatter variation.

Preliminary Results

r r r

Increase of backscatter has been found close to the coast in post-tsunami images, which may be due to a land elevation from the sea. The backscatter values in these areas are all similar (−6.8/−6.4), therefore the nature of the targets is probably the same. The backscatter values in these areas are similar to those measured in the island (−7.3/−6.5) (yellow ROI).

Making a comparison between an ASAR change detection product and the related Image (visible channels), the presence of land surfaces can be noted on several locations previously covered by the sea. These new land surfaces probably correspond to formerly submerged coral reefs and sandbanks, now permanently exposed to the surface (Fig. 24). Change detection (multi-temporal composite) between ERS1, VV, 7578 27/12/ 1992 and ERS2, VV, 50874 12/01/2005. Despite a 13-year time interval, the areas interested by the massive changes are those of the western coast (Fig. 25).

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Fig. 24 Sentinel island: ASAR-CHRIS comparison.(Uniroma2 – TorVergata-ESA/ESRIN)

Fig. 25 Nicobar Island: RGB. (Uiroma2 TorVergat-ESA/ESRIN)

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Future Trend Tsunami Warning and Prevention Technologies: The Pros and the Cons Since the destructive 1946 tsunami at Hilo, Hawaii, researchers have been prompted to think about the problem of tsunami prediction, but it has only been since the 1970’s that tsunami science and technology have developed and improved thanks to the progress of seismology and computers. Nevertheless, the main objectives of tsunami research aimed at saving lives, minimizing damage and economic dislocations, remain the same. The objective of creating effective countermeasures can only be achieved through a better understanding of the nature and extent of exposure to the phenomenon, and the implementation of reliable warning systems. The future trend of a tsunami warning system will depend on an attempt to create a real-time seafloor observatory, using pressure recorders simultaneously in the ocean’s depths and tide gauges to monitor the sea-level along the coast. Previously, seismic gauges detected tsunamigenic earthquakes, but since only a small proportion of strong earthquakes produce a tsunami, these old warning systems, based solely on seismic data, were prone to produce false alarms. The recent deployment of deep water pressure sensors with communication buoys, such as the Deep-ocean Assessment and Reporting of Tsunamis (DART) system in the US have improved the detection of false alarms, but is a very expensive solution for a global monitoring. The creation of an Indian Ocean Tsunami Warning System was prompted by the 26/12/2004 tsunami and became active in 2006. It consists of 25 seismographic stations relaying information to 26 national tsunami information centers, as well as three deep-ocean sensors. The underwater modules, produced by the Italian company Envirtech S.p.A. and built for the Indian National Institute of Ocean Technology, are: the Poseidon Class and the Vulcan Class Tsunameters. This equipment, successfully deployed on a seafloor at a depth of 3100 m in the Bay of Bengal and in the Andaman sea, represent the ultimate goal of tsunami forecasting. But a sensor network capable of detecting a tsunamigenic earthquake will be useless unless backed by improved communication infrastructures in the countries in greatest peril. Furthermore, coordination between governments and methods of relaying information from the centers to the civilians at risk are required to make the system effective. Then unlike the Pacific, the Indian Ocean tsunamigenic areas are too close to the urbanized coast (30 min distance). If a large undersea earthquake occurs near a coast, a local tsunami may follow and the first waves may reach shore very rapidly(15–20 min). This may not allow enough time for an official warning to be issued. A possible future step could be passive defence such as a sea wall construction, to deflect some of the energy of a tsunami. However, the construction of coastal seawalls or massive offshore breakwaters, as on Japan’s Okushiri Island, metres, have often been considered ugly, ruining the natural beauty of the landscape. In addition, this may not be a realistic approach in many countries, given the historic infrequency of serious tsunamis.

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The best way to continue in the future is to improve planning. But only a multidisciplinary, multi-technique study such as the merging of GIS. and Remote sensing, can combine all the forces at work to avoid tsunami casualties (Satake 2005). This would also involve using seismological, geological and historical data to predict where tsunamigenic events are most likely to occur. For example, information on bathymetry must be used to model the effects of eventual tsunami striking adjacent coasts. So GIS. analysis would be useful in order to comprehend the impact of an eventual tsunami disaster and the vulnerability of coastal communities, by estimating the potential number of the exposed population, i.e. the potential tsunami exposure (PTE) as experimented and validated (S. Koshimura and M.Takashima) during the event of 26/12/2004. But these policies have never been adopted in an attempt to solve the problems that, over the last decades, have magnified the threat of tsunamis, especially in Aceh, and that are briefly summarized as follows:

r r r r

Indiscriminate urbanization due to the technological and economic development of the coastal areas in most of the developing or developed world nations; Removal of coastal mangrove trees and of coastal sand dunes; Destruction of the coral reefs; Absence of awareness and preparation in the population due to wrong governmental policies.

Conclusion This work aims to show how the potential of high and low resolution satellite data, integrated with a geographic information system, offers excellent opportunities to be used as a basis and as input in planning logistics for response scenarios, planning evacuation routes and a public education programme that could be adopted for pre-post emergency operations, creating a long term database on risk assessment and relief management. Acknowledgments The author is grateful for the scientific contribution and the assistance in facilitating the publication of this paper, and to the experts of the Earth Observation Applications Department –ESA/ESRIN (Frascati) and of CRSPM (University of Rome “La Sapienza”).

FY, SJ, ZY satellite series

ALSAT-1 NigeriaSat BILSAT-1 UK-DMC

Space Resources ERS, ENVISAT, PROBA SPOT RADARSAT IRS POES, GOES SAC -C ALOS Landsat

European Space Agency (ESA) Centre national d’´etudes spatiales (CNES) Canadian Space Agency (CSA) Indian Space Research Organisation (ISRO) National Oceanic and Atmospheric Administration (NOAA) Argentina’s Comisi´on Nacional de Actividades Espaciales (CONAE) Japan Aerospace Exploration Agency (JAXA) United States Geological Survey (USGS) Disaster Monitoring Constellation (DMC) - Algeria - Centre National des Techniques Spatiales - Nigeria - National Space Research and Development - Turkey - T¨ubitak-BILTEN -UK - DMCii - BNSC China National Space Administration (CNSA)

Table 10 The Space Agencies currently members of the Charter

Member

Appendix

Remote Sensing and GIS Techniques for Natural Disaster Monitoring 375

5,6 cm (C-band)

15 channels: 0,390 - 1,040 channel 1: 1,58 - 1,64 channel 2: 3,55 - 3,93 chennel 3: 10,4 - 11,3 channel 4: 11,5 - 12,5 channel 5: 0,556 channel 6: 0,659 channel 7: 0,0.865 Atmospheric measurements

ASAR

MERIS

GOMOS SCIAMACHY MIPAS

AATSR

Spectral resolution (␮m)

Sensor-system

ENVISAT

Scan-width (km) 100/ variable/ TD>

1250

500

30 × 30 50 × 150 1000 × 1000 300 / 1200

1000 × 1000

daily

∼6 days

∼3 days

35 days / variable

Revisit period

Table 11 ENVISAT: Technical data. (ESA-Eduspace) Spatial resolution (m)

800 km, near polar, sunsynchronous

Orbital altitude

March 2002 -

Operation period

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GOME

channel 4: 11,5 - 12,5 channel 5: 0,556 channel 6: 0,659 channel 7: 0,865 channel 0,25 - 0,79

Synthetic Aperture Radar (SAR) 5,6 cm (C-band) channel 1: 1,58 - 1,64 channel 2: 3,55 - 3,93 ATSR-2 channel 3: 10,4 - 11,3

100

35 days

780 km, near polar, sun-synchronous

960

100

1000 × 1000

320 × 40

35 days

25 × 25

∼3 days

∼6 days

Operation period

17/07/1991 10/03/2000

Operation period

780 km, near polar, 20/04/1995 sun-synchronous

Spatial resolution (m) Scan-width (km) Revisit period Orbital altitude

Spectral resolution (␮m)

Sensor-system

ESR 2

channel 3: 10,4 - 11,3 channel 4: 11,5 - 12,5 Panchromatic: 0,50 - 0,90 15 × 15

ATSR

1000 × 1000

channel 1: 1,58 - 1,64 channel 2: 3,55 - 3,93

Spatial resolution (m) Scan-width (km) Revisit period Orbital altitude 25 × 25

Spectral resolution (␮m)

5,6 cm (C-band)

Synthetic Aperture Radar (SAR)

Table 12 ERS1-2: Technical data. (ESA-Eduspace)

Sensor-system

ERS 1

ERS (European Resource Sensing)

Remote Sensing and GIS Techniques for Natural Disaster Monitoring 377

20 × 20

10 × 10

channel 1: 0,50 - 0,59 channel 2: 0,61 - 0,68

channel 3: 0,79 - 0,89 Panchromatic: 0,51 - 0,73

HRV

117

60

Scan-width (km) 26 days / variable

Revisit period

2.5∗ ou 5 m

PA 0.49 -0.69 ␮m B0 0.43 - 0.47 ␮m B1 0.49 - 0.61 ␮m B2 0.61 - 0.68 ␮m B3 0.78 - 0.89 ␮m SWIR 1.58 - 1.75 ␮m Field of view 10 m 10 m 10 m 20 m 60 km

HRG

Spectral band 1 km 1 km 1 km 1 km 2250 km

VEGETATION

10 m 120 km

HRS

Table 14 SPOT5: spectral bands and instrument resolution. (CNES)

Spatial resolution (m)

Spectral resolution (␮m)

Sensor-system

Table 13 SPOT: Technical data. (ESA-Eduspace)

SPOT 5 (Satellite Pour l’Observation de la Terre)

832 km, near polar, sunsynchronous

Orbital altitude

21/02/1986 -

Operation period

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Sensor-system

channel 3: 0,63–0,69 channel 4: 0,76–0,90

0.7

Panchromatic: 0,45–0,90 channel 1: 0,45–0,52 channel 2: 0,52–0,60 2.8

Spatial resolution (m)

16.5

Scan-width (km)

1 to 3.5 days

Revisit period

Table 15 QUICKBIRD: Technical data. (ESA-Eduspace)

Spectral resolution (␮m)

QUICKBIRD

450 km, near polar, sunsynchronous

Orbital

18/10/2001 -

Operation period

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PROBA Table 16 PROBA: Technical data (ESA-Eduspace) Launch date Launch site Launcher Orbit Orbital parameters Orbital plane inclination Orbital period Mission duration Number of instruments Number of technological payloads Mission operations and ground station

22 October 2001 Sriharikota, India Antrix/ISRO PSLV-C3 LEO Sun-synchronous 681 × 561 km 97.9 degrees 96.97 minutes One year (planned) Eight Six ESA/REDU dedicated 2.4 m dish, average of 4 contacts of 10 m/day, automated evening & weekend passes

Table 17 CHRIS (ESA-Eduspace) Spectral range Spectral resolution Spatial resolution Swath width Spectral bands

415–1050 nm 5–12 nm 20 m at nadir 14 km up to 19 simultaneously at full resolutio

Acronyms ASAR CRED CRPSM DART DMC EMR EMS ENVISAT EO ERS ESA ESRIN FAO GIS GMES HIC ISRO LUT

Advanced Synthetic Aperture Radar Centre for Research on the Epidemiology of Disasters Centro Ricerca Progetto San Marco Deep-ocean Assessment and Reporting Disaster Monitoring Constellation Electro Magnetic Radiation Electro Magnetic Spectrum ENVIronmental SATellite Earth Observation European Resource Sensing European Space Agency European Space Research INstitute Food and Agriculture Organization Geographic Information System Global Monitoring for Environment and Security Humanitarian Information Center Indian Space Research Organisation Look-up-Table

Remote Sensing and GIS Techniques for Natural Disaster Monitoring

NDVI NOAA PDC POC PRI PROBA/CHRIS RADAR RS RGB ROI SAR SPOT TSAVI UNHCR UNICEF UNJLC UNOCHA UNOOSA UNOSAT UNWFP USAID USGS VV WHO

381

Normalized Vegetation Difference Index National Oceanic and Atmospheric Administration Pacific Disaster Center Probability of Change Precision Image PRoject for On -Board Autonomy/Compact High Resolution Imaging Spectrometre Radio Detection and Ranging Remote Sensing Red Green Blue Regions of Interest Synthetic Aperture Radar Satellite Pour l’Observation de la Terre Transformed Soil Adjusted Vegetation Index United Nations High Commissioner for the Refugees United Nations Children’s Fund United Nations Joint Logistics Center United Nations Office for the Coordination of Humanitarian Affairs United Nations Office of Outer Space Affairs UNOSAT is the United Nations Operational Satellite United Nations World Food Programme U.S. Agency for International Development United State Geological Survey Vertical Vertical Polarization World Health Organization

References Alexander D. (1999), “Natural disasters”, UCL Press Limited, London. Artru J., et al. (2005), Tsunami detection in the ionosphere, Geophysic J.Int. 160, 840–848, California Institute of technology. Campbell, J.B. (1985), “Introduction to remote sensing”, Taylor&Francis. Doeschera S.W., Ristyb R., and Sunneb R.H., (Oct. 14–16, 2005), “Use of commercial remote sensing satellite data in support of emergency response”, ISPRS Workshop on Service and Application of Spatial Data Infrastructure, XXXVI(4/W6), Hangzhou, China. Duca R. (2004) “Scattering in the open ocean with application to the North Pacific”, Master Degree Thesis – GeoInformation, DISP, UniRoma2. Duda R. O., Peter E.H. and David G.S., (2001), “Pattern classification”, Wiley-Interscience Dudley W., and Lee M., (2005), “Tsunami” CASALE MONFEREATO, PIEMME ESA and Nuova Telespazio, (2004) “BEST user manual”, Beta. ESA, Issue 1.1, 1 (2002), Asar Product Handbook. Godin Oleg, (05/2004), Air-sea interaction and feasibility of tsunami detection in the open ocean, Journal of Geophysical Research, 109(C5). pp.C05002.1-C05002.20 (40 REF.) Halif M.N.A., and Sabki S.N., (2005) “The physics of tsunami: Basic understanding of the Indian Ocean disaster”, American Journal of Applied Sciences 2. pp.1188–1191.

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Hoyois P., Scheuren J-M., Below R., and Guha-Sapir D. (2007) “Annual disaster statistical review: numbers and trends 2006”, CRED: Brussels. Jahjah M. (2003), “Trattamento delle immagini per l’analisi di change detection” Aerospace School La Sapienza, Rome. Johnston K., Jay M., Konstatntin K., and Lucas N. (2001), “Using ArcGIS geostatistical analyst”, ESRI. Lautrup B., (2005), “Tsunami physics”, The Niels Bohr Institute. Leica Geosystems (2003), Erdas Field Guide –EnviSat. Martino L., Jahjah M., Ulivieri C., Loret E. (2006), “Surface change detection based on multi sensor data integration case study: post tsunami banda aceh district”, IAC-06- B1.4.05, Valencia, 2006. Mas J.F. (1999), “Monitoring land-cover changes: A comparison of change detection techniques” International Journal of Remote Sensing, 20(1), 139–152. Mofjeld, H.O., Titov, V.V., Gonzalez, F.I., and Newman, J.C. (2000) “Analytic theory of tsunami wave scattering in the open ocean with application to the North Pacific Ocean” NOAA Technical Memorandum ERL PMEL-116, 38pp. Papadopulos A., and Fumihiko I., (2001), “A new proposal for a new tsunami intensity scale”, ITS, proceedings session 5, number 5-1. Puredorj T., Tateishi R., Ishiyama T., and Honda Y. (1998), “Relationship between percent Satake K. (2005), “Advances in natural and technological hazards research” Springer. Swiss Re (2006), “Natural catastrophes and man made disaster” Sigma, No 2/2006. Ulivieri C. (2006), “Space mission design”, Aerospace Engineering School, University of Rome “La Sapienza”. vegetataion cover and vegetation indices” International Journal of Remote Sensing, 19, 3519–3535. Yalciner A.C., Perincek D., Ersoy S., Presateya G.S., Hidayat R., and McAdoo B. (2005), “December 26, 2004 Indian Ocean Tsunami field survey (Jan. 21–31, 2005) at North of Sumatra Island”.

EO Products for Drought Risk Reduction Sanjay K. Srivastava, S. Bandyopadhyay, D. Gowrisankar, N.K. Shrivastava, V.S. Hegde and V. Jayaraman

Abstract Drought risk reduction strategies, with enhanced focus on preparedness, mitigation and warning, are truly knowledge intensive. Their implementation demands scientific inputs on all the aspects related to drought vulnerability, which are quite dynamic, difficult to capture and also complex. While Earth Observation (EO) information products and services do have enabling roles in addressing some of these demands, the issue is their integration as a part of the national strategy towards drought risk reduction. In efforts to promote principles of risk management by encouraging development of early warning systems; preparedness plans at all government levels; mitigation policies and programmes that reduce drought impacts; a coordinated emergency response programme that ensures timely and targeted relief during drought emergencies, use of EO enabled products and services has been found making impacts, whenever they have been used strategically. Although, drought risk reduction strategies are more specific and vary between countries, reflecting their unique physical, environmental, socioeconomic, and political characteristics, the generic EO information products and services have been contextualized accordingly through appropriate value addition and with the participation of the end users. Further, disseminating EO products and services through web have brought in newer challenges. The products and services of coarse resolution EO payloads have reached to the end users in many parts of the world, including India. However, technically these services cannot be extended beyond the early warning and broad level qualitative drought assessment and monitoring, while the real strength of EO lies in its applications towards mitigation and preparedness. The operationally demonstrated products and services, closer to community action and their enhanced coping mechanisms, need to be promoted. Access to high-resolution multi-spectral (to the extent of 20 m spatial resolution) EO products is an important information empowerment towards drought mitigation. Institutional infrastructure, especially basic national systems and services, is to be positioned strategically to absorb and S.K. Srivastava (B) Earth Observation System (EOS), Indian Space Research Organization (ISRO) Headquarters, Bangalore, India e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 15,

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recast, as per the local requirements, the products and services increasingly becoming available from the global/regional EO missions. Funding of drought risk is yet another emerging area wherein financial institutions especially insurance and banking sectors have interests, while high resolution multi-spectral imaging has a role to bring out in-season crop and weather statistics. A public private partnership could be built on such issues of common interest. Community based drought management, synergizing the indigenous coping mechanisms, local wisdom and technological means, is the ultimate to achieve. The paper spells out all these perspectives, while advocating the overall interest of developing countries in using EO products as a strategy towards drought risk reduction. Keywords Earth observation · Products and services · Indian remote sensing satellites · Agricultural drought · Drought risk reduction · Assessment · Mitigation · Preparedness · NADAMS and community based drought management

Introduction Drought: Vulnerability and Threat Drought is an insidious natural hazard affecting virtually all regions. While many definitions of drought exist, the importance of drought lies in its overall social, economic and environmental impacts. With the nonstructural nature and greater spatial extent, drought hits the largest number of the people. The agrarian economies of the developing nations are therefore more vulnerable. In fact, drought has been one of the primary reasons for widespread poverty and environmental degradation. Further, the climate model predictions indicate that the global change is likely to increase the vulnerability of tropical countries to drought, more in South Asia, where India is likely to get hard hit (IPPC 1996 and 2001). Rightfully, drought management has attracted attention worldwide. Awareness has been built upon at various levels on combating drought. The emphasis is being placed on risk reduction through mitigation, preparedness, and prediction and early warning. The efforts in this direction however require a right mix of policy, use of technological inputs in compatible institutional framework and community support on the ground. Earth Observation (EO) information products and services have proved as enabling means, if they are strategically used. Basically, they are the knowledge products with operationally demonstrated capabilities. The product cycle, involving data processing, value addition and knowledge extraction, goes through several steps including acceptability by the end users and their integration into the decision-making processes. Rapid advances are taking place in EO, their products and services. Further, coupled with their enhanced access through web and other electronic delivery mechanisms, EO products and services towards drought management deserve advocacy particularly in the drought-prone regions.

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The efforts, in such endeavors, will go a long way to enhance the operational means to drought management especially in the high risk and low capacity developing countries.

Drought in India: Impact, Characterization and Levels of Severity India is amongst the most vulnerable drought-prone countries of the world; a drought is reported at least once in every three years in the last five decades. What is of concern is its increasing frequency. Since the mid-nineties, prolonged and widespread droughts have occurred in consecutive years while the frequency of droughts has also increased in the recent times (FAO, 2002; World Bank, 2003). The impact of droughts is more severe on the food and agricultural sector. The loss of crops and livelihood and its effect on the agrarian economy have severe consequences to the overall well being of the rural poor. Continued decline of productivity leads to diminished assets and reduced investments. The impact of drought especially in Asia and the Pacific region has been severe as nearly two-third’s area of the region is rainfed with large portion of arid and semi-arid pockets. Drought, a creeping phenomenon, seldom results in structural damage, in contrast to floods, hurricanes, and earthquakes. For this reason, the quantification of impacts and the provision of relief are far more difficult tasks than that of other natural hazards. The non-structural characteristic of drought impacts has hindered the development of accurate, reliable, and timely estimates of severity and, ultimately, the formulation of drought contingency plans by most of the governments. Drought has been grouped as meteorological, hydrological, agricultural, and socioeconomic phenomena as shown in Fig. 1 (Wilhite, 1992; Wilhite and Glantz, 1985; Wilhite et al. 1986). The aggregate of all these finally leads to rural poverty and food insecurity. This concept of drought supports the strong symbiosis that exists between drought and livelihood processes especially in the agrarian economy of the developing countries. Drought has thus both natural and social components. The risk associated with drought for any region is a product of both the region’s exposure to the event (i.e., probability of occurrence at various severity levels) and the vulnerability of society to the event. Exposure to drought varies spatially and there is little, if anything, that we can do to alter drought occurrence. Vulnerability is determined by social factors such as population, demographic characteristics, technology, policy, and social behaviour. These factors change over time, and thus vulnerability is likely to increase or decrease in response to these changes. Subsequent droughts in the same region will have different effects, even if they are identical in intensity, duration, and spatial characteristics, because societal characteristics would have changed. However, much can be done to lessen societal vulnerability to drought. Hazard events have been ranked by Bryant (1991) on the basis of their characteristics and impacts. Key hazard characteristics used for this evaluation include an

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Spatial/ Time Domain

Climate Variability

• Deficit Precipitation • Increased Evapotranspiration

• Soil water deficiency • Stressed crop & reduced yield

• Drying of water bodies • Reduced stream flow

Economic Impacts

Social Impacts

Meteorological Drought

Agricultural Drought

Hydrological Drought

Ecological Impacts

Poverty, Food insecurity, Joblessness, Urban Migration, Hunger/Famine

Fig. 1 Natural and social dimensions of drought

expression of the degree of severity, length of event, total areal extent, total loss of life, total economic loss, social effects, long-term impact, suddenness, and occurrence of associated hazards for thirty-one hazards. Because of the intensity, duration, and spatial extent of drought events and the magnitude of associated impacts, drought ranks very high. The total loss of life associated with drought may have been overestimated because it has included deaths associated with famine. Drought does disrupt food production systems but is only one of several potential natural triggers for famine; other social triggers, such as inequity and frustrations further lead to civil strife and war, have been more important factors in recent years. The latest report from the Intergovernmental Panel on Climate Change (IPCC 2007) has highlighted that the climate change is likely to be more rapid than what was expected five years ago. Average temperature will continue increasing and thus resulting in drier conditions, especially in the interior of major continents. Total rainfall amounts may increase in some regions, but variability is likely to increase. As a result, drought will become more frequent and intense, while rainfall will be concentrated in shorter and more severe storms. Asian summer monsoon precipitation is expected to be more erratic. In arid, dry semi-arid and moist semi-arid regions, delayed and reduced precipitation owing to El Nino and South Oscillation (ENSO), climate change and other local conditions exacerbate the growing water shortage faced by nearly 1.3 billion of the Asia-Pacific region’s poorest inhabitants. The vulnerability of developing countries is likely to be much more, due to their lower level of adaptive capacity. Where people have financial resources, access to technology and knowledge, they can more adequately cope up with

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exogenous changes, shocks and impacts. While these attributes of adaptive capacity are low, vulnerability is correspondingly greater (Mendelsohn and Dinar, 1999; Reilly et al. 1996). The capital-intensive agricultural systems are less sensitive to climate, perhaps because they can control so many more inputs. It will be quite challenging in the context of Indian agriculture, predominantly contributed by small and marginal farmers, to reduce the drought risks in the altered climate regime.

Drought Management Practices The present policies on drought management in India have evolved over a period of time. The relief policy was broadly speaking of ad hoc measures during the initial period of drought management. Famine conditions provided for taking measures when danger of large-scale human mortality was apprehended and aimed at preventing deaths on account of calamities. Later on, famine-relief codes were replaced with scarcity-relief measures with emphasis on reducing human distress and misery. The public distribution system was evolved as a response to the droughts of midsixties for building up a reliable food supply system. Later came employment generation programmes, which led to creation of durable and productive assets. Drought management policy seeks to provide for social and economic goals for the welfare state and the egalitarian objective of the State. The objective is not only to prevent starvation deaths but also to halt physical deterioration and destitution of people and livestock. Existing drought management package consists of several programmes, which aim at mitigating the severity of drought. However, notwithstanding their welfare goals, these programmes in general suffer from poor infrastructure, technical content and low credit flow in the chronically drought-prone areas. Basically, the practices of drought management in India could be summarized in terms of the following strategies and trends:

r r

r r r

Management of natural resources holds the key. Focus has been placed on community centric, ecosystem based approach of planning, implementation of plans and proactive mitigation measures, risk management, resources stewardship, environmental considerations, and public education. Stronger linkages between scientific research laboratory, agricultural meteorological networks and drought management functionaries on the ground are of great significance. This is essentially to aim at enhancing the effectiveness of observation networks, monitoring, prediction, information delivery and applied research and to foster public understanding of and preparedness for drought. Encouraging the integration of comprehensive insurance and financial strategies into drought preparedness plans. Institutionalising a safety net of emergency relief that emphasizes sound stewardship of natural resources and self-help. The rank of priorities should follow as the preference of preparedness over insurance, insurance over relief, and incentives over regulation.

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To be more specific, the following approaches have gained importance in the recent times:

r r r

r

Multi-sectoral Linkages: The focus is on integration of disaster management programmes with other sectoral issues such as poverty alleviation, natural resources development etc. Especially, poverty reduction and drought management are moving towards having stronger linkages with other sectoral issues. Regulatory Framework: Efforts have been made to enact a comprehensive Disaster Management Act; develop policy guidelines at the national, state, sector and sub-sector levels. Risk Financing and Insurance: There is focus now to promote risk sharing and transfer mechanisms (insurance schemes) for natural disaster mitigation, enhanced financial support to the vulnerability reduction funds. Some of the concepts in this regard include risk pool and risk management strategies for poor households, credit markets, support-led interventions for vulnerability reduction and mitigation, financial resources for mitigation and investment, natural disaster insurance – especially agricultural/crop insurance for drought and group based insurance programme (Suvit, 2001). Community Based Drought Management: This strategy encourages involvement of vulnerable people themselves in planning and implementation of mitigation measures. This bottom up approach has received wide acceptance because communities are considered as the best judges for their own vulnerability and can make best decisions regarding their well-being. The aim is to reduce vulnerability and strengthen people’s capacity to cope with drought.

Towards placing policies into the strategic action, there are two aspects – crisis and risk management. While crisis management involves impact assessment, response, recovery and reconstruction, risk management focuses more on preparedness, mitigation, prediction and early warning. In the past, government placed more emphasis on crisis management, while little attention was given to risk management components. Implementing the newer policies of drought management calls for greater priority on risk management. Reducing the risks requires greater emphasis to be placed on preparedness and mitigation. Preparedness leads to greater institutional capacity to cope with drought events through the creation of an organizational structure that improves information flow and coordination between and within levels of government. It is also about increasing the coping capacity of individuals, communities, and governments to handle drought events. Drought preparedness, coupled with appropriate mitigation actions and programmes, can reduce and, in some cases, eliminate many of the impacts associated with drought. Drought risk reduction is a cyclical, dynamic process that requires continuous adjustments, decision-making and interaction at different yet interrelated levels and among a variety of institutions and role-players, including individuals, households, communities, non-governmental organisations (NGOs), market institutions, and echelons of government. Constructing a need matrix for implementation of the drought risk reduction strategies is complex but quite useful in terms of identifying holistically the information needs as well as the gaps existing in the system.

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Interpreting the need matrix in terms of a set of requirements highlights a range of priorities. Risk assessment (a critical requirement for targeting the community at risk), early warning, emergency communication and damage assessment follow the priority sequence. Risk assessment has to be followed by mitigation strategies, such as management of land and water resources in tune with climatic factors, integrated rainwater and nutrient management for drought-prone farming systems, farming system enterprises for ameliorating drought in rainfed regions, drought management strategies – agro-forestry and livestock issues and financial interventions in support of drought alleviation programme. The spatial characteristics of drought have to be taken into account to understand all the linkages among the natural resources, agro-ecological zones, levels of end users within a particular administrative unit etc. A detailed spatial database comprising climate, hydrological units, land use/land cover, crops, soils, slope and administrative boundaries is important for putting drought risk reduction into the operational context.

EO Information Products and Services for Drought Management In India, EO information products and services have been an integral part of the operational strategy for drought management. Coarse resolution weather and highresolution multi-spectral EO satellites, both being the complementary and supplementary to each other, have demonstrated their operational potential to address issues pertaining to drought risk as well as crisis management. These products and services have been able to demonstrate their potential in terms of addressing some of the key requirements of end users as listed out in Table 1. Space information products and services, in the present context, are nothing but some of the deliverables extracted from EO satellites, which provide decision support in the context of drought management. Their developments go through a cycle involving, at the various stages, a process of product development in order to meet the operational requirements of end users. The process starts with capturing drought indicators in terms of EO amenable parameters; quantifying end user’s requirements; integrating them into supporting data; analyzing them to ensure appropriate content, adhering to quality and standards; value addition through GIS modeling and finally arriving at the final products. The final products are essentially aimed to lead to actionable solutions. In the simplest term, it is transition of EO data to information and service cycle. The products are generated from EO satellites of different platforms, feed to the overall drought management cycle. The Advanced Very High Resolution Radiometer (AVHRR) on NOAA polarorbiting satellites is well recognized and its products are extensively used in India. The unique part of NOAA AVHRR has been the cost effectiveness, free access on web, and a repetitive view of nearly all of the earth’s surfaces. NOAA Global Vegetation Index (GVI) product is produced routinely since 1985. The GVI is produced by sampling the AVHRR-based 4-km (global area

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S.K. Srivastava et al. Table 1 Operational EO enabled services for drought management

Indicators Vegetation stress/land cover change

EO products

r r r

Agro-ecological features

Water Resources

r r r r r r r r r

Crops/fodder

r r r r

Geology

r

Status of land cover and change over the time Delineation of stressed/unstressed areas Change detection maps Monitoring and impact assessment Hazard zonation map Risk assessment map Ground water prospects Surface water body mapping Irrigation water management Runoff modeling Reservoir sedimentation Water quality monitoring Crop types inventory Identifying crop stress Accurate measurement (high resolution data) of field boundaries and crop identification Cropping system analysis Hydro-geomorphological features

EO based services

r r r r

Planning towards interventions/midcourse corrections Early warning Land resource information system

r

Drought management information support Drought warning and vigilance system

r r r r r

Drinking water supply Soil and water conservation Checking water pollution De-silting of ponds Planning of drought proofing measures

r r r

r r

Crop acreage and yield forecasting Monitoring agricultural subsidy claims Monitoring long-term changes in cropping patterns.

Ground water prospecting Rainwater harvesting

coverage format, GAC) daily radiances in the visible (VIS) and Near Infra-red (NIR) channels. Normalized Difference Vegetation Index (NDVI) using VIS and NIR channels of AVHRR of 1 km resolution is another widely used NOAA product. Unlike the two spectral channel approaches of GVI and NDVI to vegetation monitoring, the improved NOAA AVHRR products use a three spectral channel combination: visible (VIS, ch1), near infrared (NIR, ch2), and thermal infrared (IR, ch4). Improved NOAA AVHRR products are basically three indices characterizing moisture (Vegetation Condition Index, VCI), thermal (Temperature Condition Index, TCI), and vegetation health (Vegetation Health Index, VHI) and thus addressing drought indicators more comprehensively. Compared to ground-based and NDVI drought detection system, these new products provide earlier drought warning; help in estimating areas under drought of different severity and to diagnose the potential

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Table 2 NOAA AVHRR based products and services being used in India for drought monitoring assessment NOAA AVHRR operational products

Drought related services

GVI (Global products)

Vegetation stress at regional level, Inputs to early warning, drought impact assessment and perspective planning Vegetation stress at regional/sub-regional and even local level, Inputs to early warning, monitoring and impact assessment, crop condition and production estimation, crop loss and damage assessment, land use/land cover change assessment, soil moisture, evapo-transpiration, crop water stress index, Palmer Drought Severity Index (PDSI) etc ..plus Sensitive to subtle changes in moisture status, improved early warning and vegetation conditions ..plus Sensitive to subtle changes in temperature regime, improved early warning and environmental characterization ..plus Sensitive to subtle changes in vegetation conditions and vegetation characterization Relative drought scenario with respect to time, regions with enhanced severity levels (pointers to the overall drought conditions)

NDVI (Regional/sub-regional products)

VCI (Regional/sub-regional products) TCI (Regional/sub-regional products) VHI (Regional/sub-regional products) Current Vegetation Health Image Maps, Changes in Vegetation Health from Previous Week, Changes in Vegetation Health from Previous Year, Archived Vegetation Health Image Maps, Moisture and Thermal Conditions Global Map

of drought development prior to actual start of drought conditions (Kogan, 1997; Kogan, 2001; Kogan et al. 2003). List of NOAA AVHRR based products and services with regard to drought are summarized in Table 2. The NOAA AVHRR products and services have demonstrated their potential in almost all the drought-prone regions of the globe. The new AVHRR based products (VCI, TCI, VHI) have helped in detecting drought 4 to 6 weeks earlier than that was previously possible. These provide added warning lead-time, which is critically important for pinpointing the problem, making decision and implementing measures to mitigate consequences (Singh et al. 2003).

Demonstrated Operational EO Applications The EO capabilities, in India, have been harnessed in the context of (i) monitoring and early warning of drought, and (ii) drought mitigation efforts.

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Early Warning and Monitoring System Products and services of EO hold the key for early warning systems towards detecting and forecasting impending drought and for issuing alerts. India is using EO inputs towards early warning and monitoring the agricultural drought. Synergy of agro-meteorological and EO based systems is of considerable significance. The integration of EO enabled NDVI with aridity indices based on radiation and water balance parameters hold the key for monitoring agricultural drought in the region. Use of NOAA data in addressing vegetation, and temperature based soil moisture variations has demonstrated such possibility at the coarser scale. On the types of vegetation indices sensitive to capture the finer aspects of drought, a recent study in the hard-rock hilly Aravalli terrain of Rajasthan province of India which often suffers with frequent drought due to poor and delayed monsoon, abnormally high summer-temperature and insufficient water resources has brought out an interesting result. The VCI, TCI and VHI derived by integrating thermal channel of NOAA AVHRR and NDVI values obtained from GVI were found have better sensitivity to the agricultural drought. The result was validated taking into account collateral indicators such as the Standardised Precipitation Index (SPI) which is used to quantify the precipitation deficit, and Standardised Water-Level Index (SWI) which is developed to assess ground-water recharge-deficit (Kogan et al. 2003; Bhuiyan et al. 2006). Operationally, National Agricultural Drought Assessment and Monitoring System (NADAMS) has been put in place, which provides near real-time information on prevalence, severity level and persistence of agricultural drought at state/district/subdistrict level during kharif season (June-November). Currently, the project covers 14 states, which are predominantly agriculture based and prone to drought situation. The agricultural area of each district is monitored using time series NDVI with the support of ground data. The assessment of agricultural drought situation takes in to consideration, the satellite derived information on (a) seasonal NDVI progression – i.e., transformation of NDVI from the beginning of the season, (b) comparison of NDVI profile with previous normal years and (c) Vegetation Condition Index, integrated with ground information on cropping pattern, irrigation support, crop sown areas, soils, rainfall etc. Over the years, NADAMS is moving towards strengthening Early Warning Systems (EWS) for drought in the country. The real gap of using EO lies in its generic character because of the coarser scale. The local features relevant to agriculture drought such as crop, soil and weather are generally not reflected. Because of this reason, it is difficult to initiate field action though the information is valuable for policy and broad level relief mobilization. The use of high radiometric and better resolution Advanced WiFS in conjunction with SWIR band from India latest EO satellite, RESOURCESAT-1, has helped to improve NADAMS capability further mainly to capture local level variations (Jayaraman, 2004). In case of drought, by using IRS AWiFS derived NDVI profiles at sub-district level in some of the perennially drought-prone regions such as the States like Andhra Pradesh, Haryana, Karnataka and Maharashtra, NADAMS has demonstrated the operational viability of drought EWS (NRSA, 2007).

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Fig. 2 (a) NADAMS Products – Nationwide agricultural drought monitoring based on NOAA AVHRR data and (b) Drought Monitoring at State, District and Sub-district levels using RESOURCESAT-1 AWiFS data (Source: NRSA Annual Report 2007)

The highlights of AWiFS based drought EWS, which was put to use to monitor agricultural drought (Fig. 2) could be summarized as: – Multi-levels: Drought monitoring at National, state and district (based on NOAA AVHRR) and taluk/block (sub-district) levels (based on multi-date AWiFS data); – Types of Warning: NDVI based indicators identify a taluk in terms of ‘Watch’ (to be monitored for forthcoming drought), ‘Alert’ (calls for immediate interventions to save crops/cattle,) and “normal’; – Synergy with ground based operational systems: Addressed the existing gaps in traditional systems of not having denser observational networks for precipitation based drought monitoring and added value in terms impacts on crops; – Acceptability: Used as a part of crop-weather-watch activities of drought forewarning of Ministry of Agriculture and State Drought Relief agencies.

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Drought Mitigation The real strength of EO lies in its ability to develop certain products and services of relevance to drought mitigation. The highlights of key applications, based on successfully demonstrated in the operational practices in India, are listed out in the Box 1. Taking into account the demonstrated operational EO applications towards drought mitigation, the following strategies have been found successful:

r r r r

EO to enable information for drought preparedness and response through efficient land and water management practices EO to integrate as a tool for national, state and regional policies towards management and maintenance of all reserves developed as part of drought preparedness initiatives, whether they be reserves of food, surface or groundwater, seeds or fodder. EO to catalyze drought preparedness through sustainable watershed development programmes and participatory community-based action-learning processes to empower stakeholders to manage natural resources (Box 2). At the national level, EO has to be used operationally to support preparation of a National Drought Mitigation Plan, involving all the ministries and concerned organizations such as NGOs.

Box 1 Demonstrated EO products towards drought mitigation

r r r r r r

Hazard analysis: assessing the probability of occurrence based on historical coarse resolution multi-spectral data from meteorological/environmental satellites. Vulnerability analysis: assessing the degree of loss expected to population, and their economic activities based on high-resolution multi-spectral imaging products. Risk assessment: assessing the numbers of people likely to be affected by integrating EO inputs with census and survey data through GIS based spatial modeling. Land use planning and legislation: development of drought resistant cropping system, land use practices and action plans for soil and water conservation. Drought Preparedness: Creation of GIS databases including EO inputs for vulnerable areas; and Development of query based Decision Support System (DSS). Drought Relief: Rapid mapping and damage assessment of loss of agricultural production, fodder etc; and Food/fodder insecurity assessment to ensure an undisturbed supply of aid.

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Box 2 EO based interventions towards drought mitigation The watershed of Fakot in one of the perennially drought-prone areas of India was characterized by massive land degradation and marginal income from the farming to the stakeholders. Using EO based inputs and appropriately integrating with GIS, the interventions in terms of watershed development plans were worked out and implemented. This resulted in phenomenal improvements in terms of controlling soil erosion and run-off as shown below. The success of such pilot projects led to launching a major National mission (called National Watershed Development Programme for Rainfed Areas (NWDPRA) and Drought Prone Areas Programme (DPAP) covering geographical areas to the tune of 7.46 Mha through people’s participation/employment generation.

3000

12

2000

8

1500

6 Interventions

4

Interventions

1000

Soil loss (t /ha/annum)

Interventions

2500 Rainfall and Runoff (mm)

• Crop productivity increased by 1.5 times • Income per ha increased by 10 1.2 times

2

500

0

Rainfall

Soil Loss

98-99

95-96

93-94

91-92

89-90

87-88

85-86

83-84

81-82

79-80

77-78

75-76

0

Runoff

(Source: Vision 2020, Natural Resources Management Research, Division of Natural Resources Management, Indian Council of Agricultural Research (ICAR), Govt of India, New Delhi, 2000)

Funding Drought Risk and Vulnerability: Emerging Applications The farmers of arid and semi-arid regions, with limited and increasingly declining marketable surplus, have always been subjected to the manipulations of the market as well as extremes of the weather. The governmental policy thrust till now has been

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on strengthening production technology and input delivery systems and regulating the market price of products through minimum support price structures. This hasn’t been enough to give farmers a shield for their vulnerability, especially in the context of drought. Agricultural insurance, which aims at insuring farmers against production and price risks, is to protect the vulnerability of small and marginal farmers. The scheme envisages seeing the government giving a premium subsidy and guaranteeing farmers a minimum income to reduce their vulnerability. Under this scheme, an ‘Area Approach or Area Yield Approach’ is being used for actual yield and price measurement of the insured crop. The government is to give a premium subsidy in the case of small and marginal farmers (ISDR, 2004; World Bank Report 2003). Financial agencies including World Bank, Asian Development Bank, Private Banks and some of the Insurance companies have proposed weather-based index insurance schemes. These schemes also operate on the basis of ‘Area Approach or Area Yield Approach’. The weather or “trigger” event (rainfall deficit) during the critical stage of crop growth can be independently verified by analyzing EO based crop inventory, taking into account the sensitivity of key crop growth parameters, viz., Leaf Area Index (LAI) with rainfall. EO, though limited, but have played catalytic role in promoting agricultural insurance. For example, NOAA weather data and associated EO inputs are being used in crop insurance services in United States. NOAA data is used both directly and indirectly mainly in establishing rates and coverages, high-risk areas, planting and harvesting dates, crop hardiness areas, new crop programmes and developing crop models and current year loss estimates. Insurance services and compliance programmes use historical and current EO data as an additional information resource in determining if losses are reasonable. The use of EO inputs/products in crop insurance, in the developing countries, has to be context specific and to focus more on fragmented land holdings with typical multiple cropping systems of dryland agriculture. Quite a few developing countries have been using EO inputs for agricultural statistics. Recasting these applications in tune with the ‘Area Approach’ method of crop insurance policy and also to expand them to cover specific dryland crops having greater risk per acre conceptually sound promising. The operational mechanisms that also include technological vis-`a-vis institutional factors need priority and reorientation. A roadmap in this direction could have the following steps:

r

r

Hazard zonation and risk assessment: In case of drought, hazard zonation and risk assessment could be climate/weather based in tune with agro-ecological zones and socio-economic conditions. This is essentially to focus on the riskiest population, which could be targeted for social safety nets, other interventions including the risk transfer mechanisms through crop insurance scheme. Local Area Statistics: In the selected risk zones, high precision EO base crop statistics related applications may hold ground. Assessment of yield or crop conditions at the individual field is not practical. Normally, for crop insurance, a scheme based on the homogeneous area approach is called for. All that is needed is a delineation of agro-climatic regions, small enough to be homogeneous in the

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sense that the annual crop experience of a majority of farmers coincides with average experience of the area and large enough to enable the determination of the crop conditions and yield with reasonably small statistical errors. Though agricultural insurance or other weather-based index insurance cannot fix all the ills of vulnerability, the small and marginal farmers are confronted with, especially with regard to drought; they however provide an opportunity to reach them out in terms of compensating a part of the losses they experienced. In case of drought, farmers deserve to be given an income guarantee based on yield, price, or area planted. Success of crop insurance initiatives of insurance companies/banks lies in strong and dynamic ‘Areas Specific’ crop and weather statistics, for which EO products and services are of considerable value and thus awareness needs to be built upon.

Risk Assessment Model In pursuit of funding the drought risk and vulnerability, risk assessment is the most critical input. Integration of EO enabled products to the risk model is a promising approach, which demonstrates its feasibility in case of drought risk assessment. An effort has been made to realize EO based risk assessment model. The proposed risk model primarily aims at assessing the damage due to the drought and thus the methodology takes into account the assets vulnerable to the drought rather than the social factors of vulnerability like socio-economic indicators and community profiling. The central focus in the risk model involves a detailed assessment of loss potential in the event of drought, often based on historical patterns to determine which specific exposures should be examined. The generated set of stochastic events was then used in four steps of the risk assessment model (Fig. 3). As a proof of the concept study, this model was used for the drought risk assessment in a droughtaffected district of India. Probabilistic loss estimates – Stochastic events from historical data

Hazard Module: NADAMS Input Frequency, severity

Exposure Module: CAPE Inputs, Small area estimation

“Assets at risk” – crops, cattle,….

Vulnerability Module: Area Damaged Damage quantification, vulnerability function

Loss Analysis Module: Aggregated loss

Fig. 3 Area based risk assessment model

(Monetary loss calculation, asset-wise, location-wise & aggregation)

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A Case Study – Validation of Risk Assessment Model Vegetation indices provide timely information on drought severity and help in assessment and monitoring of agricultural drought. The seasonal NDVI profile extracted from NADAMS data have been used for this purpose in the risk assessment model. The seasonal progression of satellite derived NDVI compared with normal NDVI profile helps to continuously monitor drought conditions on a real time basis often helping the decision makers initiate strategies for recovery by changing cropping patterns and practices (NRSA, 2005 and Jeyaseelan and Chandrasekar, 2002). This strategy has been used to capture in-season drought assessment. Karnataka, one of the southern states of India has drought hit areas to the tune of 10 million ha covered in 88 taluks (sub-districts) in 18 districts. In the hazard module, which indicates the severity and frequency of drought, risk is characterized as a function of NDVI, collateral data and social mapping viz., demographic social and economic profile etc. The strategies for realizing the different modules of the model are highlighted below: Hazard Module To develop the hazard module, two approaches have been analyzed. The first approach is based on the identification of the key characteristics of drought prone areas taking into account the conventional data on low rainfall, percentage years of rainfall failure and irrigation support. Recognizing that the satellite based vegetation index indicates spatial vegetation activity, which depends not only with rainfall, weather, and irrigation support but also with other parameters like soil fertility, type of vegetation and farming practices etc., the second approach envisages satellite-based identification of drought proneness to arrive at the hazard module. There is neither any evaluating or monitoring mechanism to know the impact of various drought ameliorative measures taken up by the Government over the drought prone area, nor any effort on updation taking into account the climate change phenomena. Considering these aspects, the second approach based on NDVI sounds more realistic. In India, Jeyaseelan and Chandrasekar (2002) identified the drought prone areas using recent years satellite based vegetation index data of 1 km spatial resolution. The method involved identification of area of low vegetation development with large year-to-year variation and its occurrence over more number of years. Out of the total study period of 15 years from 1986 to 1999, the first 10-year period from 1986 to 1995 was considered excluding the year 1991 and 1994 to derive the average condition and to derive vegetation activity types. Using NDVI approach, the drought prone area has been ranked into three levels namely severe (rank I), moderate (rank II) and lesser (rank III). These are based on mean NDVI, their Standard Deviation and the frequency of NDVI values. The severely drought prone area is identified with low to average vegetation level with high to low Standard deviation and frequency of more than 4 years of low NDVI. The moderate drought prone is identified with average to high vegetation level with high to low standard deviation and frequency of 3–4 years of low NDVI (Table 3).

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Table 3 Risk ranking based NDVI based frequency of drought Ranking based on Drought – severity levels Mean NDVI

Standard Deviation – range

Frequency of low NDVI

Name of the districts Tumkur, Chitradurge, Bellary, Dharward, Raichur, Gulberga, Bijapur, Belgaum, Bagalkote Kolar, Davanagere, Koppala, Gadak, Haveri Bidar, Banaglore, Shimoga, Udupi

I (Severe)

Low value (0.05–0.15)

High value (0.0–0.08)

High (>4 yrs)

II (Moderate)

Medium (0.15–0.30)

Medium (0.0–0.05)

Medium (3–4 yrs)

III (Lesser )

High value (>0.3)

Low (0.0–0.025)

Low (1–2 yrs)

The lesser drought prone area is identified with average to high vegetation level with high to low standard deviation and frequency of 1–2 years of low NDVI. The result indicated that the drought prone area identified by the satellite-based study was found reduced mostly due to irrigation development and improved agriculture. In the category of severe drought prone districts, five districts viz., Bagalkote, Belgaum, Bijapur, Dharward and Gulbarga have been identified for risk and damage assessment modeling. These districts have experienced severe drought in 1999, 2001, 2002, 2003 and 2004, as shown in terms of deficient seasonal kharif (monsoon) rainfall (Table 4). The severity has also been captured in terms of mean NDVI, their Standard Deviation and frequency of low NDVI. The NDVI image of Gulbarga district during 2002, which was a severe drought year and the progression of NDVI for 2002 drought year and normal NDVI are depicted in Fig. 4. The hazard module, in terms of NDVI related parameters, thus identifies these five districts among the most severe drought category. Table 4 Drought severity based rainfall data (deviation of 100 years mean rainfall data) District/Year

1999

2001

2002

2003

2004

Bagalkote Belgaum Bijapur Dharwad Gulbarga

−22 −11 −19 −25 −31

−17 −13 −18 −27 −16

−46 −28 −36 −22 −40

−64 −52 −28 −51 −20

7 −1 −5 0 −38

Exposure Model The physical assets in the study areas, which get affected as a result of drought, include agriculture including horticulture, drinking water, rural employment, animal husbandry, power and health. The exposure values of “assets at risk” at district level for all the five districts have been estimated from available secondary data sources. In this context, outputs of Crop Acreage and Production Estimation (CAPE) project

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0.6 2002 NDVI

0.5

Normal NDVI

0.4 September, 2002 NDVI

0.3

Normal

NDVI profile

0.2 0.1

Low

0

Moderate

–0.1

Severe

JulyAugSepOct

–0.2

–0.26 Cloud 0.1

0.25 0.40

0.50 0.60 >0.70

Fig. 4 Vegetation stress in Gulbarga District as depicted through NDVI data

project are used to derive crop types and areal extent. Statistical regression models have been developed and used in this project for yield forecasting at district level (Jayaraman et al. 2007). These models are mostly based on empirical crop weather relations and hence are location and time specific. Yield models based on indices such as NDVI, ratio etc., derived from remote sensing data were also developed and combined with meteorological models. Based on this data, the module then computes the value for all types of exposures as a product of multiplication of the area of total assets at the risk and the average replacement cost per unit of these assets. Initially the asset at risk for agriculture sector has been determined. On the basis of the trends depicting the inter-sectoral linkages among the sectors related to agriculture, the damage estimation has been extrapolated to the other sectors.

Vulnerability Module In the agriculture sector, major crops grown in these districts have been taken for asset calculation. The normal crop production data and the minimum support price for each crop in the respective five districts are taken from secondary sources. The Mean Damage Ratio (MDR) has been calculated using drought-year NDVI and normal NDVI as given below: MDR = 1 −

DroughtNDVI NormalNDVI

The calculated MDR was found to be highest for Bagalkote district with 0.83 followed by Gulbarga (0.71), Belgaum (0.41), Bijapur (0.41) and Dharwad (0.37).

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Loss Analysis Module To calculate losses, the damage ratio derived in the vulnerability module is translated into dollar loss by multiplying the damage ratio by the value at risk. This is done for each asset class at each location. Losses are then aggregated at block, district, or state level as required. The probabilistic area wise risk model could thus be used for quantifying the assets at risk and also the damage assessment due to agricultural drought. For analysising the loss due to drought (i) area sown under agriculture with major crop break up from the available sources; (ii) area affected due to drought based on the above NDVI analysis; (iii) Cost of cultivation (CC) and Minimum Support Price (MSP) for major crops as available in secondary sources (www.indiastat.com) are used. To calculate losses, major crop-wise area affected by drought is translated into economic loss by multiplying with CC and MSP as given below:

r r

Loss in CC terms = Loss of production in tonnes (t) × [CC per ha/Yield in t/ha] Loss in terms of MSP = Loss of production in tonnes (t) × MSP per t

Fig. 5 (i) Geospatial information showing the parcel of land with established ownership, (ii) georeferenced cadastral land holdings, and (iii) action plans for natural resources development at field level (Source: Krishna Murthy & Joshi, 2004)

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Crops

Loss (million Loss (million Area Area Loss of US$) CC US$) MSP sown (ha) affected (ha) % affected production (t) terms terms

Jowar 7753 Maize 3134 Bajra 60837 Red gram 309520 Blackgram 38007 Greengram 95494 Groundnut 19251 Sesame 13239 Sunflower 97519 Soyabean 2823 Cotton 26456

1467 355 7492 33364 13475 36454 2194 10582 31363 704 941

19 11 12 11 35 38 11 80 32 25 4

1392.18 1104.05 4794.88 15351.56 335.50 6926.26 1959.24 4126.98 12858.83 549.82 244.66

0.138 0.115 – 5.125 – – 0.685 – 3.750 0.125 0.088

0.168 0.133 0.580 5.700 0.113 2.303 0.750 1.495 4.018 0.150 0.108

The result indicated alarming situation of the district where in the maximum loss of about 5.7 million USD has been incurred for red gram followed by sunflower, green gram, sesame and coarse cereals (Table 5). The loss in terms of cost of cultivation indicate the amount that had been spent for cultivation which is totally non recoverable. This creates severe economic stress for the indebted farmers.

Community Based Drought Management Worldwide it has been accepted that a bottom-up approach is more effective strategy for drought response, management and risk reduction. There is growing realization that many top-down approaches to disaster management fail to address the specific locale needs of vulnerable communities, as they do not take into account the potential of local resources and capacities. The community being the first to confront and respond immediately in the exigency of any emergency, there is a need for building up the capacities of communities, enhancing the skills and traditional coping mechanisms for minimizing losses resulting from disasters. The first and fore most for Community Based Drought Management (CBDM) is vulnerability zonation map at community level (cluster of villages with same vulnerability). Information products and services of EO, extracted from very high resolution imaging, provide insights on community and ecosystems relationships, while developing the alternate livelihood strategies through vulnerability reduction and sustainable development of natural resources. As the CBDM is gaining importance in the developing countries, the efforts of international agencies to connect CBDM to poverty alleviation and drought management by stakeholders themselves are quite promising (Suvit, 2001). In India, there is a unique case of CBDM based on EO inputs. The cadastral maps that have the parcel boundaries, define the land ownership to the individual

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farmer without any geodetic coordinates. These maps thus establish the identity of a farmer to his/her limited assets in terms of small land parcels. These maps not being in digital format with geodetic coordinates have got the limitation of not being at the direct access to the landowners also. A unique approach and methodology has been developed to geo-reference the cadastral maps with the high-resolution satellite data providing seamless access to the databases and resultant action plans from regional level to local level. This has given a breakthrough in reaching the people including the poor, understanding their requirements and refining the action plans of land and water resource development involving the local wisdom. Further, it has also facilitated monitoring the impact of plan implementation as well as the economic benefits accrued to individual farmers (Fig. 4). The methodology developed for geo-referencing of village maps has found many applications, and the states of Maharashtra and Chhattisgarh, India, realized its importance and implemented it in their states. The overlay of geo-referenced village maps on the satellite data is providing invaluable information in support of CBDM. The Geo-referencing of cadastral maps with satellite images in digital domain could thus be used for establishing the identity of stakeholder in small land parcel (Jayaraman et al. 2006).

Utilization of EO Based Map Products and Services Most common EO products for drought mitigation have been the maps. Detailed maps to the extent of 1:1000 scale are prepared using very high resolution data. Higher the scale of map, larger is the domain of services reaching out to the community level. With increasing scale of mapping, the components of EO start coming down and other aspects such as census, survey, cadastral level maps and other heritage data assume greater significance. It is however important to understand that EO may provide the linkages between policies, early warning, hazard zonation and related aspects to down the line community action; may facilitates risk funding mechanisms and community based drought management system.

The Key Challenges Although better EO enabled products and services have been found potential to yield tangible benefits, the gain from better information depends not only on the quality of information, but also on how it is used and disseminated. For example, improved information about the drought risk assessment will have a greater potential to mitigate future losses if information is made available in a way that encourages government, private individuals and business to act on the information. There are also certain limitations to value of EO products and services viz., scale of mapping, permissive errors, etc that have to be taken into the account. While

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some of the operational applications could demonstrate the efficacy of EO products and services for planning, policymaking and monitoring of drought to a limited extent, their operational utilization-down the line has been limited. This has been constrained due to the number of factors such as gaps in the quality of product delivered vis-`a-vis the specific needs of the end-users, real time information dissemination to the end-users and lack of institutionalization and inadequate organizational mechanisms to integrate suitably EO products and services for decision-making by end-users.

Economics of EO Information Products and Services Setting up the institutional infrastructures for integrating EO information products and services involves cost, lag time, skilled manpower and governmental support. As inputs to policy, planning, monitoring and evaluation, EO products and services contribute more in terms of social and environmental gains than the benefits in terms of money. It is also important to highlight the catalytic role that such products and services could play. For example, in drought mitigation programme like watershed development, reclamation of environmentally degraded lands, etc, the EO and GIS aspects cost hardly 1–2 per cent of the total project cost, but they played critical role in terms of benchmarking, monitoring and evaluation – leading to the successful execution of the drought mitigation projects in semi-arid areas (Jayaraman et al. 2006). The demand for high-resolution multi-spectral data is obvious in case of drought management, especially for integrated land and water conservation purposes in dry land areas. The lessons however learnt from success stories especially in the developing countries demonstrate that the use of EO and GIS involves substantial investment, but they hold greater promise towards building the resilient society. These investments are also to be seen as a part of the country’s concerted longterm sustained efforts in building state-of-the-art national infrastructures towards disaster management. There are several instances where developing countries have paid for the high cost of the satellite data as well as EO based services. It is obvious that satellite data and associated services, which are indispensable towards disaster management, any country can pay the cost. However, the efforts have to be placed ensuring the cost effective access of EO products/services so that developing countries, especially, could gain adequately ‘the value of money’ they pay for.

Conclusions From the experiences of using EO information products and services for drought risk reduction especially in India, following conclusions could be drawn:

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Recognizing the vitality: While it is a fact that EO information products and services are only part of the “total kit” of total drought management system, their roles are vital. They have demonstrated facilitator role in the formulation of policy, planning, impact assessment and monitoring; enabling role in the areas of early warning and mitigation through improved natural resources management; catalytic role in some of the recent initiatives such as agricultural insurance and community based drought management. They have also addressed, to a certain extent, the critical gaps existing in the overall drought management system. It is therefore necessary to build up awareness at various levels so that vitality of EO information products and services could duly be recognized in drought risk reduction. Integrating into the process of drought management: EO information products and services could be integrated as drivers as well as entry point activities. As drivers to overall drought risk management system, they have demonstrated their potentials in terms of providing decision support to policy (macro, micro and crosssectional) as well as inputs to the process of transparent governance through relief and entitlements related activities. Entry Point Activities (EPAs), in the present context, envisage recognizing the operationally EO products and services as in-season, timely and objective knowledge product, which help in enhancing the scope of drought management (Fig. 6) (ESCAP, 2004). Drought risk assessment - Concept and Strategy: The development of risk assessment is primarily hampered by lack of adequate data, followed by inadequate institutional and technical capacity or resources, and policy support in the developing countries. EO products and services have addressed the existing gaps to a certain extent. In the most simplistic term, drought risk assessment is the derivatives of other maps such as land use/cropping system (based on multi-spectral high resolution EO products), climate vulnerability (historical coarse resolution EO products in conjunction with weather data (CEOS, 2001)) and socio vulnerability

Drought Risk Management

Local Adaptive Strategies (assets, knowledge, technology, institutions)

Policy (macro-micro cross-section)

and Governance

(Entry Point)

External Technology and Investment

(Drivers)

(space information products and services)

Fig. 6 Space info products and services – as drivers and entry point activities for risk management process

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Fig. 7 A simple approach to develop drought risk assessment

Multispectral High Resolution EO Products

Land use/ Cropping System

Coarse Resolution EO Products

Census and Survey Data

Climate Vulnerability

Social Vulnerability

Drought Risk Assessment

Services

Hazard

Services

(community profiling based on census and survey data). Aggregating all these enable hazard zonation and risk assessment (Fig. 7). While climate vulnerability is a natural hazard, other two are essentially need to be serviced to establish the equilibrium. The ‘best practices’, related to hazard zonation and risk assessment, have demonstrated the operational viability of this approach. For example, muti-date satellite data when integrated with land cover, climate and poverty (based on house hold census and survey data) could produce risk assessment. Based on frequency, it is possible to identify those village and vulnerable people who live with maximum risks. They could be targeted for various interventions such insurance coverage, regulations etc. Drought Mitigation - Need for large scale operationalization: The best of EO products and services, especially in support of developing countries, is to drive drought mitigation efforts through natural resources management, especially soil and water conservation. While the vitality of EO products is recognized in such endeavours, efforts are necessary to focus on expanding their large-scale operationalization. The issue in this context lies in the ability of developing countries to develop and integrate appropriately certain EO products and services, which could strengthen their drought mitigation efforts. Acknowledgments The authors are grateful to Mr Madhavan Nair, Chairman, ISRO/Secretary, Department of Space for having given ideas to conceive this manuscript. The authors also thankfully acknowledge contributors from ISRO family and the entire Indian EO community comprising Central/State Government Departments, Academia, Private Entrepreneur, Non-Governmental Organizations, etc,

Acronyms AVHRR AWiFS

Advanced Very High Resolution Radiometer Advanced Wide Field Sensor

EO Products for Drought Risk Reduction

CBDM CC CEOS DPAP DSS ENSO EO EPA ESCAP EWS FAO FASAL GAC GIS GVI IPCC ISDR LAI MDR MSP NADAMS NDVI NGO NOAA NRSA NWDPRA SPI SWI SWIR TCI VCI VHI

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Community Based Drought Management Cost of cultivation Committee of Earth Observation Systems Drought Prone Areas Programme Decision Support System El Nino and South Oscillation Earth Observation Entry Point Activities Economic and Social Commission for Asia and the Pacific Early Warning System Food and Agricultural Organisation Forecasting Agricultural Output using Space-borne, Agrometeorological and Land Observations Global Area Coverage Geographical Information System Global Vegetation Index Intergovernmental Panel on Climate Change Inter-agency Secretariat of International Strategy for Disaster Reduction Leaf Area Index Mean Damage Ratio Minimum Support Price National Agricultural Drought Assessment and Monitoring System Normalised Difference Vegetation Index Non-Government Organisation National Oceanic and Atmospheric Administration National Remote Sensing Agency National Watershed Development Programme for Rainfed Areas Standardised Precipitation Index Standardised Water-Level Index Short Wave Infra Red Temperature Condition Index Vegetation Condition Index Vegetation Health Index

References Bhuiyan, C., Singh, R.P. and Kogan, F.N. (2006). Monitoring drought dynamics in the Aravalli region (India) using different indices based on ground and remote sensing data, International Journal of applied Earth Observation, 8, 289–302. Bryant, E. A. (1991). Natural Hazards. Cambridge: Cambridge University Press. CEOS (2001). The Use of Earth Observing Satellites for Hazard Support: Assessment and Scenario, Final Report of Disaster Management Support Group. Committee on Earth Observation Satellites. NOAA publication.

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ESCAP (2004). UNESCAP Regional Workshop on Agricultural Drought Monitoring and Assessment using Space Technology, Hyderabad, India, 3–7 May, 2004. Economic and Social Commission for Asia and the Pacific. FAO (2002). Report of FAO-CRIDA Expert Group Consultation on Farming System and Best Practices for Drought-prone Areas of Asia and the Pacific Region. Food and Agricultural Organisation of United Nations. Published by Central Research Institute for Dryland Agriculture, Hyderabad, India. IPCC (1996). The Science of Climate Change. Contribution of Working Group I to the Second Assessment Report of the Intergovernmental Panel on Climate Change, Cambridge: Cambridge University Press. IPCC (2001). Impacts, Adaptation, and Vulnerability. Contribution of Working Group II to the Third Assessment Report of the Intergovernmental Panel on Climate Change, Chapter 18, Adaptation to Climate Change in the Context of Sustainable Development and Equity. Cambridge: Cambridge University Press. IPCC (2007). Climate Change 2007, AR4 Synthesis Report of the Intergovernmental Panel on Climate Change from (http://www.ipcc.ch/ipccreports/ar4-syr.htm. ISDR (2004). Living with Risk: A Global Review of Disaster Reduction Initiatives (Vol 2). United Nations Inter-agency Secretariat of International Strategy for Disaster Reduction. New York and Geneva. Jayaraman, V. (2004). Use of EO in Breaking Poverty, Drought and Environmental Degradation Nexus, Paper presented at the UNESCAP Regional Workshop on Agricultural Drought Monitoring and Assessment using Space Technology, May 3–7, 2004, Hyderabad, India. Jayaraman, V., Parihar, J.S. and Srivastava, S.K. (2007). Rejuvenation of Agriculture in India: Cost Benefits in using EO Products. Acta Astronautica (In Press). Jayaraman, V., Srivastava, S.K. and Gowrisankar, D. (2006). EO Ethics for the Poor, Paper presented at the 57th International Astronautical Congress, October 2–6, 2006, Valencia, Spain. Jeyaseelan, A.T. and Chandrasekar, K. (2002). Satellite based Identification for Updation of Droughtprone Area in India, Paper presented at the ISPRS Commission VII Symposium, Resources and Environment Monitoring, Vol 34, Part 7, Hyderabad, India Kogan, F.N. (1997). Global Drought Watch from Space. Bulletin of the American Meteorological Society, 78, 727–636. Kogan, F.N. (2001). Operational Space Technology for Global Vegetation Assessment. Bulletin of the American Meteorological Society, 82 (9), 1949–1964. Kogan, F.N., Gitelson, A., Zakarin, E., Spivak, L. and Lebed, L. (2003). AVHRR-based Spectral Vegetation Index for Quantitative Assessment of Vegetation State and Productivity: Calibration and Validation. Photogrammetric Engineering and Remote Sensing, 69(8), 899–906. Krishna Murthy, Y.V.N and Joshi, A.K. (2004). Remote Sensing & GIS Application for the development planning of Chhattisgraph State. Paper presented at the ISRS National Convention – 2004, November 2–5, 2004, Jaipur India. Mendelsohn, R. and Dinar, A. (1999). Climate Change, Agriculture and Developing Countries: Does Adaptation matter?. The World Bank Research Observer, 14(2), 277–293. NRSA (2005). Annual Report 2004–2005. National Remote Sensing Agency (NRSA), Department of Space, Hyderabad, India, from http://www.nrsa.gov.in/Index.htm. NRSA (2007). Annual Report 2006–2007. National Remote Sensing Agency (NRSA), Department of Space, Hyderabad, India, from http://www.nrsa.gov.in/Index.htm. Reilly, J., Baethgen, W., Chege, F. E., Siebe, C., Ferda, L., Iglesia, A., Kenny Cravin, Patterson, D., Rogasik, J., Rotter, R., Rosenzweig, C., Sombroek, W. and Westbrook, J. (1996). Agriculture in Changing Climate: Impacts and Adoptions, In Watson et al. (Eds.), Environmental and Resources Economics, 21, 47–73. Singh, R.P., Roy, S. and Kogan, F.N. (2003). Vegetation and temperature condition indices from NOAA-AVHRR data for drought monitoring over India. International Journal of Remote Sensing, 24 (22), 4393–4402.

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Suvit, Yodmani (2001). Disaster Risk Management and Vulnerability Reduction: Protecting the Poor, Paper Presented at the Asia and Pacific Forum on Poverty organised by Asian Development Bank, February 5–9, 2001, Bangkok, Thailand. Wilhite, D. A. and Glantz, M. H. (1985). Understanding the drought phenomenon: The role of definitions, Water International, 10, 111–120. Wilhite, D. A. (1992). ‘Drought’. Encyclopedia of Earth System Science, 2, 81–92, California: Academic Press. Wilhite, D. A., Rosenberg, N. J. and Glantz, M. H. (1986). Improving federal response to drought, Journal of Climate and Applied Meteorology, 25, 332–342. World Bank (2003). Report on Financing Rapid Onset Natural Disaster Losses in India: A Risk Management Approach. Report No 26844-IN, Washington DC.

Part IV

Space Technologies for the Benefit of Society

The Diffusion of Information Communication and Space Technology Applications into society Phillip Olla

Abstract There have been formidable advancements in space science and space technology over the past five decades, yet most people instinctively associate these advancements to deep space flights, lunar stations, and thrilling outer space adventures. The fact is that the majority of the human technology in space, which is comprised of interconnected satellites, points towards earth, and most of this technology, is used to provide services and fulfill the goals for people on earth. The growing role of space technology is so profound; it has become prevalent in earthy society. In recent years The Information Technology (IT)/Information Systems (IS) professionals have began to comprehend the important role that must undertaken to sustain a viable biosphere. Over the next decade there will be an increased need for innovative earth information systems to support the initiatives of the international space community. This article describes some of the most important Information, Communication and Space Technology (ICST) applications being created, along with the space infrastructure upgrades underway to support these applications. Keywords ICST · Space applications · FORSIA

Introduction Two of the most important themes of the 21st century are the technological advancement leap and a realization for sustainable development initiatives due to dwindling resources, population increases and climate change. The only viable solution to resolve the prevailing issues is to apply innovative technological concepts supported by Space Information Systems to co-ordinate the complex relationship between man and the planet. “In the coming decades, changes in our environment and the resulting upheavals from droughts to inundated coastal areas to loss of arable land are likely to become a major driver of war and conflict” Ban Kin Moon (Nichols, 2007).

P. Olla (B) Madonna University, School of Business, 36600 Schoolcraft rd, Livonia, Michigan 48150, USA e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 16,

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The converged wired and wireless delivery channels, facilitated by terrestrial and space-based systems provides an effective means for increasing the diffusion of basic information services at a affordable cost. Using appropriate space based technologies will facilitate last mile connectivity in the least developed countries and small island nations. The integration of space technology with information and communication technology has made ICST applications more accessible and affordable, particularly in countries with appropriate national policies; enabling ICT environment; and public-private partnerships support. For the benefits to be realized countries must implement conducive policies, enabling institutionalized arrangements, and encouraging viable public-private partnership (UNESCO, 2007). This article describes some of the most important Information, Communication and Space Technology (ICST) applications being created, along with the space infrastructure upgrades underway to support these applications. Satellites are routinely used to support sustainable development as well as to manage natural resources and emergency situations. One of the key purposes of satellites is to generate data that can be translated into information for decision-making. This paper will utilize a theoretical model called FORSIA: Foresight, Space Infrastructure, Implementation and Applications to discuss the diffusion and implementation ICST applications to identify Information Systems (IS)/Information Technology (IT) research themes. The frameworks will assess the opportunities and challenges for IS/IT researchers. These research opportunities deal with the design, adoption, and impacts of space technological infrastructure on resolving some of the environmental challenges being faced by society. This chapter is structured as follows; the first section will provide a synopsis of the impact of space technology on society along with the convergence with Information and Communication Technologies (ICT). The next section will introduce the FORSIA model and describe the four components. This will be followed by the conclusion.

Background Space business (s-business) relates to any venture performed by a group of diverse actors leading to the provision of goods or services involving financial, commercial or humanitarian activity that is facilitated by the use of a space technological infrastructure in the earth’s orbit. International competition and technical innovations have led to a drop in the cost of ICST systems, products and services. A report by Euroconsult states that 175 to 200 communication satellites are likely to be launched during the period 2001–2010 (Euroconsult, 2007). The satellite broadband industry has also seen tremendous growth and forecasts by Northern Sky estimates that demand for satellite bandwidth will grow from 33.5 Gbps in 2002 to 218.8 Gbps by 2007 (NSR, 2007). The biggest problem with satellite broadband services is the high costs; Northern Sky also estimates that the cost of satellite broadband services is likely to be reduced by half by 2013. There has also been a gradual decline in

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ground equipment. The cost of a VSAT was about US$10,000 in 1998, by 2005 this had dropped to around US$ 1,100. There are also economic benefit to better communications is also becoming more quantified. A European Union survey estimated that satellite broadband benefit/cost ratio is 1.69: 1 for Europe as a whole, and 1.32: 1 for presently unconnected areas (ESA, 2004). The increasing cost effectiveness of ICST systems, products and services is likely to profoundly effect approaches to governance, education, health care and economic development in the future. There are numerous examples of cost effective application of remote sensing and GIS despite the high costs of commercial EO satellite imagery which can range from 1,000 and 4,000 for a scene with ground resolution between 1 and 10 m. Some examples applications include water resources management, infrastructure, fisheries, agriculture and reclaiming environmentally degraded land. Typically the initial investment for acquiring and using the satellite images and data products represents a fraction of the total project cost. There are tangible benefits that are obtained from improved benchmarking, monitoring and evaluation (Jayaraman and Shrivastava, 2003). There has also been phenomenal growth online geospatial information services since the launch of Google Earth, It has been estimated that the market for Internet-based spatial information services is worth billions of dollars a year (UNESCO, 2007). In developed nations, the use of space technology has a strong place in modern applications; the areas that rely heavily on space infrastructures include meteorology systems, mobile communication systems, television broadcasting, natural resource management, all forms of navigation, health, environmental management and disaster management, which consequently touches virtually every facet of human endeavor. It is therefore no surprise that s-business is anticipated to be a significant growth industry in the 21st century, leading to technological developments in several fields ranging from telecommunications, tele-health, tele-education, multimedia, opto-electronics, robotics, life sciences, energy and nanotechnology (Hukill et al., 2000). The realm of space we are discussing is within the earths orbit not outer space. The space technological artefacts are made up of different types of satellites. These include Low Earth Orbit (LEO) satellites circling the earth 100 to 300 miles above the earth’s surface or Medium Earth Orbit (MEO) satellites circling at 6,000 to 12,000 miles above the earth in medium altitude orbit. It takes MEO satellites from 4 to 8 h to go around the earth. A satellite in Geostationary Earth Orbit GEO circles the earth in 24 h. These satellites collectively provide the infrastructure that is referred to as the, ‘space technological infrastructure’. Although the space technological infrastructure is primarily composed of the satellites in orbit, the supporting infrastructure is a collection of interconnected technological artefact, social processes and organizational elements that enable space data to be collected, processed, stored and broadcast to devices or base stations on earth. Once this data is received on earth it can be translated into meaningful information leading to knowledge which can be used to aid the decision making process. There are a five established discernible space infrastructures: Telecommunication, location and positioning, broadcasting, earth observation, and Micro Gravity

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Research (ISS), each has a specialised function, but the there is an increasing theme of convergence between the infrastructures. The data retrieved from space infrastructures has proven to be indispensable in many applications of remote sensing, communication and navigation and will definitely continue to impact the on modern society while advancing our knowledge about the universe and the earth. There are also some emerging infrastructures that the will create new markets in the future such as space tourism, disaster prediction and global resource management. Over the past few years space business has seen substantial investment in the established space infrastructure, with technological improvements to launch equipment, satellites and user devices, which is creating an increase in the capabilities of downstream market applications and brings down the cost to use space infrastructure. Over the next decade significant advancements are planned to each of the five space infrastructure that open up a new era for research. There advancements will be discussed in this chapter along with the implication for research opportunities. Although Space technology has advanced rapidly in recent years, a number of countries still lack the human, technical and financial resources required to conduct even the most basic space-related activities, such as meteorology, communications and natural-resource management. The need to make the benefits of space technology available to all countries has thus grown more urgent with each passing year (UNPublication, 2004). One of t he key benefit of s-business is that the global infrastructure and services such as tele-medicine and tele-education become a possibility.

Space Data is Overwhelming: the Need for a Partnership Approach Google dissects the final frontier with the ‘Space Act Agreement’ concept. NASA now possesses more data about earth and the universe than any other organization or country has ever held in the history of humanity. Although this information was collected and processed for the benefit of all mankind, the attempts to publish this in the public domain are not as easy as it sounds. It is extremely difficult for non-experts to access this information and even more difficult for decision makers to make sense of the information. The bulk of the formation is scattered among different organizations’ servers in a multitude of formats which makes it complicated for non-experts to access. Current efforts are not sufficient to handle this data and new initiatives and techniques are being investigated (NewScientist, 2006). One approach that shows considerable promise is collaboration between the private and public sectors. Space Organizations such as NASA, ESA and ISRO are establishing partnerships with the private sector to encourage innovation. An example of such private and public collaboration is the recent alliance of Google and NASA to form the “Space Act Agreement” partnership. This agreement guarantees a working relationship to collaborate on a range of complicated technical problems ranging from large-scale data management (distributed computing), to

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human-computer interfaces. NASA and Google aim to deploy valuable portions of NASA’s vast information available on the Internet. Examples of space data currently in discussion for release over the web include: data sets for Google earth; real-time weather visualization and forecasting; high-resolution 3-D maps of the moon and Mars; and real-time tracking data of the International Space Station and the space shuttle. This is leading to the next generation of space applications, which are freely available to any user via a web browser similar to a typical Web 2.0 application.

FORSIA Framework: A Model for Innovation in ICST Applications Over the last decade ICT applications have witnessed an increased convergence with space technology. The growth of this new domain will create more opportunities and markets for the development and application of other ICT branches. This section will utilize a theoretical model called FORSIA: Foresight, Space Infrastructure, Implementation and Applications to discuss the adoption and implementation ICST applications. The FORSIA theoretical model for creating space applications and infrastructure can be described in four stages: foresight, creating/upgrading the space infrastructure, technical implementation, and launch of earth information applications. These are discussed below.

Stage 1 Foresight

Space Infrastructure Global Communication network Broadband satellite Network Integrated Global Positioning Systems Earth Observation Systems of Systems Satellite Internet & Broadcasting

Policy Framework Regulation Planning Approach to encouraging innovation Legislation

Stage 4

Actors Space Agencies (ESA,CSA,NASA) Non Governmental Bodies (OECD,UN,ITU, GEO) Private Investors (Virgin,SpaxeX)

Actors Launch equipment providers Network Operators Device manufactures Satellite operators

Applications Location Services TV Direct to Home (DTH) Search and Rescue Mobile Telephony Earth Observation System Mapping services Broadband Internet Actors

Implementation Business processes Integration to terrestrial systems Identification of opportunities Data Conversion & processing Innovative business models Actors IS/IT Professionals Public Private Initiatives Academic & Research community

Consumers Corporate users Aid agencies

Stage 3

Fig. 1 FORSAI theoretical model for innovation in ICST applications

Stage 2

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Creating Foresight (Stage 1) The EU Forera program (FORERA: Foresight for the European Research Area) describes foresight as a theoretical framework for a group of people with a common objective to jointly think about the future in a structured and constructive way. The group are typically experts in fields related to the issue being analysed. Foresight provides a number of tools to support participants (i.e. policy makers and other stakeholders) to develop visions of the future and pathways towards these visions. Foresight will typically involve the following activities (Forera, 2007):

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Employ critical thinking concerning long-term developments. Debate issues and create initiatives that lead to wider participation in decisions. Develop initiatives that are likely to shape the future, especially by influencing public opinion, public policy and strategic decisions.

Foresight involves systematic attempts to look into longer-term future of science and technologies and their potential impacts on society with a view of identifying the areas of scientific research and technological development likely to influence change and produce the greatest economic, environmental and social benefits for the future (10–25 years). Corporate foresight is also becoming more professional and widespread (Andreas et al., 2005). It is not only used in strategy development, but also increasingly in innovation development as well as Research and marketing activities. Foresight differs from strategic planning as it encompasses a range of approaches that combine the three core components (Ratcliffe, 2005) futures (forecasting, forward thinking, prospective), planning (strategic analysis, priority setting), and networking (participatory, dialogic) tools and orientations. Investment in space infrastructure is a continuous undertaking as replacing space technology is a costly affair, and it must be phased appropriately. Foresight is one of the most important drivers for space infrastructure upgrades and typically will be driven by legislation, regulation, or a policy framework such as the Global Earth Observation System of Systems (GEOSS). From an Earth Observation (EO) perspective GEOSS is the most important initiative of the decade. The GEOSS was set up to address the challenges articulated by United Nations Millennium Declaration and the 2002 World Summit on Sustainable Development. The vision for GEOSS is to “realize a future wherein decisions and actions for the benefit of humankind are informed by coordinated, comprehensive and sustained Earth observations and information.” (GEO-Secretariat, 2006). The five declarations and legal principles are governing the activities of countries in the exploration and use of outer space, adopted by the United Nations General Assembly (UN, 1999): 1. The Declaration of Legal Principles Governing the Activities of States in the Exploration and Uses of Outer Space (General Assembly resolution 1962 (XVIII) of 13 December 1963); 2. The Principles Governing the Use by States of Artificial Earth Satellites for International Direct Television Broadcasting (resolution 37/92 of 10 December 1982);

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3. The Principles Relating to Remote Sensing of the Earth from Outer Space (resolution 41/65 of 3 December 1986); 4. The Principles Relevant to the Use of Nuclear Power Sources in Outer Space (resolution 47/68 of 14 December 1992); 5. The Declaration on International Cooperation in the Exploration and Use of Outer Space for the Benefit and in the Interest of All States, Taking into Particular Account the Needs of Developing Countries (resolution 51/122 of 13 December 1996). In addition to the policy based initiatives that have driven the advancements and development of space infrastructure for decades, there has been significant changes in funding space research and innovation. The last decade has seen a new generation of entrepreneurs entering the space arena (see Fig. 2 & 3). Another new concept is prize competitions such as the Xprize and NASA Challenge. The X PRIZE Foundation creates and manages prizes that drive innovators to solve some of the greatest challenges facing the world today. There are two important space based initiatives that have caught the imagination of a variety of groups including scientists, entrepreneurs, researchers, media, and government bodies. The first initiative was the Ansari X prize. he X PRIZE Foundation awarded $10 million Ansari X PRIZE, to Mojave Aerospace Ventures for the flight of SpaceShipOne. To win the prize, famed aerospace designer Burt Rutan and financier Paul Allen from Microsoft led the first private team to build and launch a spacecraft capable of carrying three people to 100 km above the earth’s surface, twice within two weeks. Ten times the amount of the prize purse was spent by the competitors trying to win the prize. The Ansari X PRIZE changed the way the public perceives spaceflight. The next major space challenge is the Northrop Grumman Lunar Lander Challenge is designed to accelerate commercial technological developments supporting the birth of a new generation of Lunar Landers capable of ferrying payloads or humans back and forth between lunar orbit and the lunar surface. This competition is divided into two levels of complexity. The first requires a rocket to take off from a launch area, rocket up to 150 feet (50 m) altitude, then hover for 90 s while landing precisely on Challenge Name 2008 Regolith Excavation Challenge 2008 Personal Air Vehicle Challenge Moon Regolith Oxygen Extraction (MoonROx) Challenge 2008 Beam Power Challenge 2008 Tether Challenge 2008 Astronaut Glove Challenge Lunar Lander Challenge

Prize Partner Organization $750 K California Space Education & Workforce Institute (CSEWI) $300 K Comparative Aircraft Flight Efficiency (CAFE) Foundation $1 M California Space Education & Workforce Institute (CSEWI) $900 K The Spaceward Foundation $900 K The Spaceward Foundation) $400 K Volanz Aerospace Inc./Spaceflight America $2 M The X PRIZE Foundation

Fig. 2 Open challenges (Source NASA http://centennialchallenges.nasa.gov/)

420 Challenge 2007 Beam Power Challenge 2007 Tether Challenge Lunar Lander Challenge

Prize $500 K $500 K $2 M $100 K Vantage Prize $50 K Noise Prize $25 K Handling Qualities 2007 Personal Air Vehicle Challenge $25 K Shortest Runway Prize $25 K Efficiency Prize $15 K Top Speed First Prize $10 K Top Speed Second Prize 2007 Regolith Excavation Challenge $250 K 2007 Astronaut Glove Challenge $200 K 2006 Beam Power Challenge $200 K 2006 Tether Challenge $200 K 2006 Lunar Lander Challenge $2 M 2005 Beam Power Challenge $50 K 2005 Tether Challenge $50 K

P. Olla Winner None None None Vance Turner Dave & Diane Anders John Rehn Vance Turner Vance Turner Dave & Diane Anders Vance Turner None Peter Homer None None None None None

Fig. 3 Completed challenges (Source NASA http://centennialchallenges.nasa.gov/)

a landing pad 100 m away. The flight must then be repeated in reverse—and both flights, along with all of the necessary preparation for each, must take place within a two and a half hour period. The second level will requires the rocket to hover for twice as long before landing precisely on a simulated lunar surface, packed with craters and boulders to mimic actual lunar terrain. The hover times are calculated so that the Level 2 mission closely simulates the power needed to perform the real lunar mission. The prize is 30 Million, but it is not about the money, the prize is the prestige and the possible contracts that follow. Another interesting approach is the NASA Centennial Challenges. NASA’s has developed a program of prize contests to stimulate innovation and competition in solar system exploration from non-traditional sources of innovation in academia, industry and the public. NASA Centennial challenges typically focus on ongoing NASA mission areas. The table below illustrates some of NASAs current and completed Centennial Challenges.

Space Infrastructure Upgrades (Stage 2) Innovation in the communication and broadcasting satellites market has occurred at a steady pace due to the commercial nature of these markets. Commercial communications satellites are being upgraded to transmit data more efficiently. Broadcasting satellites are being launched with more interactive features. Earth Observation (EO) and Navigation satellites have seen relatively more sluggish progress until now. A variety of current initiatives are contributing to more accessible, precise and advanced space infrastructure from a Navigation and EO perspective.

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Micro Gravity Research & Space Tourism Entertainment & Media Global Applications and Services

Location and Navigation

Earth Monitoring

Convergence

Telecomunication

TV Broadcasting

ISS

Broadband Internet

Space Technological Infrastructure

Radio Broadcasting

Virgin Space

Fig. 4 ICST Application domains

There are certain space-based technologies that have seen considerable advances. The performances of communication satellites have increased 100% due to introduction of powerful transponders. Earth Observation has observed considerable advances in terms of improvements in spatial, spectral and temporal resolution, convergence with geo-informatics technologies such as satellite positioning, and superior methods of calibration, validation and data assimilation. The resultant products and services have included routine mapping of the Earth’s surface some 100 times more accurate than in 1994. A similar level of improvement has also taken place in the ability to produce digital maps, predict El Ni˜no and La Ni˜na, and forecast the formation and movement of tropical cyclones or typhoons. There is no question that these advances have provided beneficial social impacts and as a result, space technology has transitioned from an optional emerging tool to universally critical infrastructure for national development. The satellite performance which has advanced by two orders since 1994 is known as the 100 times syndrome (UNESCAP-Report, 2002). The following section will describe the space infrastructures illustrated in Fig. 4 The Future Navigations and Positioning Infrastructure From a Global navigation satellite systems (GNSS) perspective, not only will the US Global Positioning System GPS and the Russian Global Navigation Satellite System (GLONASS) undergo some major upgrades; a new European constellation

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called Galileo will be in operation by 2008 (Olla, 2005). GPS and GLONASS are currently used to monitor and track fishing vessels, vehicles transporting goods or hazardous materials, and even animals in their natural habitat; Galileo is expected to introduce new business models for GNSS applications. Uses of GNSS applications are growing in areas such as aviation, maritime and land transportation, mapping and surveying, precision agriculture, power and telecommunications networks, and disaster warning and emergency response (UN, 2005). ABI Research estimated that 2007 satellite navigation hardware was $33 billion, a $6 billion increase from 2006. This is due to the falling prices for all types of hardware and dramatic volume increases in the sales of Portable Navigation Devices (PND) and satellite navigationequipped mobile phones in Europe and North America. ABI Research anticipates that satellite navigation market will grow to $54 billion worldwide by 2011. Earth Information Systems: The Future of Earth Observation Earth observation satellites (EOS) monitor the land surface, oceans and the atmosphere, and identify changes over a period of time. Earth observation satellites are now considered to be routine and essential tools in supporting efforts to protect the biosphere. The five key characteristics of EOS include coverage, repetition, speed, consistency, and accuracy. EOS Global coverage makes them ideal for important studies of large-scale phenomena such as ocean circulation, climate change, deforestation and desertification. They are also important for cost-effective monitoring of remote or dangerous areas. Effectively managing earth’s human and natural ecosystem requires pertinent information that is timely, of known quality, long-term, and global. Currently it is the role of the governments to guarantee that such information is available to those who need it. Despite commendable efforts to ensure the availability of information, the current situation is far from optimal in regard to coordination and data sharing among countries, organizations and disciplines. This will change with the implementation of the GEOSS (GEO-Secretariat, 2006). At the international level, the evolving Global Earth Observation System of Systems (GEOSS) an opportunity for EO to provide increased benefits to society. GEOSS now consists of more than 60 countries and 40 participating organizations. The GEOSS 10-year implementation plan2 defined specific targets within nine societal benefit areas: disasters, health, energy, climate, water, weather, ecosystems, agriculture and biodiversity.

Implementation: Technical Challenges and Opportunities for the IT/IS Community (Stage 3) For the general population to benefit from space data generated from the next generation of EO and Navigation systems, the data must be made available via standard web browser and incorporated into business decision support systems. An example of an intriguing application is the iEarth interactive application. This system

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aims to address NASA’s problem regarding terabytes of weather data generated by NASA’s Earth Observing infrastructure to determine how to add value to anyone outside NASA. The iEarth software searches the large databanks for information and converts it into a file that can be viewed via Google Earth. Choosing a spot on the planet’s surface will prompt iEarth to display ground-based measurements for that location, as well as data relating to the atmosphere and space above it (NewScientist, 2006). Some fundamental technological challenges specified by the GEOSS need to be addressed (GEO-Secretariat, 2006) are as follows:

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Architecture and Interoperability: It is important that EO data/information providers agree to a set of interoperability standards, including technical specifications for collecting, processing, storing, and disseminating shared data, metadata and products. Interface Standards: Interoperability should also focus on downstream interfaces, defining procedures for communication between systems minimizing any impact on affected systems. Data Sharing: The societal benefits of Earth observations cannot be achieved without data sharing. Establishing data sharing principles will ensure that data will be available to the research community. This should include full and open exchange of data, metadata, and products shared via the GEOSS mechanism, with minimum time delay and at minimum or no cost for research and education.

Fig. 5 Earth monitoring system

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Aligning Research Agendas: Educate the research industry to increase its general awareness of the benefits of ITCS applications and services. The scientific and the IT communities need to advocate research and development in key areas to encourage the integration of space data on an ongoing basis. Some example projects that incorporate space data include life-cycle data management, data integration and information fusion, data mining, network enhancement, and design optimization studies. Semantic Web: The Semantic Web aims will allow the development of easy to use applications and transparent access to services and data, by giving machine understandable meaning (semantics) to services as well as contents on the Web, and to create a universal medium for information exchange. In particular, the Semantic Web Services (SWS) technology provides an infrastructure in which new ITCS services can be added, discovered and composed continually (Berners-Lee et al., 2001) The approach of using traditional Geographical Information Systems (GIS) is not always satisfactory; users have to cope with distributed heterogeneous data sources to find appropriate resources for particular situations. Developments in the field of Semantic Web Services (SWS) show the opportunity of adding higher semantic levels to the existing frameworks, to improve their usage and ease scalability(Vlad, 2006). Convergence: One of the real challenges involves understanding the opportunities that come from the convergence phenomenon. Advances in the convergence of space and ICT technologies are pointing towards a new set of applications. The main elements of this convergence have occurred due to breakthroughs in digital technologies – including improved networking, transmission capabilities, and advances in geo-informatics. An example of this convergence is the launch of a new direct-to-home (DTH) and direct-to-office services based on remote sensing and GIS.

ICST Applications (Stage 4) There is a need for new research that investigates how to integrate the new ICST data into existing applicatio4ns and information super highway solutions. Emerging technological advances are impacting satellite design and the next generation of capabilities will bring space-based systems and space-enabled ICT services associated with the information superhighway much closer to the global society, bring space technology closer to a people’s everyday lives. Developments in satellite communications are a good example of this. The implementation of Hybrid networks such as satellite with cellular or Satellite with WiMAX, are creating more flexibility architectures leading to cost-effective communication solutions for a variety of markets as depicted in Fig. 6. Earth observation (EO) technologies have undergone phenomenal improvements over the last decade. A variety of sensors and platforms have been developed by all major space agencies in to address science and environment related issues. High-resolution imaging has moved to the commercial arena. The implementation

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Digital Divide

Precision Agriculture

Disasters

Forests & Land cover

Ocean Monitoring

Health Forecasting

Climate Forecasting

Environmental Monitoring

Fig. 6 Applications for earth information systems

of constellations of smaller, faster and cheaper satellite missions have emerged as important tools to capture real-time data on natural disasters and also to continuously monitor them. Most international cartographic organizations have acknowledged the value of investment in Spatial Data Infrastructure, which has facilitated the growth of geo-informatics as a major global enterprise. Consumer Web Mash-ups Mashups are Web-based data integration applications. They provide an emphasis on interactive user participation and the ability to aggregate and stitch third-party data together in a single interface. A mashup Web site is unique in the way it accesses different type of content from various data sources that lay outside of its organizational

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boundaries. Mashups are increasingly using data collected from space based infrastructure and as more data becomes available there will be more opportunities to incorporate the data into decision support systems and consumer websites using API’S information(Merrill, 2006). Example of Mashups include Googles popular street view and weather bonk: http://www.weatherbonk.com/ APIs Google AdWords + Google Maps + hostip.info + Microsoft Virtual Earth + NASA + NOAA Weather Service + WeatherBug + Yahoo Geocoding + Yahoo Maps + Yahoo Traffic

Disasters Monitoring and Mitigation Applications Data from space infrastructure can be fed into Decision Support Systems (DSS) to facilitate more timely dissemination of information through better coordinated systems for monitoring, predicting, risk assessment, early warning, mitigating, and responding to hazards at local, national, regional, and global levels. Disaster losses

Fig. 7 Example of comsumer web mash-up http:// www.weatherbonk.com/

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can be reduced for hazards such as: wildland fires; volcanic eruptions; earthquakes; tsunamis; subsidence; landslides; avalanches; ice; floods; extreme weather; and pollution events (UN, 2005). Until the GEOSS is up and running, a group known as The International Charter will aim to provide a unified system of space data acquisition and delivery to those affected by natural or man-made disasters (Int-Charter, 2007). The International Charter was declared formally operational on November 1, 2000. This is a great initiative; however, it does not go far enough because the information is only available to a select group of users.

Health Forecasting Services There is no denying that the urban environment can have adverse effects on our health. Health forecasts help professionals and patients know when and where there is a risk of illness. Through this understanding, preventative action can be taken. Parameters that need to be monitored with space technology include: airborne elements, marine samples, and water pollution; stratospheric ozone depletion; persistent organic pollutants; nutrition; and weather-related disease vectors. Integrating data retrieved from space infrastructure into terrestrial systems will improve the flow of appropriate environmental data and health statistics to the health community. An example of an innovative health forecasting project is being run jointly by the Met Office and the National Health Service (NHS) in the United Kingdom. This operational project was initiated in 2001 to generate a computer model that monitored real-time activity combined with infectious disease surveillance data and satellite data. The system generates biweekly workload predictions for the NHS (White, 2001). Flash telephone warnings are also given to ambulance services and emergency departments if snow or ice threatens to increase falls or trauma. Chronic Obstructive Pulmonary Disease (COPD) health forecasts are used to ensure that patients with these long-term conditions achieve their potential for independence and well-being. Admission Forecasts assist the NHS to predict fluctuations in workload across a set of clinical conditions.

Climate Forecast Information Systems Better understanding of the climate and its impacts on the Earth’s system, including its human and economic aspects, will contribute to improved climate prediction and facilitate sustainable development while avoiding dangerous perturbation to the climate system. Climate forecasts can have immense benefit to businesses and governments but are currently not fulfilling their potential. Researchers in the USA have proposed a national climate service to assist in natural disaster planning and preparation, resource management, and energy usage. Even though climate forecasts have improved over the decades, hurricane Katrina was still caused more than 1,200 fatalities and more than $100 billion in damage last year (Miles et al. 2006). A climate service could monitor long-term weather trends and create routine global climate

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predictions for individuals, businesses and governments. Such a service could be in place within five years. Marine Reserves Monitoring Systems Space technology can be used to improve the management and protection of terrestrial, coastal and marine resources, providing continuity of observations for monitoring wild fisheries, the carbon and nitrogen cycles, canopy properties, ocean color, and temperature. Over the decades numerous proponents have suggested that setting aside parts of the ocean can safeguard against many threats facing marine organisms (Bohnsack, 1996). More marine reserves in which fishing is banned are needed to protect marine organisms and the fisheries that depend on them. Ocean reserves are supported by groups such as Greenpeace. Although this approach will be controversial initially, the options are limited due to the dwindling fish stocks and the large number of ocean dead spots appearing around the globe. Once the ocean reserves become law, the key issue will be how we enforce them. The efficient approach would use a combination of GNNS and GEOS solutions. Navigation technology would be used to monitor the boundaries and human activities in the surrounding neutral zones. Earth observation technology would then be used to monitor the habitat of the ocean reserve. Precision Agriculture Precision farming techniques use information from remote sensing, integrated with navigation satellites, to produce accurate, up-to-date maps of features such as the exact distribution of pest infestations or areas of water stress on a farm. This allows pesticides, water and fertilizers to be targeted to areas where they are most needed; this not only saves money but also may reduce the environmental impact. Precision Agriculture systems can monitor crop production; livestock, aquaculture and fishery statistics; food security and drought projections; nutrient balances; farming systems; land use; and land cover change (UN, 2005). Digital Divide There have been considerable advances in broadcasting and navigation segments however the satellite broadband field has also seen tremendous growth. Satellite broadband has considerable advantages in places where optical-fiber is not available. While Optical fiber has a role play as the backbone of the Internet and to dominate transoceanic broadband capacity, satellites will play a key role in large geographical areas where terrestrial infrastructure is not available or is not costefficient. Satellites play a key role in communication, as they transmit information from one point to another without the need for ground-based infrastructure. Hence, they are ideal for situations where the infrastructure has been temporarily damaged by natural or man-made disasters. Communication satellites can reach people in remote villages as well as ships on the high seas. In 2004, the Indian

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Space Research Organization (ISRO) launched the world’s first dedicated educational satellite, EDUSAT, allowing millions of illiterate people in remote, rural India to have access to an education. This is a necessity in a country where 35% of the country’s billion-plus population is illiterate. The satellite cost $20 million and the launch vehicle an additional $35 million. The system is now fully operational, with satellite links that can broadcast to 5,000 remote terminals (ISRO-Home, 2006).

Conclusion Just as broadcasting satellites have transformed the mechanism by which developing nations receive media content, communication satellites are becoming a key component in improving education, health care and the standard of living. Understanding the Earth’s system such as its climate, oceans, atmosphere, natural resources, and ecosystems is crucial to enhancing human health, safety and welfare, alleviating human suffering and achieving sustainable development. The successful integration of Space-generated Earth observation data and products with web-based information system requires a decisive role by the IT community. Advances in technical infrastructure will ensure that we can provide a more complete view and understanding of the global challenges we are facing to allow the decision makers to make intelligent and informed decisions.

References Andreas, N., and Cornelia, D. (Eds.). (2005). Corporate Foresight: The European Experience. In: Foresight, Innovation, and Strategy. Toward a Wiser Future: Bethesda p. 35. Berners-Lee, T., Hendler, J., and Lassila, O. (2001). The Semantic Web. Scientific American, 284(34–43). Bohnsack, J. A. (1996). Marine reserves, zoning, and the future of fishery management. Fisheries, 21(9), 14–16. ESA. (2004). European Space Agency Report, Technical assistance in bridging the digital divide: a cost-benefit analysis for broadband connectivity in Europe, October 2004. Euroconsult. (2007). World Satellite Communications & Broadcasting Markets Survey, Forecasts to 2016. http://www.euroconsult-ec.com/research reports space.php. Forera. (2007). http://forera.jrc.es/index.html. GEO-Secretariat. (2006). Global Earth Observation System of Systems (GEOSS) Work Plan. Group on Earth Observations. Retrieved, March 2007, from the World Wide Web: http://www. earthobservations.org/doc library/doc library.html. Hukill, M., Ono, R., and Vallath, C. (2000). Electronic Communication Convergence: Policy Challenges in Asia. (Eds.) London. Int-Charter. (2007). Charter On Cooperation To Achieve The Coordinated Use Of Space Facilities In The Event Of Natural Or Technological Disasters. Retrieved, March 2007, from the World Wide Web: http://www.disasterscharter.org/main e.html. ISRO-Home. (2006). Space Technology for Rural Development and Education. Development and Educational Communication Unit. Retrieved, March 2007, from the World Wide Web: http://www.isro.org/decu/projects/edusat.htm.

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Jayaraman, V., and Shrivastava, S. K. (2003). overty mapping and monitoring using information technology: Learning and perspectives from India. Paper presented at the Ad Hoc Expert Group Meeting on Poverty Mapping and Monitoring Using Information Technology, Bangkok, 18–20 August, 2003. Merrill, D. (2006). Mashups: The new Breed of Web Applications. IBM, http://www.ibm.com/ developerworks/xml/library/x-mashups.html. Miles, E. L., A. K. Snover, L. C. Whitely Binder, E. Sarachik, P. W. Mote, and N. J. Mantua. (2006). An approach to designing a National Climate Service. Proceedings of the National Academies of Sciences, 103(52), 19616–19623. NewScientist. (2006, 15 December 2006). NASA overwhelmed by climate data. New Scientist magazine, 2582, 23. Nichols, M. (2007, 01 Mar 2007 18:07:49 GMT). Climate change as dangerous as war. Reuters http://www.alertnet.org/thenews/newsdesk/N01294252.htm. NSR. (2007). Broadband Satellite Markets 5th Edition. http://www.nsr.com/Reports/Satellite Reports/BBSM6.html. Olla, P. (2005). Global Navigation Satellite Systems,. In M. Pagani (Ed.), Encyclopedia of Multimedia Technology and Networking: Idea Group Publishing. Ratcliffe, J. (2005). Challenges for Corporate Foresight: Towards Strategic Prospective Through Scenario Thinking. Paper presented at the conference Foresight Management in Corporations and Public Organizations, Helsinki, Sweden. UN. (1999). United Nations treaties and principles on outer space Text and status of treaties and principles. Paper presented at the Third United Nations Global Conference on the Exploration and Peaceful Uses of Outer Space (UNISPACE III). UN Vienna Astria. UN. (2005). SPACE SOLUTIONS: for the World’s Problems How the United Nations family uses space technology for achieving development goals: UNITED NATIONS. UNESCAP-Report. (2002). Towards a policy framework for integrating space technology applications for sustainable development on the information superhighway.Unpublished manuscript. UNESCO. (2007). Information, Communication And Space Technology Applications For The Achievement Of The Millennium Development Goals And The Goals Of Major World Summits: Trends, Challenges And Issues. Paper presented at the Third Ministerial Conference on Space Applications for Sustainable Development in Asia and the Pacific, Kuala Lumpar. UN-Publication. (2004). UN/USA Workshops on the Use and Applications of Global Navigation Satellite Systems. Office for Outer Space Affairs - http://www.oosa.unvienna.org/ SAP/gnss/index.html. Retrieved, 2004, from the World Wide Web: Vlad, T. (2006). A Semantic Web GIS based Emergency Management System. Paper presented at the The Semantic Web – ISWC 2006, 5th International Semantic Web Conference, 2006, Proceedings. ISBN 3-540-49029-9, Athens, GA, USA, November 5–9. White, C. (2001). Weather reports to be used to forecast NHS workload. British Medical Journal, 323(7301), August 4, 2001.

Humanitarian Aids Using Satellite Technology Mattia Stasolla and Paolo Gamba

Abstract One of the main topics the remote sensing community is interested in regards the monitoring of informal settlements for humanitarian aids, as proved by a number of international projects like the European RESPOND in the framework of GMES (Global Monitoring for Environment and Security) or United Nations’ UNOSAT. This chapter discusses not only the possibility of employing remote sensing imagery to this aim, but above all the capability of semi-automated procedures to analyze such data and to assist the work of Administrations and NGOs. Test areas are located in Darfur region, Sudan, which became in 2003 the scene of one of the worst humanitarian crises of our age. Optical images of those territories were acquired by SPOT-5 and Quickbird satellites between 2003 and 2005, and high resolution radar data by the Japanese PALSAR sensor on board of the ALOS satellite in 2006, after refugee camps were built up for accommodating hundreds of thousands of displaced people. The proposed algorithms intend to provide land-cover/use maps that can be useful to keep changes under control and/or to update existing charts. Keywords Satellite remote sensing · Radar · Optical sensors · Data fusion · Image processing

Introduction According to the 2005 Global Report on Human Settlements provided by Un-HABITAT (UN-HABITAT, 2005a) – the United Nations’ Human Settlement Program – the overall population living now in town and cities is over 3 billions. Indeed, rapid urbanization is often the cause of enormous pressure on rural and natural environments. The urban population grew from 14% in 1920 to 25% in 1950, to nearly 70% in 1985. More spectacular situations are noticeable in developing countries where a large number of cities housing millions of people are located.

M. Stasolla (B) Dept. of Electronics, University of Pavia, Italy, Via Ferrata, 1 - 27100 Pavia, Italy e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 17,

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The rate of urban population growth between 1950 and 1990 has been much faster in developing countries, from 17% to 34%, and the rural to urban migration is still significant. As a result, migration and informal settlements are among the most important issues to be faced in these years. The connection between the two of them is clear, too. Continuous migration flows have largely contributed to an increase of the unstructured built-up areas. One of the main effects of such a situation is the transformation of settlement structures, and no way other than by remote sensing is now available for an efficient monitoring of these areas. More generally, informal settlement monitoring is an important topic for many national and international initiatives, including the European Global Monitoring for Environment and Security (GMES) initiative and the humanitarian and development aid policies of the United Nations. Also, settlements’ monitoring is related to phenomena, like illegal immigration, that are very high positioned on the list of policy makers. From this viewpoint, conceiving and developing suitable techniques based on remote sensing have therefore a global scope and would bring relevant improvements.

Fig. 1 Conflict-induced internal displacements in Africa (data available from www.internaldisplacement.org/)

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Informal settlements are usually defined as dense settlements comprising communities housed in self-constructed shelters under conditions of informal or traditional land tenure (Ruther et al. 2002). They are common features of developing countries and are typically the product of an urgent need for shelter by the urban poor. These areas are characterized by rapid, unstructured and unplanned development. On a global scale, informal settlements are a significant problem especially in third world countries, where most of the disadvantaged are housed. Thus, observation of informal settlements is nowadays a primary issue in security global monitoring. According to the analysis of migrants in the world as proposed in (UN-HABITAT, 2005b), there are 175 million people displaced internationally, and many more nationally. A large number of them are moving because of war and famine, and currently most of the areas of concerns are concentrated in Africa (see Fig. 1). It is therefore of great interest to monitor the evolution of the human settlements in order to guide aids, plan adequate shelters and forecast population movements.

Human Settlement Mapping and the Role of Remote Sensing Identification, delineation and classification of human settlements areas have typically been the realm of the technical remote sensing community. The ability to portray at the same moment a large area with a fine level of detail, and with increasingly shorter revisit time, is one of the most appealing advantages of remote sensing by satellite platforms. Remotely sensed data provide a physically meaningful way to define urban areas and this may be considered as an alternative way to study these areas than those more usually considered by social and economical analyses. Indeed, a global view to human settlements may be useful to understand the processes behind population movement. It is impossible to analyze these areas and their growth over time without connecting it at least with the place where they are located and the economy of the region. In turn, this means that models reflecting how the environments have been and will be modified by the human beings need inputs coming from historical series of data on urban expansion and change. Moreover, correlation between urban analysis and population estimate in a region or continent is guaranteed by the large majority of the people living in urban areas. However, this opens some problems, like for instance the definition of urban area and the differences among the most usual definitions and the one obtainable from remotely sensed data. Coarse spatial resolution data, available from many satellite sensors now, are often enough to comprehend and forecast trends for land use transformation that must be monitored and controlled to prevent the degradation of the environment. A recent example is the digital atlas by the United Nation Environment Program (UNEP). As a matter of fact, human settlements may be large and are almost always sparse, and the information need is similarly sparse and distributed. No field survey is usually able to acquire data with the same geographical distribution that a remote

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sensor may provide. Depending on the application, however, finer details of shorter temporal delay might be differently important. In other words, spatial and temporal scales of the analysis are one of the key issues. Finally, and especially in urban areas, geometrical and spectral properties of the materials used to build structures and infrastructures are invaluable to characterize the typology of settlement (e.g. formal versus informal), of land use (e.g. residential versus industrial) and even of land cover (e.g. asphalt versus roof tiles). Using multi-spectral satellites at high resolution (from 10 to 2.5 m posting) we may work on the single town scale and the urban environments. At this resolution urban objects start to become visible and distinguishable. As a consequence, it is almost impossible to work with these images considering the town and its surroundings, unless a small town is considered. We may say that this resolution range is the line discriminating between the urban environment as a part of the regional area environment and as a complete system, whose interaction with the outside is primarily neglected. At the coarser resolution the urban area is taken as a black box, interacting with the surroundings, while at this level it is something with internal structures. The relationships among the parts of the settlement begin to be visible. Finally, with Very High Resolution (VHR) satellites the sensors are able to provide images with spatial resolution of 1 m or less. So, single elements (e.g. buildings, streets, . . .) may be individuated and studied. The model of the settlement which may be extracted from remotely sensed data is more and more detailed, and at this level tends to be more similar to the complexity of the reality. The most relevant application of urban remote sensing at the scale for urban planning may be urban area monitoring as a whole, considering urban land mapping using legends available at a regional scale. Urban area change detection is implicitly introduced in this definition, but only as far as urban area growing or shrinking is considered, and no land use change is tracked at this level of detail. In this sense informal settlement mapping, which is a way to track urban area fast growing effects in most third world countries. The last topic related to urban area analysis and monitoring at a regional level is the characterization of the urban to rural fringe area. For areas worth considering, i.e. megacities or highly expanding ones, this means a detailed analysis of the settlements around the town. Most of them are informal settlements, and this is especially true in third world countries, where urban remote sensing is often mandatory to achieve a proper level of information. So, informal settlements’ monitoring will be definitely one big part of the research in the next 5 to 10 years. However, for spatial technology to be effective in informal settlement environments, it has to be low cost, both in data acquisition and processing, as automated as possible to achieve faster and more reliable results, simple to use and largely based on tested routines and algorithms. While the first issue is addressed by very high resolution satellites, developing procedures for processing SAR data on urban environments is still a very interesting research topic. In fact, the acquisition of spatial data in informal settlements has been so far mainly based on conventional ground mapping techniques or conventional photogrammetric approaches applied to non-photogrammetric satellite data. Maps are compiled using analogue or analytical photogrammetric methods

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(Mason and Ruther, 1997, Mason, and Fraser, 1998) or direct on site surveys (Kavanagh and Home, 1999). These are, to a large extent, manual operations and require a wide expertise; moreover, they are slow and biased by the operator skills. The aim of this research is to develop semi-automatic algorithms for extraction of informal settlement borders, analysis of settlement density and, if possible, trends and change detection characterization.

Satellites and Sensors Earth observation missions for civil applications by means of satellites began in 1960 with Tiros-I, a US satellite for meteorological purposes. During the past forty years a number of space missions started – the most recent ones, for radar sensors, are leaded by Europe, with the Cosmo SkyMed and TerraSAR-X constellations – and many others have been planned. Their application fields range from meteorology to geodesy, from vegetation assessment to land mapping, from water analysis to thermal mapping. Moreover, technology sensibly improved and new capabilities are continuously added. Right now one might obtain images of the earth surface at multiple wavelengths, using passive or active sensors, at any time of the day, in any seasons and weather conditions. In this section we briefly present the sensors used for our work, which are among those usually exploited for land mapping, i.e. for extracting thematic maps about solid land portions of the earth surface. Detailed characteristics can be found in Tables 1, 2, 3.

Table 1 SPOT 5 mission and HRG characteristics Launch Date Launch Vehicle Launch Location Orbit Altitude Orbit Inclination Equator Crossing Time Orbit Time Revisit Time Swath Width Digitization Resolution

Image Bands

May 3, 2002 Ariane 4 Guiana Space Centre, Kourou, French Guyana 822 Km 98.7◦ , sun-synchronous 10:30 AM (descending node) 101.4 min 2–3 days, depending on latitude 60 Km × 60 Km to 80 Km at nadir 8 bits Pan: 2.5 m from 2 × 5 m scenes Pan: 5 m (nadir) MS: 10 m (nadir) SWI: 20 m (nadir) Pan: 490–690 nm Green: 500–590 nm Red: 610–680 nm Near IR: 780–890 nm Shortwave IR: 1,580–1,750 nm

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October 18, 2001 Boeing Delta II Vandenberg Air Force Base, California, USA 450 Km 97.2◦ , sun-synchronous 10:30 AM (descending node) 93.5 minutes 1–3.5 days, depending on latitude (30◦ off-nadir) 16.5 Km × 16.5 Km at nadir 11 bits Pan: 61 cm (nadir) to 72 cm (25◦ off-nadir) MS: 2.44 m (nadir) to 2.88 m (25◦ off-nadir) Pan: 450–900 nm Blue: 450–520 nm Green: 520–600 nm Red: 630–690 nm Near IR: 760–900 nm

Table 3 ALOS mission and PALSAR characteristics Launch Date Launch Vehicle Launch Location Orbit Altitude Orbit Inclination Equator Crossing Time Orbit Time Revisit Time Polarization

Swath Width

Center Frequency Chirp Bandwidth

Digitization

Range Resolution

January 24, 2006 H-IIA Tanegashima Space Center 691.65 km 98.16◦ , sun-synchronous 10:30 AM (descending node) 99 min 46 days Fine Mode: HH or VV HH+HV or VV+VH ScanSAR: HH or VV Polarimetric: HH+HV+VH+VV Fine Mode: 40 to 70 Km (HH or VV) ScanSAR: 250 to 350 Km Polarimetric: 20 to 65 Km 1270 Mhz (L-band) Fine Mode: 28 MHz (HH or VV) 14 MHz (HH+HV or VV+VH) ScanSAR: 14 MHz, 28 MHz Polarimetric: 14 MHz Fine Mode: 5 bits ScanSAR: 5 bits Polarimetric: 3 or 5 bits Fine Mode: 7 to 44 m (HH or VV) 14 to 88 m (HH+HV or VV+VH) ScanSAR: 100 m (multi look) Polarimetric: 24 to 89 m

- SPOT 5 is the fifth mission of the French family of satellites for earth observations, launched in 2002 (SPOT stands for Satellite Pour l’Observation de la Terre). It is equipped by the HRG sensor, which allows to acquire spectral information over 4 bands (Green, Red, Near Infra-Red, ShortWave Infra-Red)

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and have a spatial resolution that ranges from 20 m (multi-spectral) to 2.5 m (panchromatic). This imagery provides geographical information suitable for many fields: cartography, agriculture, urban planning and telecommunications. The most evident application is medium-scale cartography (1:50.000/1:100.000), even if finest panchromatic resolution allows the identification of shapes and objects’ measurements. The SPOT 5 satellite ensures an acquisition swath of 60 Km × 60 Km and, being orbit sun-synchronous at altitude of 822 Km, a revisit time (i.e. the possibility to get an image of the same area) of 3 days. - Quickbird: it is among the finest resolution commercial optical satellite. It has 4 bands (Blue, Green, Red, Near Infra-Red) and it can offer a sub-meter resolution of 61 cm. It was launched in 2001 with a sun-synchronous orbit at 450 Km altitude, with a revisit time from 3 to 7 days. It is able to produce single area images of 16.5 × 16.5 km or 16.5 × 165 km strip maps. Imagery can be employed in many application fields, such as map publishing with scale up to 1:5.000, land management or risk assessment. - ALOS. The Advanced Land Observing Satellite was launched by JAXA (the Japanese Space Agency) very recently, in January 2006 and it mounts 3 sensors: a radar instrument (PALSAR), a stereo sensor (PRISM), for digital elevation mapping, and a visible and near IR radiometer (AVNIR-2). The orbit is sun-synchronous at about 690 Km and it has a repeat cycle of 46 days. In particular, PALSAR sensor works in L-band (1270 MHz) and has three observation modes: Fine Mode, that has a finest ground resolution of 7 m; a ScanSAR Mode, for covering wide swath areas (from 250 to 350 Km) and a Polarimetric Mode, for transmitting/receiving any combinations of H and V polarizations.

A Processing Chain for Exploiting Images from Optical Satellite Sensors Many projects for damage assessment and crisis management started in the past years, but also the new ones that are going to be funded, feature remote sensing optical data: they are basically photographs and thus easier to understand by human interpreters. The keypoint is that up to now only very few automatic procedures can be adopted for rapidly managing emergency situations, and time constraints – even if computational costs have drastically reduced thanks to newer technologies – still remain the bottleneck of the workflow chain. By the way, if procedures can be specialized and are not conceived for general purposes, better results are achieved. We are going to present a complete framework for the processing of optical and SAR imagery of Darfur, a big region of Sudan torn by civil war, environmental disasters and poverty. As a matter of fact, this mangled area needs to be constantly monitored and aided so that remote sensing technology can be a very useful tool for relief operations.

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A good strategy for analyze such phenomena might start from a low scale analysis and then conclude specializing to a high-resolution investigation. The procedure is modular, but sequential: in the first place, spatial properties of the images are classified to detect settlements’ boundaries. For many purposes, such information could be sufficient (very often no plans are even available), but it can be enriched by further processing steps. Once regions of interest have been defined, it is possible to perform more specialized analyses over the original data. For our goal, an important task would be to discriminate between effective buildings and refugees’ tents, in order to manage population transfers. Fortunately, usual housing and shacks have in general different patterns, thus it is feasible to separate them in an automatic way. Furthermore, the most recent optical sensors are able to acquire data at submeter resolution, allowing the detection of single buildings. This feature clearly opened new perspectives, for instance the population assessment inferred by counting the number of edifices or the land cover classification for logistic purposes. Many techniques might be adopted: we propose a supervised neural network classifier, followed by a morphological filter bank to detect and label buildings according to the land cover legend developed by the ESA GMES Service Element project GUS (GMES Urban Services). The idea behind this first step is the importance – especially in third world countries, which very often are not supplied by up-to-date maps – of realizing a first screening of the data, generating maps able to provide the position and the extent of built up areas. For such goal it is straightforward that highest spatial resolution is not required, since output map scale is expected to be large. It is then preferable to exploit middle resolution sensors, which, despite the coarser spatial resolution, have a wider swath, so that they can cover more rapidly and with less computational costs broad areas. For the same reasons it is not acceptable to analyze the images with a per-pixel approach, because one would not be able to resolve the finer details that urban scenes hold and the final processing would be noisy or even incomprehensible. It is then essential to look over image pixel relationships within a certain neighborhood, usually characterizing their DN (Digital Number) values from a statistical point of view. To determine spatial patterns many techniques can be used – such as mathematical morphology or autocorrelation indexes – but the most commonly used feature is the grey level co-occurrence matrix (GLCM), introduced in 1973 by Haralick et al. This technique consists in evaluating spatial statistics within grey level images and indicating whether or not correlation/similarity between neighboring pixels inside a window of fixed dimensions can be observed. A number of different textures has been proposed, but nine of them are the most commonly used and can be grouped into three sets, depending on their similar properties (see Fig. 2): 1. Contrast group: local variations within the image are measured. - Contrast: bright pixels correspond to strong local variations. - Dissimilarity: the output image associates low DN values to zones that show high similarity. - Homogeneity: low variability in grey levels reflects on bright output pixels.

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(a)

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Fig. 2 Texture patterns: (a) Sample from a SPOT5 image; (b) Contrast; (c) Dissimilarity; (d) Homogeneity; (e) Angular Second Moment; (f) Entropy; (g) Mean; (h) Variance; (i) Correlation

2. Orderliness group: the degree of disorder (how regular pixel values are) is evaluated. - Angular Second Moment: if the input image shows uniform grey tones, the output will show high values. - Max Probability: it associates to the central pixel of the processing window the most frequent value encountered. - Entropy: it measures the uniformity of image patterns. 3. Stats group: statistics over the window pixels are computed. - Mean: the center pixel of the window assumes the mean value of the neighbors

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- Variance: high values mean high standard deviation within the window - Correlation: it measures the linear dependency of the center pixel on the neighborhood. Once spatial patterns have been found, it is then possible to establish if there is a relationship between the most significant elements of the images (built up regions, vegetated areas, mountains, etc.) and the texture features. If a unique association between them existed, it would be definitely easier to classify images and to immediately retrieve needed information. Unfortunately real scenes are so diversified and complex that it is not possible to see distinctive and well-defined traits for each part of the environment, but only a certain degree of separability between classes. Usually the problem is solved finding a set of textures that best characterizes the objects’ properties. In the presented case, this task is someway less difficult than in other areas, such as European cities or other zones of Africa itself, since the arid background allows to get rid of the typical inconvenience that affects this kind of technique: usually crop fields and vegetation or rock banks have urban-like spatial behaviors and it is extremely difficult to manage them in very heterogeneous scenes. As a proof, see Fig. 3(a), an original SPOT5 panchromatic scene, acquired in 2005: the city of Al Fashir stands out on the background and we do not expect to encounter significant confusion among the patterns of our interest. By the way, a scrutiny of the feature combinations that could bring best results led to opt for only one texture, namely

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Fig. 3 Al Fashir: (a) Original SPOT5 image; (b) Homogeneity; (c) Ground truth; (d) Single threshold = 0.95; (e) Single threshold = 0.7; (f) Double threshold = 0.7–0.95

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Homogeneity (Stasolla and Gamba, 2007). As shown in Fig. 3(b) the urban areas (see the related ground truth image, Fig. 3(c)) are basically characterized by dark pixels, since they do not show exactly homogeneity but they have a great variability within them. As supposed, the arid environment reduces noise and we can roughly assume that there is a one-to-one relationship between the chosen feature and urban behavior: the keypoint is now to threshold the image histogram in order to select only those pixels that do not have bright response. In Fig 3(d)–(e) two single thresholdings of image complement (for the sake of clarity) is shown, respectively with cut-off values of 0.95 and 0.7. It means that pixels with value lower than 95% (or 70%) of the peak are forced to 0, while the others set to 1. As can be seen, the obtained binary images are not actually very precise maps, due to the fact that the areas of interest in the input image are not completely homogeneous or heterogeneous, but they can exhibit different levels of correlation. This means that, on the one hand, a too selective cut-off (0.95) would lead to a poor classification; on the other hand, if we chose a threshold that includes a wider range of values, at the same time we would take into account unwanted zones, like those depicted in the right side of Fig. 3(e). To fix this drawback we have to introduce the concept of double thresholding. Based on mathematical morphology (Soille, 2003), it consists in separately filtering the same image with two different cut-off values: the final output is the morphological reconstruction of the low level thresholded image starting only from the pixels of the high level one. Despite its simplicity, this operation sensibly improves results and allows achieving mapping accuracy around 98%. The final map precision appears very impressive, above all if we consider the existing available maps of the test area. They are presented in Fig. 4: the left one comes from an international database provided by FAO and based on satellite data at medium resolution (Africover, see http://ww.africover.org), while the other has been acquired by a night-time sensor and suffers for poor spatial resolution. The procedure therefore led to a preliminary map of the settlements that can be of course refined. For instance, a noticeable issue would be to discriminate between regular and informal buildings. From a visual inspection of such regions (Fig. 5(a) shows the variance image of the area) it results that there is a significant difference between them in terms of their spatial patterns. On the one hand, the city core has big

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Fig. 4 Al Fashir: (a) Africover land use map; (b) Night-time image of the area

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Fig. 5 Al Fashir: (a) Variance; (b) City (dark grey)/Camp (light grey) discrimination (c) Final classification after majority filter

and dense buildings; on the other hand, the camp has a very regular structure of rows of small shacks. These considerations suggest exploiting once again the GLCM to quantify the correlations: it is now useless (even worse) to process the entire image, but we can take advantage from the previous step using its output as a mask. This brings to an impressive result, where the two objects have been separated with high precision (Fig. 5(b)). Of course we have to take into account a certain mix up of classes in some parts of the image, especially the city boundaries, where building density begins to decline. To get out of this inconvenience a majority filter could be applied and errors significantly reduced (Fig. 5(c)). Once the regions of interest have been selected, it is also possible to switch to high resolution for more specific and challenging tasks. For example, an appealing and interesting field of research is the detection of single buildings, that has several applications, ranging from cadastral purposes to population density inferring. It is straightforward that it can be possible only by means of meter or submeter resolution images (like those provided by the two commercial optical satellites Ikonos and Quickbird). Several methods can be found in literature, but it must be said that a general approach, as more widely applicable as possible, is still missing, due to the complexity of scenes and to the variability of city structures and characteristics. For our specific test case, which shows a homogeneous scene from the spectral point of view – in the sense that the buildings are basically made of the same materials, they are disposed in a regular way on bare soil, and surrounded by few trees and shrubs – the goal might be achieved by first classifying the image with a supervised neural network and then by using morphological filter banks in order to refine results. Classification is an important preliminary step, so it is mandatory to perform it as best as possible and that is the reason for choosing a neural network, exploiting a refined mapping algorithm (Gamba and Dell’Acqua, 2003). On the other hand, it is a supervised classifier and requires human interaction, reducing the degree of automation of the procedure. Anyway, being the scene spectrally well defined, only a few samples are needed to train the network. In Fig. 6(b) the whole mapping output for a part of an image over a different town in Sudan, Nyala. Four classes have been chosen: Buildings (dark grey), Soil (medium grey), Trees (light grey) and

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Fig. 6 Nyala: (a) Original Quickbird image; (b) Neural Network classification; (c) Building class; (d) Final building extraction by dimensions: smaller (white) and bigger (dark grey)

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Shadows (black). The interest here is in the building class: isolating it from the others, we obtained a black and white image that on the whole fits the objects, but suffers from the presence of sparse and spurious pixels, clearly due to spectral lack of homogeneity (Fig. 6(c)). The final step is then to process this image with some morphological filters in order to select only those objects that fit shape, such as compactness or axes length ratio, and dimensions criteria. As hinted before, the output image can be easily converted into a land cover map or maybe used for inferring the number of living people within the settlements (Wu et al. 2005). For instance, in Fig. 6(d) buildings have been divided into classes 1.1.1.3 and 1.1.2.1 (or 1.1.2.2) of GUS legend (See Table 4), according to their dimensions: warehouses are usually bigger than residential fabrics, so it is likely that in dark grey buildings commercial or industrial activities take place, while white ones are just private houses. It is straightforward the importance of such knowledge, especially in fast developing areas or in poor third world countries, where logistics assumes a predominant role in relief operations and development planning.

Mapping Human Settlements Using Radar Satellite Sensors The approach just described for optical imagery can be similarly applied to radar (usually called SAR, Synthetic Aperture Radar) data. Of course the properties of sensors and images are completely different – new methodologies should be introduced – but the original strategy of recognizing in first place the settlement extent

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1. Artificial 1.1 Urban fabric surfaces

1.1.1 Continuous urban fabric

1.1.2 Discontinuous urban fabric

1.2 Industrial, commercial and transport units

1.2.1 Industrial, commercial, public and private units

1.1.1.1 Residential continuous dense urban fabric 1.1.1.2 Residential continuous medium dense urban fabric 1.1.1.3 Informal settlements 1.1.2.1 Residential discontinuous urban fabric 1.1.2.2 Residential discontinuous sparse urban fabric 1.1.2.3 Residential urban blocks 1.1.2.4 Informal discontinuous residential structures 1.2.1.1 Industrial areas

1.2.1.2 Commercial areas 1.2.1.3 Public and private services not related to the transport system

1.3 Mine, dump and construction sites

1.4 Artificial non-agricultural vegetated areas

1.2.2 Road and rail networks and associated land 1.2.3 Port areas 1.2.4 Airports 1.3.1 Mineral extraction sites 1.3.2 Dump sites 1.3.3 Construction sites 1.3.4 Abandoned land 1.4.1 Green urban areas

1.4.2 Sport and leisure facilities

and then specializing the analysis can be adopted. Actually, due to the fact that VHR SAR sensors were launched only few months ago, this last phase is nowadays not very practicable, since a significant number of acquisitions has not been carried out yet and only few data are currently available in databases. However, low and medium scale resolution imagery has been fully operational since many years. It is important to stress that we are not expected to replicate the same algorithm provided for optical data, since acquisition geometry, working frequencies and technology are completely different. We may roughly say that optical data are basically photographs, so they mainly acquire data with a certain perspective and in the visible

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spectrum (many of them also cover IR bands), while SAR imagery is based on the measurements of the distance between targets and the sensor by transmitting microwave pulses. The most evident consequence, besides geometrical effects, is that in SAR images urban areas appear very bright due to the presence of edges and double-bounce reflectors that scatter the radiation back to the sensor, instead of reflecting it like in presence of flat surfaces such as water bodies. For this reason, a processing scheme for SAR data starts from other assumptions and works better with different features. For example, the GLCM-based approach, in this case, is not suitable for our aim, since the final classification includes a great number of false alarms. In fact, differently from optical images, their DN values are related to the geometry of the scene, rather than the physical properties of the objects: we can say that there is a lower “textural” resolution, so the right strategy is no more to exploit such information. Indeed, a novel procedure based on Local Indicators of Spatial Association (L.I.S.A.) can be considered. Autocorrelation indexes give an estimate of similarity (and dissimilarity) characteristics within images (Anselin, 1995). They have the properties to measure the degree of clustering of image pixels, from random to strongly correlated patterns. It is interesting to stress that autocorrelation can be both positive and negative: the former occurs when neighboring pixels have very similar values; the latter, instead, can be explained by imagining pixels arranged like a chessboard. Even though every value is different from each other, the pattern is not random, a periodicity in the grid, then a sort of autocorrelation, occurs. Among the number of indexes that can be found in literature, three of them are the most suited for our goal, that are briefly described hereafter: – Moran’s Ii index: it gives a measure of similarity between neighboring pixels of the target and their mean. – Geary’s ci index: it determines the zones of high variability between a target pixel and its neighbors. – Getis-Ord G i index: it evaluates the concentrations of similar grey level values, allowing to identify the so called ‘hot spots’, such as very bright targets. It must be underlined that the combined use of Ii , ci and G i is justified because of the non completely overlapping information they provide. In fact, even though they all estimate spatial associations, Ii and G i are useful to evaluate the spatial

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Fig. 7 (a) Sample from a PALSAR image; (b) Moran’s Index; (c) Geary’s Index; (d) Getis-Ord Index

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concentrations of high or low values, while ci is exploited for finding similarities or dissimilarities in the local pattern. A sample of index analysis output is presented in Fig. 7. For these reasons, if such local indexes can be extracted, they provide very meaningful knowledge about the scene properties, so that it is possible to characterize very efficiently the properties of the urban areas. In fact, like very few other elements in SAR images, they show a behavior marked by a high positive autocorrelation (all the buildings have bright response) together with a strong negative autocorrelation (there are empty spaces – trees, streets, water bodies – among buildings). This is the rationale behind the scheme conceived to process the PALSAR data at our disposal, shown in Fig. 8(a). After computing the indexes, binary images are generated by thresholding the original ones and then combined to extract hot spots, such as very bright points within the image. As discussed before, hot spots should correspond with high probability to urban points, but false alarms might have been detected, as can be seen in image 8(b). For this reason, it is useful to evaluate how many bright pixels are contained in each separate object of the image: it is likely that urban areas have a high density of them and thanks to this information it is possible to discard mix-up regions. It is well visible again in Fig. 8(b). For the sake of clarity, the blobs of the image have been colored from light grey to dark grey as density increases (the background is black). Unfortunately the cut-off value for determining the actual built up areas is strictly depending on the observed scene and cannot be generalized, unless sub-optimal solutions are acceptable. This means that this step still requires, albeit very limited, the contribution of the human interpreter, that should select on his a priori knowledge the right and optimal threshold. By the way, when this tricky point is performed, only few denoising steps based on mathematical morphology are needed to provide a very accurate final result. A comparison with the ground truth map of the test area shows that the overall accuracy is around 97%. Usually, despite high precision, SAR classifications are affected by quite high omission errors that can seem unaccountable, but this is mainly due to the typical granular looks of urban areas in radar images. Moreover, in this case, it should be noticed that there is a newer area (with respect to the optical image of the previous section) on the right side of the Abu Shok refugee camp that has been discarded. Actually it is very difficult to recognize it, even by visual inspection, since it is mixed up with the large “wadi” region that cuts across the camp and the main city. We recall that the SPOT image was acquired in 2005: only one year earlier than the PALSAR one. There is no need of stressing the fact that we are dealing with extremely rapid phenomena that definitely require to be efficiently and quickly monitored. Nevertheless, as can be seen in Fig. 8(c), the proposed method is not able to detect this new entity: it is an intrinsic consequence of the rationale behind the algorithm, which needs, for behaving well, the presence of strong scatterers to be used as seeds for detecting the entire areas of interest. Unfortunately the new camp does not fulfill these requirements, since it is still in a start-up phase and so made of small, sparse tents that do not backscatter sufficiently to the sensor. For a qualitative assessment, the final result is depicted in Fig. 8(d). Except for a few false alarms (white) and the above mentioned omission errors (dark grey),

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the overall classification is very accurate, as for the evaluation of the urban extent (medium grey areas have been successfully classified).

Combining Sar and Optical Data The unifying conclusion of the present discussion is the exploitation of both optical and SAR data. In the past paragraphs it has been roughly described the fact that they have complementary properties that make their joint use definitely powerful. As a matter of fact, optical images have higher spatial and spectral resolution, but they are limited by light and atmospheric conditions. Instead, radar intensity images provide information about geometry and orientation of structures, and they suffer from speckle noise. Finally, due to their all-weather capabilities, they allow a continuous acquisition, without any limitation. Many works have demonstrated the effectiveness and advantages of data fusion techniques (Fatone et al. 2001, Pal et al. 2007): above all, the most remarkable aspect is that yielded improvements, whether significant or not, always occur and they are not related to particular scenarios or favorable conditions. We are then going to show that, also in our case, data fusion is a winning approach and it should be more and more extensively pursued, especially when dealing

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Fig. 8 Al Fashir: (a) Original PALSAR image; (b) Hot spots’ density map; (c) Final result (d) Error visualization

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Fig. 9 Al Fashir, K-Means classification: (a) SPOT5 image; (b) PALSAR; (c) SPOT and PALSAR

with scenarios that lack in preliminary knowledge. To stress its potentialities, it is interesting to evaluate how even a simple methodology (let us say not sufficiently robust for ensuring reliable and good outcomes independently of the inputs), would bring very different results, if applied to individual datasets or in case of joint analyses. For example, we could decide to use again texture information – in particular homogeneity – adopting two different approaches: first we will classify the scenes with the unsupervised K-means algorithm, that clusters pixels into homogeneuos groups depending on their attributes; then we will train the fuzzy artmap neural network with some samples about the three basic classes of the scene (urban areas, soil and rocky areas), getting as output the whole classified image. We already said that textures give good results over optical images, but very high commission errors when working with SAR images. Figures 9(a) and 10 (a) decree the clean superiority of the supervised method with respect to self-clustering: statistics within the image fluctuate and it is difficult to automatically choose the grouping classes, so that commission errors in the first case are more than 50%. Different performances – but very scanty for both methods – can be observed when analyzing radar data (Figs. 9(b) and 10(b)): errors are extremely high and confirm that texture approach is definitely not suitable for such imagery. It might be surprising the neural network deficient behavior, but, due to the speckle noise (also known as “salt and pepper” noise) that degrades SAR images, the training samples contain a great number of out-of-statistics values that cut performances down. The most interesting conclusions, however, come from the joint classification of SPOT and PALSAR data: the noisy contribution of radar data is not felt and does not affect – it does not reduce – final results. One can expect to have a loss in terms of accuracy as effect of the combination of the good classification of the first dataset with the poor one of the second. On the contrary, for the first approach, there is simply no significant improvement, while the second even sees a reduction of the omission error of 3 percentage points, confirming what we discussed above. The last remark is a consideration about the time lag between the data that are going to be fused. As a general rule, they should be very close, in order not to differ significantly, but of course it depends on the nature of the studied phenomena. For

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instance, urban development is usually a rapid event (let the newer refugee camp raising in our dataset be an example), but there are many other cases – vegetation monitoring or geological survey, etc – that can be either faster or much slower.

Conclusions and Future Researches In this chapter we presented a complete study case for detection of built up areas and population monitoring with the explicit purpose of managing and mitigating crisis events by means of remote sensing technology. The overall processing framework exploits both optical and SAR imagery and it is based on some of the most interesting state-of-art techniques in image processing. The test case was chosen in Darfur, Sudan, a region affected by a so called ‘complex emergency’ – i.e. a grievous condition where civil wars and conflicts are coupled with natural hazards – that worsens poverty conditions and forces people displacements (it is estimated that almost one and a half million people moved from their homes from the beginning of the crisis). Firstly, medium scale applications, such as built up areas’ mapping and monitoring, are efficiently achieved by means of textural information in optical data or local autocorrelation measurements in SAR images. Then, analysis can be specialized with the help of very high resolution optical images (less or equal to 1 m spatial resolution) and focused on individual building extraction. Finally, a data fusion technique should be employed for generally improving results thanks to the complementary properties of optical and radar sensors, one compensating for the drawbacks of the other. Even though they could somehow seem applicable only to a specific task, settlements’ detection and characterization naturally lends themselves to broaden the spectrum of applications. For instance, the precise knowledge about the position and the extent of urban areas can be exploited in any cases of natural disaster and in any problems strictly related to population. Floods, earthquakes, hurricanes, tsunamis:

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Fig. 10 Al Fashir, neural network classification: (a) SPOT5 image; (b) PALSAR; (c) SPOT and PALSAR

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they all strike people in unpredictable ways and countermeasures must be taken as quickly and widely as possible. In such cases only space technology has the aptitude for helping and assisting relief operations fulfilling the compelling time and cost constraints. If pre and post event images are available, change detection algorithms over urban areas can be applied for assessing the impact of such catastrophic events on the environment and population. Moreover, depending on sensors’ availability and properties, the same area can be studied from different viewpoints, so that it is possible to provide further basic information, from geological analysis to vegetation estimation, from water-supply assessment to logistic support. The capabilities of this technology have been widely proven and the number of international funded (and going to be funded) projects is a further evidence that governments and administrations have definitely bet on remote sensing as the main asset in humanitarian operations. Since its potentiality and effectiveness (with respect to any other solutions) is not under discussion, for the future the actual challenging task would be to develop fast and efficient (semi)-automated procedures in order to sensibly reduce more and more human intervention in image analysis, the effective bottleneck of the entire product delivering chain. New strategies will face technology improvements (we recall that in few months also VHR SAR images will be available) and should address data fusion approaches (optical, radar, GIS, hyperspectral and all useful ancillary information). They are of course expected to be as more general as possible, but, even though specialized routines for optimizing results within particular scenarios and applications, they would be inalienable value-added products. Acknowledgments The authors would like to thank ESA and JAXA for providing the ALOS PALSAR data within the framework of the Announcement of Opportunity for these data for the ALOS European distribution node. Moreover, SPOT dataset was supplied within the O.A.S.I.S. (Optimising Access to Spot Infrastructure for Science) Programme, while Quickbird images were provided by the Joint Research Centre of the European Community in the framework of a joint collaboration project with the University of Pavia.

References Anselin, L. (1995). Local indicators of spatial association – LISA. Geographical Analysis, 27, 93–115. Fatone L., Maponi P., and Zirilli F. (2001). Fusion of SAR/Optical images to detect urban areas. IEEE/ISPRS Joint Workshop on Remote Sensing and Data Fusion over Urban Areas, IEEE, 217–221. Gamba P., and DellAcqua F. (2003). Increased accuracy multiband urban classification using a neuro-fuzzyclassifier. International Journal of Remote Sensing, 24(4), 827–834. Kavanagh, J., and Home, R. (1999). Mapping the refugee camps of Gaza: the surveyor in a political environment, Survey Ireland. Mason, S.O., and Fraser, C.S. (1998). Image sources for informal settlement management, Photogrammetric Record, 16(92), 313–330. Mason, S., and Ruther, H. (1997). Investigation of the Kodak DCS460 digital camera for small-area mapping. Journal of Photogrammetry and Remote Sensing, 52, 202–214.

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Pal S.K., Majumdar T.J., and Amit K. Bhattacharya (2007). ERS-2 SAR and IRS-1C LISS III data fusion: A PCA approach to improve remote sensing based geological interpretation. ISPRS Journal of Photogrammetry and Remote SensingVolume 61, 5, 281–297. Ruther, H., Martine, H., and Mtalo, E.G. (2002). Application of snakes and dynamic programming optimisation technique in modelling of buildings in informal settlement areas. Journal of Photogrammetry and Remote Sensing, 56, 269–282. Haralick R.M., Shanmugam K., and Dinstein I. (1973). Textural features for image classification. IEEE Trans. Syst., Man, Cybern., 3, 610–621. Soille P. (2003). Morphology Image Analysis: Principle and Application, Springer-Verlag, (second edition). Stasolla M., and P. Gamba (2007). Exploiting spatial patterns for informal settlement detection in arid environments using spaceborne optical data. Int. Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, vol. XXVI, part 3/W49A, 31–36. UN-HABITAT (2005a), “Financing urban shelters. Global report on human settlements 2005”. UN-HABITAT (2005b), “International migrants and the city”, M. Balbo, Ed. Wu, S.-S., Qiu X., and Wang L. (2005). Population estimation methods in gis and remote sensing: A review. GIScience and Remote Sensing, 42(1), 80–96.

Useful Web Sites http://respond-int.org http://na.unep.net/digital atlas2/google.php http://www.unosat.org http://www.disasterscharter.org/main e.html http://www.earthobservations.org http://www.ieee-earth.org http://www.africover.org http://www.spotimage.fr http://www.digitalglobe.com http://www.palsar.ersdac.or.jp/e/index.shtml http://www.itc.nl

National Development Through Space: India as a Model Ian A. Christensen, Jason W. Hay and Angela D. Peura

Abstract The experience of India, over the past 40 plus years, in developing and operating a space program focused on providing direct societal benefits offers a number of lessons as developing countries across the globe become increasingly involved in space activities. For a space program to be successful in the context of a developing nation, that program must provide tangible benefits to that country and its people and be tied to broader development objectives. This chapter describes how India’s experience in space can be applied as a model to developing countries as they seek to achieve this type of growth from a space program. The chapter describes the relationship between science and technology investment and national development generally and then provides specific detail on the example of India’s experience in space. After the capabilities and organization of the Indian Space Program are described a detailed review of the history and current operations of that program is undertaken that reveals a set of elements that have enabled the success of India’s space efforts. These elements become the key attributes of a model that can be applied in other developing countries. The paper concludes by applying the model to two test cases, Kazakhstan and South Africa. Keywords Development · Developing countries · Stages of development · India · ISRO · Indian space research organization · Kazakhstan · South Africa · Model · Space

Introduction In the past 20 years, the number of developing countries engaging in space activities has risen dramatically. The motivations for doing so in each case are as unique as the countries themselves; however, they usually share two common factors. First, space programs in developing countries frequently emphasize tangible benefits to society

I.A. Christensen (B) Futron Corporation, USA e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 18,

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and its people. Second, these space programs often are tied to the country’s broader development objectives, including building a national science and technology base. Through analysis of a specific example, India’s experience in space, this chapter describes a model that might be applied in other developing countries and tests this model using selected case studies. The chapter begins by introducing the role of science and technology in the context of developing nations. It then provides an overview of India’s space program, focusing on competitive advantages, historical influences, and the governmental and cultural context in which the Indian space program operates. This review will help illustrate how the space program successfully addresses development objectives and identify the elements that enable this success. These elements provide the basis for the model described later in the chapter. India’s space program has contributed to the country’s economic growth, supported beneficial societal applications, and helped to build broader scientific and technical capacities and infrastructure. India’s experience contains a number of lessons for developing nations with an interest in space activities. This chapter identifies various elements of India’s success and incorporates them into a matrix model. The model separates these elements into drivers and operational methods of India’s space program that provide necessary stimulus, promote the development of, or are an integral part of the institutional processes of India’s space program, and maps them according to their accessibility by other nations. Finally, the chapter applies this model to South Africa and Kazakhstan in individual case studies. These case studies test the versatility of the model and show how India’s experience can be applied to developing nations. The chapter concludes by noting how the value derived from India’s experience significantly differs between countries and discusses how elements of a country’s culture, government, or competitive advantages can help or hinder the application to development of a national space program, modeled after India’s.

Science and Technology in a National Development Context “Development” is a complex socio-economic process with many facets; however, economic growth is arguably the driving issue behind national development policies. It has been written that economic development is characterized through three generalized national goals:1 (1) Produce more; in particular life-sustaining products are emphasized, however any increase in productivity will be correlated with economic growth, (2) Increase standards of living; higher living standards are enabled by skilled jobs, increased education, reduced costs, easier access to goods and services, and healthier lives, and (3) Expand markets and economies; specifically to increase the range of economic and social choices for individuals.

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Davis, K. Trebilcock, M.J. (1999).

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However, even if the process of development can be simplified to three economic goals there is considerable debate about how a nation achieves these objectives. The underlying basis for economic prosperity, and presumably the three national goals outlined above, could be directly related to a nation’s competitive advantage, as argued by Michael Porter. According to his argument, nations achieve economic development by “upgrading their competitive positions” with respect to other nations.2 In classical economics, improved economic competitiveness is achieved through capital investment to increase productivity from a nation’s factors of production— minerals, agriculture, forests, and other natural resources. This classical model leads to development via the creation of new markets and goods from existing resources. However, neoclassical economic theory states that productivity can be increased through technological change. Consequently, neoclassical theory ties national development to investment in national science and technology capacities. This shift in economic theory paves the way for development through large national technical endeavors, like a national space program. Current academic work on stages of development supports neoclassical thinking and illustrates how nations pursue development goals through investment in science and technology. Roughly stated, stages of development are discrete states a nation can pass through in an effort to build a more advanced economy. This work assumes communities progress through a single path from a nascent, hunter gather economy, to a mature economic institution. Although we assume nations follow a common path for development, the number of discrete stages along this path and the methods used by academics to identify these stages are debatable. For instance, Jeffery Sachs identifies stages of economic development according to distinct types of economic activity: pre-commercial, commercial, industrial, and knowledge;3 whereas Walt Rostow sees the stages as turning points on a continuous growth curve from a traditional economy to a mass consumption economy.4 For our research, we have adopted a simplified definition from Michael Porter that identifies three phases of growth:5 (1) A factor driven stage, in which classical economics and natural factors of production dominate, (2) An investment driven stage, during which a nation invests in the skills, infrastructure, technologies, and capabilities necessary for a transfer from classical “factor” production to a knowledge economy. This period often includes technology transfer and foreign aid, and (3) Finally, the innovation driven stage, in which a country leverages its technical expertise to develop innovative new technologies that provide a competitive advantage over other nations. These phases are shown in Fig. 1, below. It is our assumption that a nation has to traverse each of these stages to achieve a modern economy; however, the time spent in each can be variable.

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Porter, M.E. (1990). Sachs, J.D (2004). 4 Rostow, W.W. (1960). 5 Porter, M.E. (1990). 3

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Fig. 1 The stages of development

The transition between a factor driven economy and an investment driven economy can be difficult for a developing nation. Even if the nation has support from an economically developed country and access to advanced technology, a policy of targeted importation of technology-intensive goods is not likely to succeed. Technology transfer includes adoption of: knowledge, skills, capabilities, supporting institutions, and culture, in addition to the physical transfer of technical goods.6 In other words, this investment phase requires the development of capacity in addition to adoption of technologies. It is capacity development that makes a national space program, modeled after India’s experience, so powerful for a nation with aggressive goals for indigenous economic growth. A national space program represents a major investment for a factor driven economy; however, if applied judiciously, a space program and space assets have the power to accelerate an economy through the investment driven phase. Space assets—especially remote sensing—enable the identification, management, and oversight of existing natural factors, thereby increasing a nation’s productivity and wealth. In addition, space is a technically intensive endeavor that requires skills that can be applied to other high technology fields. Consequently, by developing the skills and technologies necessary for a national space program, a government also builds the capacity for a technically driven economy.

Changing Space Actors In 1960, two countries could be considered space faring nations; by 2007, 46 had achieved some level of space capability.7 Countries are increasingly pursuing active space programs and, in the past 20 years, the number of countries with significant development challenges engaging in space activities has risen dramatically. It is unlikely this trend will be reverse; new space-faring countries will primarily come from the developing world. These developing nations are increasingly considering national space programs as a valuable investment along the road to development. Space assets and activities both require and provide vital infrastructure to a knowledge driven economy. 6 7

Akubue, A. (2002). Space Security Index (2007) “Directory of Space Actors.”

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Launch vehicles, satellites, and other high technologies common in space programs require advanced manufacturing and educational infrastructures in electronics, cryogenics, computer science, optics, and other innovation driven fields. Moreover, satellites provide information and communication technologies (ICT) infrastructure over large geographical areas, reducing the cost of investment, compared to terrestrial infrastructure, that provides the connectivity necessary for a knowledge economy. A space program can provide direct benefits to the individual citizens of a nation. The pursuit of these benefits is expressed in three rationales—advancement of scientific and technical skills or capacity, inducement of economic growth, and improvement of standards of living. In the Indian case, policymakers explicitly intended the space program “to play a significant role in a broader national policy of planned socioeconomic development.”8 These policymakers believed that through the development of science and technology, embodied in the space program and other national projects, India could “leap frog over the traditional stages of development.”9 In addition to the goals of development and increasing societal benefit, some of the drivers that started the space age continue to influence national space programs. In particular these drivers include international prestige and national security, and are associated with national power. While development represents an important rationale for initiating a national space program these traditional drivers should not be discounted.

India’s Space Capabilities The Indian government created a dedicated institutional framework for its national space program. This framework includes: the Department of Space (DOS), the administrative agency responsible for the Indian space program; the Indian Space Research Organization (ISRO), the primary operational entity responsible for Indian space activities; and the Antrix Corporation, a government-owned organization responsible for marketing India’s space products and services.10 From the inception of its space program in 1962, India has favored an evolutionary technology development process.11 India’s indigenous space launch capacity provides an excellent example of this strategy. The first generation of space launch vehicles began with the Satellite Launch Vehicle in 1979. Technologies from this and other early launch vehicles, along with judicious use of technology transfer, support the present generation of launchers, the Polar Satellite Launch Vehicle (PSLV)

8

Mistry, D. (1998). Mistry, D. (1998). 10 ISRO (2007) Annual Report 2006–2007. 11 Mistry, D. (1998). 9

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and the Geosynchronous Satellite Launch Vehicle (GSLV). The GSLV in particular is an interesting example of India’s incremental development efforts. The first stage, a 130-ton solid booster, is proven PSLV technology; however, the fourth stage is a Russian supplied cryogenic engine.12 ISRO is relying on the Russian engine to gain experience with cryogenic technology as they develop an indigenous fourth stage.13 India also possesses an indigenous capacity to build and operate world-class satellites, with a particular focus on communications and Earth observation platforms. The INSAT series of satellites provides an advanced telecommunications capability in combination with a meteorological capability. The Indian Remote Sensing Satellite System (IRS) provides resolution and sensing capabilities that are comparable to systems operated by the most technically advanced space actors, including government and private entities. India’s satellite capabilities have enabled a number of successful applications focused on providing societal services. The INSAT series has been used to provide rural connectivity, resulting in the expansion of access to public television from 26% of the population in 1983 to 90% in 2005.14 Tele-education and tele-medicine applications have also been developed using India’s satellite communication capabilities.15 For example, in the pilot phase of the HealthSat program, using existing INSAT capabilities, 152 remote and rural clinics were connected to 34 specialty hospitals in major population centers.16 India is scheduled to launch a dedicated communications satellite in early 2008, to provide communications links between urban specialty health centers and rural clinics. A similar program for the education sector, the EDUSAT program, has connected 10,200 terminals across India to facilitate instruction.17 The IRS satellites are used for natural disaster monitoring purposes and to provide data to decision makers for agricultural and natural resource monitoring and management. For example, the Rajiv Gandhi National Drinking Water Technology Mission used IRS-derived data to map potential groundwater sources, a capability that is especially useful when applied in rural communities. Using this data, 200,000 groundwater wells were drilled in 160,000 villages in rural India, with a success rate of 92%. This is compared to a 42% success rate using conventional siting methods.18 Remote sensing applications such as this, help India manage its factors of production while supporting the populace.

12 13 14 15 16 17 18

Mistry, D. (1998). ISRO (2007) “Indigenous Cryogenic Stage Successfully Qualified.” Kasturirangan, K. (2006). Bagchi S. (2006). ISRO (2007) Annual Report 2006–2007. ISRO (2007) Annual Report 2006–2007. Thomas, V.A. and Goel, P.S. (2003).

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Elements of India’s Experience Through a review of the history and current operations of India’s space program, we identified a set of elements that have contributed, and continue to contribute, to the successful application of space technologies to India’s development challenges. These elements are highlighted in bold throughout the text below and a complete listing can be found in Table 1. The decision of the Government of India (GOI) to invest in a national space program exhibited several of the traditional rationales alluded to earlier in this chapter, specifically pride, prestige, regional leadership, and national security. India’s space community is proud of indigenous capabilities in the satellite manufacturing and space launch sectors.19 In addition, the space program was “intended to symbolize India’s high-technology achievements, and thereby enhance India’s prestige internationally, especially among the non-aligned group of nations.”20 The success of the Indian space program contributes to international recognition of India as a regional leader and a rapidly developing nation in the global community. Regional allies and threats and the implication they have on national security are an important motivator for India’s investment in space. India’s satellite capabilities strengthen national security by providing improved situational awareness and tactical support. Additionally, as was the case for other space-faring nations, the development of Indian space launch assets was associated with the development of nuclear weapons.21 Policies aimed at addressing the country’s development challenges informed the establishment of India’s space program. India’s need for effective management of natural resources is an example of these challenges. Given the diversity of India’s terrain and its large geographic area, the synoptic coverage of remote sensing satellites provides a significant advantage to decision makers. The national requirement for broad infrastructure, which is also hindered by India’s diverse terrain, provides another challenge to national development. Space assets that partially address this challenge were seen as an attractive investment in infrastructure development for India, as a developing nation. Vital infrastructure includes, but is not limited to: physical infrastructure (e.g. roads, buildings, communications, and transmission lines for electricity, water, and gas); and institutional infrastructure (e.g. labor force, educational system, and research institutions). Satellites provide alternatives to terrestrial telecommunication and are often favored for rural connectivity. Specialized applications such as ISRO’s EDUSAT program demonstrates how space assets can contribute to the development of human capital and educational systems. Despite development challenges, India’s culture has traditionally placed a high value on education. During the British colonial period, the manifestation of this cultural value changed. Specifically, India’s indigenous educational system was disbanded, and a western style of education diffused throughout the country. This

19

Kasturirangan, K. (2006). Mistry, D. (1998). 21 Mistry, D. (1998). 20

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diffusion has aided India’s recent rapid growth and its construction of basic infrastructure.22 Satellite applications, such as the EDUSAT program, build upon the western educational institutions adopted in India and assist GOI in efforts to disseminate education. Another aspect of the legacy of colonialism is an emphasis on independence and self-sufficiency. One manifestation of this emphasis came soon after the nation’s independence in 1947, when India’s leaders “initiated programs to develop indigenous scientific and technical expertise.”23 The Government of India has implemented these programs through Five Year Plans, which have four basic objectives: 1) 2) 3) 4)

To build a strong infrastructure for science and technology research; To promote education and generate human capital in science and technology; To establish science centers to serve the needs of the rural population; and To promote non-military applications of nuclear and space research.24

These objectives “establish a foundation on which to build independent capacities in science and engineering.”25 In laying a foundation for its space capacity, India made effective use of foreign aid, which is comprised of technical assistance, foreign direct investment, and loans or grants. India leveraged this foreign aid to “develop locally whatever technology they could,” building indigenous capabilities. Merely acquiring an article of technology does not provide a nation with the science and technology understanding necessary to produce it locally, nor with the capacity to use it efficiently. Instead the nation must develop indigenous capabilities.26 Foreign technical assistance and collaboration was thought to be necessary to learn the skills essential for meeting ISRO goals.27 India’s satellite programs developed along an evolutionary path that allowed increasing native involvement. This strategy has permitted the growth of indigenous space capacity while minimizing the initial financial outlay. It should be emphasized that this process developed a capacity, as opposed to a mere technology. Possession of a capacity entails the ability to indigenously produce a technology and adjust that technology to suit local conditions, whereas simply acquiring a technology only supports use and replication. Effective use of technical assistance has permitted India to remain independent of foreign aid as it has built its space program. Beneficial societal applications stemmed from effective development of these capacities and provided a conduit for indigenous technology and knowledge development. India has even been able to provide these technologies and associated services in the form of foreign aid to other countries in the region, demonstrating their regional leadership. India’s experience suggests that, “foreign technological inputs in some 22 23 24 25 26 27

Kumar, V. (2007). Jain, A and Kharbanda, V.P. (2003). Jain, A and Kharbanda, V.P. (2003). Jain, A and Kharbanda, V.P. (2003). Akubue, A. (2002). Baskaran, A. (2001).

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form are indispensable to a developing country for building capabilities in complex systems such as space technology.”28 India’s ability to network with expatriates has also contributed to its success in space and other high-technology fields. Estimates indicate that greater than 20 million people of Indian descent, including first generation expatriates, currently live overseas.29 Foreign organizations and individual members of the diaspora have advocated investment in their homeland, acted as advisors to the Indian government, provided financial support for its engineering schools, and contributed to its investment capital.30 In response, GOI has created the Ministry of Overseas Indian Affairs to act as a networking agent for its diaspora. This agency sponsors programs such as the Collaborative Projects With Scientists & Technologists Of Indian Origin Abroad Program, which encourages expatriates to work with domestic institutions.31 The space community in India has been able to leverage knowledge and skills learned overseas though this successful use of networking. The Government of India has formalized many relationships between itself and the science and technology community, as evidenced by the Ministry of Overseas Indian Affairs. This tendency indicates an inclination towards a technocratic government. For example, the rather technocratic character of the government has enabled government sheltering of programs in high-technology industries such as space, biotechnology, energy, and information technology. The space program’s symbolic importance helped ensure political support during its formative years. Evidence exists that this political sheltering continues today; taking the form of a “tacit” alliance between India’s political leadership and its scientific elite.32 In others words close connections with policymakers, both formal and informal, support India’s space efforts. For example, a former President of India, A.P.J. Abdul Kalam, was the project manager in the development of the Satellite Launch Vehicle, and continues to publicly support India’s space efforts today. Furthermore, a number of former ISRO scientists or program officers are currently Members of the Indian Parliament. Indian policymakers have employed a long-term planning approach in several areas of science and technology policy including space, which has its own Five Year Plan.33 Employing this sort of multi-year policy and planning horizon lends further political, programmatic and, importantly, budgetary stability to India’s space efforts. India has made effective use of the available resource base to support its space program. India’s space budget for 2007–2008 is estimated at $884 million34 and grew over 60 percent in real terms between 1990 and 2000.35 Despite the growth 28 29 30 31 32 33 34 35

Baskaran, A. (2001). Non Resident Indians & Persons of Indian Origin Division, Ministry of External Affairs (2004). Non Resident Indians & Persons of Indian Origin Division, Ministry of External Affairs (2004). Ministry of Overseas Indian Affairs (2006). Krishna, V.V. (2001). Jain, A and Kharbanda, V.P. (2003). Jayaraman, K.S. (2007). Space Security Index (2007) “Briefing Notes 2007: Civil Space Programs and Global Utilities.”

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trend, total spending on space remains relatively small, at .03% GDP36 , and budget limitations have caused ISRO to develop cost-effective technologies and techniques. “According to top ISRO officials, costs of building satellites and launch services are lower by 20 to 30 percent in India,”37 and “in terms of output per unit expenditure the Indian space program compares favorably with the space programs of other nations.”38 India’s space program is characterized by a strong emphasis on providing tangible benefits and societal services. Specific programs, such as HealthSat, EDUSAT, and the Drinking Water Technology Mission, discussed earlier in this chapter, highlight this emphasis. These programs demonstrate ISRO’s focus on developing and leveraging space applications in order to provide societal services and address development challenges. A particularly illustrative example of this programmatic focus is ISRO’s Village Resources Center (VRC) program, through which space-based services are provided “directly to the rural population.”39 The VRC program, established in 2004 and operated by ISRO in conjunction with 40 other government agencies, trusts, institutes, and NGOs, provides satellite connectivity, services, and data directly to community users.40 The services provided include agricultural and weather advisories, educational programs, and healthcare information. The VRC program features a large degree of linkages with other sectors of society; a characteristic that is also found in many of India’s other space application programs. For example, the EDUSAT program is a collaborative project of ISRO and the Ministry of Human Resource Development and features participation by the Indira Gandhi National Open University, the All India Council for Technical Education, the Indian Council of Agricultural Research, the National Council of Educational Research and Training, and the University Grants Commission.41 ISRO also emphasizes the development of close ties with educational institutions. For example, on September 14, 2007 the Indian Institute of Space Science and Technology was inaugurated, with the aim of providing a “high quality education in space science and technology to meet the demands of Indian Space Programme.”42 India is also the location of a United Nations affiliated Regional Center for Space Science and Technical Education. Furthermore, ISRO facilities are often co-located with other centers of science and technology expertise. This high degree of linkages contributes to India’s ability to modify and apply space technology to local conditions and challenges. India’s space infrastructure is geographically distributed; as ISRO’s offices, research centers, and launch and manufacturing facilities are spread throughout the country, see Fig. 2. The distribution of space infrastructure and facilities 36 37 38 39 40 41 42

National Network of Education (2008). ZEENews (unknown). Mistry, D. (1998). ISRO (2007) Annual Report 2006–2007. ISRO (2007) Annual Report 2006–2007. Warrier, B.S. (2006). ISRO (2007) “Indian Institute of Space Since and Technology (IIST) Inaugurated.”

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Fig. 2 Map of India’s space infrastructure Source: ISRO

contributes to India’s broad-based economic and human capital development and helps to develop a political constituency for the program throughout the country. This constituency is important in helping to ensure continued support for the program a parliamentary system of government. The elements of India’s successful space endeavors, as described in the preceding narrative, are listed in Table 1, below.

The Indian Model The preceding review illustrated several important concepts and events that guided and supported India’s development as a space-faring nation as well as the creation of national institutions that leverage success in space for societal development. These elements include policy decisions, natural factors of production, and cultural characteristics that are woven into India’s identity. Some of the identified elements are

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Pride/prestige Regional leadership National security Allies and threats

Investment in infrastructure development Cultural value of education Legacy of colonialism (emphasis on independence) Effective use of foreign aid

Need for resource management

Technology and knowledge development Requirement for broad infrastructure Networking with expatriates

Connections with policymakers Long-term planning Resource base to support program Emphasis on tangible benefits and societal services Linkages with other sectors Distribution of space infrastructure

Sheltering of programs

considered traditional rationales for, or products of, a national space program and have been discussed at length by other authors; for example national security or investment in a communications infrastructure. Other elements are more exclusive and not often associated with national space programs; for instance India’s legacy of colonialism, a period which cultivated a national aspiration for independence and autonomous capabilities. However, each element in its own way helped plot the course or fuel the engine of the Indian space program. Separately, these identified elements provide a glimpse at important features of the Indian space program and India’s national policy of development through technical investment. However, as individual data points these elements of the Indian experience provide limited insight into the process of adopting a national space program similar to India’s. They provide neither map nor model for nations attempting to leverage a space program in order to escape the factor driven stage of development. In order to transform this list into an applicable tool for policy decisions, it is necessary to develop the listing of elements into a logical structure that provides interconnections and allows a nation’s leaders to isolate the most effective elements in a given scenario. We begin this process with an initial sorting that results in several commonalities. Unsurprisingly, the elements of India’s experience are tied to themes within the nation’s culture, government, or economic institutions. Figure 3 below provides a simple mapping of these elements to the broad categories of Culture, Government, and Economics. Not every element can be neatly placed into one of these categories; for instance “networking with expatriates,” which requires cultural connections and government advocacy. Associating the elements of the Indian experience with broad themes emphasizes connections and helps to illustrate a natural framework for a functional model. When identifying these elements, a wide net was cast to capture significant factors that contributed to the current state of India’s space program. However, the factors were not equally applicable to the development of India as a space-faring nation. Some elements provide a direct driver or rationale for a space program to exist. These elements, referred to as “reasons,” contributed to India’s choice to invest in space and the creation of a national program. Specific reasons include national pride

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Fig. 3 Thematic map of the elements of the Indian experience

or a cultural value of education; both of which helped to cultivate the environment necessary for India’s space program to thrive. Other elements provide a method through which the program continues to exist. These “methods” include inputs used in the day-to-day operation of the space program and the resulting outputs of India’s space activity that create broader socioeconomic value. For instance, space operations require a significant investment in infrastructure, an input, and can result in communications and remote sensing satellites, which provide tangible benefits to society. Of course, one of the ultimate goals of a tangible model for national development through investment in space is the ability to transfer successful behaviors, programs, and institutions to other nations. This requirement for mobility provides a second method of differentiating between elements. Some of the elements are an intrinsic property of the nation and its people or institutions, while others are extrinsic. Intrinsic elements are closely tied to national identity, may have evolved organically, and may be restricted to a certain geographical region; consequently they cannot be easily moved or adopted. Examples include India’s emphasis on independence and autonomous capabilities or natural resources like minerals or fossil fuel. On the other hand, extrinsic elements tend to be mobile and can readily adopted, (or eliminated) by another nation. National policies, such as programs to effectively use of foreign aid or an emphasis on regional leadership, are ideal examples of extrinsic elements that can be adopted with a policy shift and behavioral changes.

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Although these elements may be easy to transfer, doing so is not costless. For example the cost of pursuing a policy of regional leadership could be very high for a developing nation (note that this cost is not solely economic and can include political, social, or cultural costs). It is necessary to fully consider these costs before recommending the adoption of an extrinsic element. However, unlike an intrinsic element, such as a coal field that either exists within a national border or does not, the choice to transfer extrinsic elements can be made. This discussion highlights a potential method for designing a functional tool around the elements of India’s experience. When the elements are mapped to a 2 × 2 matrix—intrinsic/extrinsic coupled with reason/method—the result is an interesting and flexible tool based on concepts that can apply to multiple countries. This is shown Fig. 4, below. The boxes in Fig. 4 provide the basis for a simple decisional tree for comparing successful elements in the Indian experience to the needs, requirements, and preexisting conditions in a potential adoptee. For example, countries interested in accelerating development through space and that already have several of the elements in Quadrant 1, the intrinsic/reason box, could benefit from adopting a similar strategy to India’s – building internal capacities and focusing on societal services. In this scenario, if a country already places a high value on education and independence, then these intrinsic drivers could nurture a proven model for a national space program: India’s. However, if these drivers are not emphasized in the interested country, then an alternative role model, for instance China or South Korea, might be preferable.

Intrinsic

Extrinsic Need for resource management Pride/prestige Technology development Regional leadership

Reason

Cultural value of education Emphasis on independence Allies and threats National security concerns Military driver in launch vehicles

Method

Networking with expatriates Resources to support program Requirement for broad infrastructure

1

3

Fig. 4 A model for the Indian experience

2 Emphasis on tangible benefits/soceital services Connections with policymakers Sheltering programs Long term planning Linkages with other sectors Effective use of foreign aid Investment in/spread of infrastructure

4

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Quadrant 3, the intrinsic/method box, is particularly interesting because it contains some of the important elements of India’s institutional structure that are necessary for ongoing success, but cannot be easily imported. If the scenario country possesses these elements as well as some elements in Quadrant 1, then not only is India’s strategy toward space a good match, but the country could also benefit from the organizational example of ISRO/DOS. By directly adopting some of India’s institutional structure, for instance the diffuse hierarchy between ISRO, DOS, and Antrix or its distributed infrastructure, the scenario country could shortcut the establishment of national space institutions. In general, the countries that share elements in both Quadrants 1 and 3 have the most potential to benefit from the Indian experience. The extrinsic column identifies all the elements of India’s success in development via space that could be easily imported. Quadrant 4, the extrinsic/method box, captures many of the elements that enabled the continued success of ISRO’s programs. By adopting these elements, a country with a similar space institution could increase the effectiveness and enhance the societal benefit derived from its space programs. However, if the adopting space institution significantly differs from the ISRO/DOS model, especially with respect to targeting societal benefits, then these elements are less likely to benefit the nation and they could hinder the current operations of the space program. Quadrant 2, the extrinsic/reason box, is also particularly interesting since it contains drivers or rationales for an Indian style space program that can be easily imported. By adopting these elements a county can attempt to build political will and a national desire for a space program. Consequently, after integrating these elements with society, the scenario country can directly benefit from the Indian experience even if the country did not originally have sufficient drivers in Quadrant 1. Quadrant 2 provides a potential secondary path for a government that wishes to pursue a strategy of societal development via a space program but currently cannot justify the investment. Through the application of this tool a developing country’s current needs and capabilities can be compared to the elements that led to a successful national space program in India. Furthermore, the tool can help suggest a course of action, as in the case of the country that lacks elements in Quadrant 1 but that can either adopt elements in Quadrant 2 or pursue a different strategy. The tool appears to be flexible since additional elements can be included or the mapping of elements changed without damaging the functionality of the tool. However, case studies are necessary to test the applicability and usefulness of the model shown in Fig. 4.

Case Studies Developing countries vary considerably in their capabilities, motivations, and levels of investment in space. Given the range and diversity of these countries, it is difficult to devise a standard way of classifying or grouping them. Figure 5, below, shows

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Fig. 5 Selected developing countries with space activities

selected developing countries across the globe with some investment in space. It is a representative, not a complete, listing. Each of the countries in Fig. 1 possesses a different level of scientific and technological expertise and capability. Due to these differences, it is difficult to analyze these countries as a group; for example, Chinese capabilities in space cannot be discussed in the same way as Nigeria’s. A Scientific and Technological Capacity Index, developed by researchers at the RAND Corporation, has been employed to facilitate the discussion of different countries. Potential case studies were filtered via the RAND Scientific and Technological Capacity Index to identify countries with comparable science and technology capacity to India. In addition, potential countries for the case studies had to have significant development challenges and be open to pursuing a space program to address some of these challenges. This selection methodology has biased the pool of potential countries for case studies to those that bear a number of similarities to India. The countries ultimately selected were South Africa and Kazakhstan.

South Africa Case Study Approach to Space Government interest in space in South Africa is currently undergoing a revitalization. As of December 2007, both the South African Parliament and the Cabinet have approved the creation of a South African Space Agency and efforts are currently under way to draft a national space policy. Also, South Africa was due to launch its first national, government-owned satellite, the indigenously built SumbandilaSat, which carries both Earth observation and communications payloads, in 2007, but the launch is currently delayed indefinitely due to interface difficulties with the chosen Russian launch vehicle.43 In light of these developments, a South African space

43

Campbell, K. (2008). “SA Ponders Satellite Launch Options.”

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official has noted that, “South Africa has identified space as an essential tool with which to tackle national priorities of meeting basic needs and improving resource management, as well as retaining and improving our scientific and technological expertise.”44 South Africa is actively endeavoring to engage space as a tool in addressing the country’s development challenges, which include poverty, healthcare services and poor infrastructure. The South African Government faces considerable difficulties in providing adequate services to its urban population—representing 55% of the total population of the country—since infrastructure in many South African cities is particularly underdeveloped.45 Telecommunications infrastructure is also a particular challenge. Satellites are seen by some South African officials as essential to providing telecommunications services to South Africa’s people, especially those that live in rural areas.46 In addition to infrastructure, South Africa is challenged by responsible management and use of natural resources. Balancing the use of natural resources for consumption and economic growth against the need for environmental protection is an administrative difficulty. These challenges could be addressed through technology and infrastructure to provide information for the management of resources.47 South Africa faces a number of challenges to developing its scientific and technical capacity. The country suffers from a brain drain; there is a net outflow of skilled personnel from the country.48 The existent scientific workforce is also aging. Both of these trends point to a “serious challenge to the future human capital base of the country.”49 South Africa also faces a very specific and unique challenge in the legacy that apartheid has left upon the country’s science and technology system. The apartheid regime resulted in South Africa becoming geopolitically isolated, including from the international scientific community.50 It also resulted in large degrees of inequalities within the higher educational system.51 As a result of these effects, the “levels of collaboration across scientific fields and institutional boundaries in South Africa” were very low during and immediately after the apartheid regime.52 Although efforts are being made to overcome these challenges, “the legacy of an isolationist culture is still very prevalent in the South African science system.”53 Given the context of these challenges, space is seen by the South African Government as a vehicle to, among other things, support and coordinate industry and educational

44 45 46 47 48 49 50 51 52 53

Martinez, P. (2006). Ramusi, M. (2006). Ramusi, M. (2005). Government of South Africa. (Unkown). Mouton, J. (2003). Mouton, J. (2003). Mouton, J. (2003). Mouton, J. (2003). Mouton, J. (2003). Mouton, J. (2003).

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sector expertise, support sustainable development and resource management, and contribute to the development of a knowledge society.54 Existing Space Assets and Capabilities South Africa has existing competence in the development of space systems and the use of space-derived data. A notable degree of small-satellite manufacturing capability exists in centers of expertise in South African industry and education. The engineering department at South Africa’s Stellenbosch University built and operated a small satellite—SunSat—as a research project in the late 1990s. Using the expertise developed in this project, a number of the engineers established a small satellite manufacturing company, SunSpace Limited, which sells small satellites internationally and to the South African government. The combined expertise at Stellenbosch and SunSpace provides South Africa with limited capacity to manufacture satellites domestically. This capacity focuses on small, moderately capable satellites for primarily Earth observation and science applications.55 South Africa also has a history of government activity in space. During the 1980s, under the apartheid regime, South Africa embarked on the development of a governmental space program focused on military applications, including launch vehicles and reconnaissance satellites. South Africa also has a long history of using spacederived data and services. As result of this prior involvement in space activities, South Africa has a number of government centers focused on space applications and data usage. In addition, South Africa possesses a number of ground stations for receiving satellite data. However, South Africa’s previous government space program was terminated with the end of the apartheid regime due to a perceived failure of that program to align with the nation’s needs.56 The current revitalization of interest in space in South Africa is colored by the country’s capabilities, challenges and history. South Africa is currently working to develop the programmatic and policy context for its space efforts. In doing so it seeks to leverage its existing and future space capabilities in order to address the significant development challenges present in South Africa and at the same time take the program in a different direction than the previous abortive South African government space effort. There are a number of similarities between South Africa and India. Both countries have similar levels of science and technology capacity—as evidenced by the RAND Index—and face similar development challenges. Given these parallels, and South Africa’s renewed interest in space activities, India’s experience in space presents a potential path forward for South Africa to meet its national needs through a space program.

54

Mouton, J. (2003). Sunspace Ltd. (2007). 56 Ramusi, M. (2005). 55

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Applying the Indian Model to the South African Context Figure 6, below, suggests which elements of the Indian experience might be relevant to South Africa as it attempts to develop an institutional and policy context for its space activities. Certain elements of India’s space endeavor are already present in South Africa; these are highlighted in bold in Fig. 6. However, there are many elements that might potentially be adopted by or applied to space efforts currently underway in South Africa; these are shown in italicized text in Fig. 6. A discussion of some of these elements follows. Intrinsic

Extrinsic Need for resource management Pride/prestige Technology development Regional leadership

Reason

Cultural value of education Emphasis on independence Allies and threats National security concerns Military driver in launch vehicles

Method

Networking with expatriates Resources to support program Requirement for broad infrastructure

1

3

2 Emphasis on tangible benefits/soceital services Connections with policymakers Sheltering programs Long term planning Linkages with other sectors Effective use of foreign aid Investment in/spread of infrastructure

4

Fig. 6 The Indian model applied to the South African context KEY: Bold: existing elements Italics: potential element to adopt

Pre-existing Elements Of the elements identified as intrinsic factors, South Africa has two in common with India, and has the potential for a third. South Africa shares India’s legacy as a former colonial domain of the British Empire. This, in conjunction with the isolationist effects of apartheid, has left South Africa with an emphasis on independence similar to that found in India. This emphasis might contribute to the development of a strong indigenous space program in South Africa. However, there is less evidence of an explicit policy focus being placed on independence in South Africa than there has been in Indian history. South Africa also shares with India a societal requirement for broad infrastructure in support of its development. The Indian experience shows how space technology can be applied in developing a broad physical infrastructure base. Space is also envisioned in South Africa as a vector for improving its institutional infrastructure.

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In addition, South African actors are endeavoring to develop more effective networking with ex-patriots, in response both to the brain drain problem and to the legacy of apartheid. For example, one such actor, the South African Network of Skills Abroad, “has created a database that matches skill shortages in South Africa with the overseas locations of concentrations of expatriates who have those skills.”57 South African policymakers might seek to leverage some of this expertise abroad as they look to develop their capacity for space activities. However, it is worth noting that South Africa lacks both the resource base and the cultural value placed on education that were present in India during the formative days of its space program and continue today. The lack of these intrinsic factors may inhibit the development of a space program based on the Indian experience. Moreover, South Africa has discarded a previous space effort, which was based upon three of the elements identified as intrinsic, reasons in Quadrant 1 of Fig. 6 (allies and threats, national security concerns, and military drivers in launch vehicle development). This is evidence that South Africa has discounted military and national security drivers as elements of its space program. India’s experience is highly relevant to the South African context with respect to extrinsic factors that are reasons for a space program (Quadrant 2 in Fig. 6). Both national pride and the need for resource management are clear motivators for the South African Government’s renewed interest in space. South Africa is cognizant of the space efforts of other African nations, particularly Algeria and Nigeria, and does not wish to be left behind.58 The government also views space as a vehicle for international engagement.59 In this regard, a space program potentially offers one path to continue the process of removing the isolationist legacy that apartheid left on South Africa’s science and technology systems. As South Africa builds its space sector, it hopes to engage space as a vector for technological development that paves the way to its regional leadership. South African policymakers have noted the power of space to enable “innovation and achievement in industrial and technological endeavors.”60 South Africa hopes to take the lead in one such space-based endeavor, the proposed African Resources Management Constellation of satellites. Under this plan, a group of African nations would develop and operate a constellation of Earth observation satellites for disaster and resource monitoring purposes. South Africa aims to leverage its satellite manufacturing capacity to lead the development of this constellation. Moreover, by developing its satellite manufacturing capacity, South Africa engages space as a vector for technological development.61

57

Devan, J. and Tewari, P.S. (unknown). Campbell, K. (2005). “Last in Space.” 59 Martinez, P. (2006). 60 Martinez, P. (2006). 61 Martinez, P. (2006). 58

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Potential Elements to Adopt A number of those elements of India’s experience that are extrinsic, those found in Quadrant 4 of Fig. 6, offer potential benefit if adapted to the South African context. Most obvious among these is India’s focus on societal benefits and applications. Many of the same space applications that India has developed to address its societal challenges could be used in South Africa. One such example is in the area of telecommunications. It has been noted that connectivity is a significant challenge faced by South Africa. Accordingly, those drafting South Africa’s space policy have recommended that the country decide whether it needs a national communications satellite. It is suggested that, “lessons from countries like India, how they dealt with that issue during the conception phase of their interest in satellite communications would be instructive.”62 One such lesson is India’s evolutionary use of foreign technical assistance in developing their capacity. Although South Africa already has some capacity in satellite technology, particularly in Earth observations, if policymakers choose to develop a national telecommunications satellite(s), foreign aid would likely be required. Given the launch difficulties currently being experienced by SumbandilaSat, South African officials are also actively considering the question of whether the county should develop its own launch vehicles.63 India’s experience in launcher development might prove an illustrative example. The question of linkages between the space program and other sectors of society is particularly interesting in the South African context. To a certain degree, some such linkages already exist, especially between the education and space industry sectors, as evidenced by the relationship between SunSpace and Stellenbosch University. However, it is likely that South African space efforts, along with general science and technology programs, would benefit from active polices to develop further cross-sectoral linkages. Developing the types of linkages seen in India’s space applications programs, for instance EDUSAT or the VRC program, could contribute significantly to overcoming the effects of apartheid. Such linkages would also help support South Africa’s efforts to develop its institutional infrastructure; in particular in overcoming isolation and inequalities within higher education. In the Indian context, such linkages have also been shown to be instrumental in adapting space technology to local conditions and development challenges.

Kazakhstan Case Study Approach to Space When the Soviet Union collapsed, Kazakhstan, Russia, and Ukraine inherited the existing space infrastructure. Russia and Ukraine contained the rocket building, satellite manufacturing, cosmonaut training, and research organizations, while

62 63

Z-Coms Consortium (2006). Campbell, K. (2008).

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Kazakhstan had the launch facility, Baikonur Cosmodrome. The Government of Kazakhstan (GOK) is now in the process of determining how best to use Baikonur to maximize its value in aiding the country’s development. Kazakhstan has recognized that it needs to move away from dependence on natural resource extraction as its economic base and diversify its economy for sustainable development. The Government of Kazakhstan hopes to competitively engage with the global information economy by following a scientific and technological development path to move from a factor driven economy to an investment driven economy. While Kazakhstan has a population that is very well educated, with a literacy rate of more than 98%,64 the country suffers from brain drain. Improving its science and technology base will allow Kazakhstan to better support both its physical and institutional infrastructure and make itself a competitive nation. Possession of the Cosmodrome was the first step in developing a space program in Kazakhstan, however the country still requires government policies and organizational institutions to oversee the planning and implementation of its space program. The first policy statement discussing the use of space to meet Kazakhstan’s goal was the Innovative Industrial Development Strategy of the Republic of Kazakhstan for 2003–2015.65 This document highlighted space technology as a promising means to help overhaul the country’s economy due to the industry’s pre-existing infrastructure. The document Development of the Space Industry Program in Kazakhstan for 2005–2007 applies the goals of the 2003–2015 industrial policy specifically to the space program. This document outlines a program with a budget of approximately $358 million. The program emphasizes promoting Kazakhstan’s independent access to space and increasing its capacity-building in space activities.66 KazCosmos, Kazakhstan’s space management organization has been charged with implementing the Space Industry Program. Existing Space Assets and Capabilities An agreement between Russia and Kazakhstan for the lease of Baikonur was reached in 1994, which stipulated that Russia would pay Kazakhstan $115 million per year in rent for twenty years.67 Despite the rental contract, a number of incidents have caused tension between the two neighbors. Kazakhstan is especially concerned about the impact on its population and environment from Russian launches. Even during successful launches, rocket segments fall back to Earth, causing pollution and damage. When a launch fails, debris and poisonous rocket fuel from the spacecraft can enter the ecosystem and affect the local population. Despite these risks, in 2004 64

Central Intelligence Agency (2007). Government of Kazakhstan. (2003). Innovative Industrial Development Strategy of the Republic of Kazakhstan for 2003–2015. 66 Government of Kazakhstan. (2003). Innovative Industrial Development Strategy of the Republic of Kazakhstan for 2003–2015. 67 “Federation Council ratified agreement on Baikonur lease extension until 2050.” (Unknown). 65

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both sides agreed to extend the lease until 2050.68 This version of the lease allowed Kazakhstan to more effectively utilize the Cosmodrome, providing a significant element for an independent national space program. Kazakhstan’s present space capabilities consist of its first communications satellite, KazSat-1, which was launched on June 18, 2006, and associated ground stations to track and receive data. A second communications satellite, KazSat-2, has been contracted to Khrunichev State Research and Production Space Center of Russia, the same company that built KazSat-1. GOK is planning a cluster of three permanent communications satellites, starting with KazSat-1 and KazSat-2, which will allow continuous coverage and provide services to nearby countries on a commercial basis.69 In addition to the KazSat communications cluster, a series of Earth observation and research satellites is planned. Currently, two low Earth orbit optical remote sensing satellites with additional scientific payloads are being considered.70 These satellites would be Kazakhstan’s first Earth observation satellites; however, the Space Research Institute, established in 1991, has been using satellite data bought from foreign sources to study the environment, gather information about its national territory, and manage natural resources. Additionally, Kazakhstan has joined Russia’s Global Navigation Satellite System.71 Kazakhstan and Russia are also working together in the development of future launch facilities and vehicles, preparing experiment modules for the International Space Station, and training a small Kazakhstani cosmonaut corps. These developments will provide technical skills that can be applied to Kazakhstan’s development challenges and will enhance its international prestige and competitiveness. Applying the Indian Model to the Kazakhstani Context Although Kazakhstan ranked lower on the RAND Scientific and Technological Capacity Index with respect to India, the two countries have much in common. Elements of India’s space endeavor that are already present in Kazakhstan are highlighted in bold in Fig. 7, below. In addition, there are some elements that might potentially be adopted by or applied to space efforts currently underway in Kazakhstan; these are shown in italicized text in Figure 7. A discussion of these elements follows. Pre-existing Elements Kazakhstan shares many intrinsic elements, identified in Fig. 7, with India, indicating that it would likely benefit from India’s experience. Like India, Kazakhstan was 68

“Federation Council ratified agreement on Baikonur lease extension until 2050.” (Unknown). “Russian space company wins tender to build 2nd Kazakh satellite.” (2006). 70 KazCosmos (2007) “Projects and facilities: Creation of the national earth remote sensing system.” 71 “Kazakhstan To Have 7 Satellites 2 Years From Now – Premier.” (2006). 69

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Intrinsic

Extrinsic Need for resource management Pride/prestige Technology development Regional leadership

Reason

Cultural value of education Emphasis on independence Allies and threats National security concerns Military driver in launch vehicles

Method

Networking with expatriates Resources to support program Requirement for broad infrastructure

1

3

2 Emphasis on tangible benefits/soceital services Connections with policymakers Sheltering programs Long term planning Linkages with other sectors Effective use of foreign aid Investment in/spread of infrastructure

4

Fig. 7 The Indian model applied to the Kazakhstani context KEY: Bold: existing elements Italics: potential element to adopt

for a long time ruled by outsiders. After 200 years of control by first the Russian Empire, then the Soviet Union, Kazakhstan has acquired an emphasis on independence. In the space realm, GOK has indicated that it would like to have its own launch and satellite capabilities to assure independent access to space and commercially market these services. In Kazakhstan’s case, national pride and international prestige are connected with the prospects of attaining regional leadership within Central Asia. Kazakhstan has an abundance of natural resources and a stable economy. These assets, in conjunction with its geographic position between Russia, China, Europe, and India, have allowed it to develop a robust foreign policy that includes relationships with all of these economic powerhouses. These relationships allow Kazakhstan to benefit from competition over its national resources. Through its space program, Kazakhstan aims to improve its political and scientific-technical image, making it even more attractive to investors and increasing its global competitiveness. Additionally, having independent access to space and its own cosmonaut corps provides valuable political capital that increases the nation’s standing within Central Asia and throughout the world. Kazakhstan is a geographically large country with a very low population density.72 It therefore requires a broad infrastructure to serve its distributed population.

72

Central Intelligence Agency (2007).

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Using geostationary communications satellites, the government aims to provide its citizens with access to mass media, distance education, and telemedicine.73 Abundant natural resources including petroleum, natural gas, coal, metals, agriculture, and minerals,74 provide Kazakhstan’s space program with finical support and raw materials. KazCosmos is using space-based applications for monitoring and improving natural resource distribution networks and environmental management. Some examples of such projects are: the Locust Management and Monitoring Project;75 the Fire Space Monitoring System;76 and the Flood Monitoring Information System.77 In addition to these projects, remotely sensed data will also be used to predict earthquakes, prospect for minerals, oil, and natural gas, and study weather and climate.78 Through programs such as these, Kazakhstan is using space to provide tangible benefits and societal services. The Space Industry Program is the first of what will, based on Kazakhstan’s Soviet history of 5-year plans, be a tradition of long-term planning. A more extensive and detailed version, which will be effective until 2020, is expected soon. This long-term planning approach, in conjunction with stable funding, should provide for a sustainable national space program. Potential Elements to Adopt Of the elements of India’s experience that Kazakhstan could adopt, effective use of foreign aid has the greatest potential. The country’s most frequent and natural partner is Russia, which trains many Kazakhstani space specialists at its universities and institutes, collaborates on development of the Baiterek Launch Facility and Angara Rocket, and designs satellites such as KazSats 1 and 2. Ukraine is assisting Kazakhstan in the development of its ground stations, remote sensing satellite capabilities, and training of space professionals. Also, Ukraine, Russia, and companies from Great Britain, France, Italy, and Israel are assisting Kazakhstan in the creation of the Special Design-Technology Bureau for Space Equipment, which will encourage innovation and experimentation in the design, engineering, and efficient application of space technology.79 These partners, along with other countries such as India and Spain, are collaborating with Kazakhstan on space-based telecommunications technology projects, satellite positioning, fundamental and applied space research in the sphere of physics, space biotechnology and biomedicine, as well as

73

KazCosmos (2007) “Projects and facilities: Development of the national geostationary direct broadcasting and multimedia services satellite.” 74 Central Intelligence Agency (2007). 75 Canadian International Development Agency (2006). 76 Spivak, L.F., O.P. Arkhipkin, L.V. Shagarova, M.J. Batyrbaeva. (2003). 77 Spivak, L., O. Arkhipkin, V. Pankratov, I. Vitkovskaya, G. Sagatdinova. (2004). 78 KazCasmos (2007) “Projects and facilities: Creation of the national monitoring system.” 79 KazCasmos (2007) “Projects and facilities: Special technology-design bureau of the space equipment.”

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Earth remote sensing.80 Although Kazakhstan works with many foreign entities, it does not emphasize the incremental capacity-building used by India and, therefore, may not reap the benefits of indigenous capacity and independence to the maximum extent possible. Similar to effective use of foreign aid is linkages with other sectors. The Space Industry Program indicates that development of biotechnology, biomedicine, and material science has been fed by space-based research in the past, but, despite some foreign partnerships in these areas, establishes no mechanisms to encourage domestic interactions between these sectors and its space program in the future. Direct interaction between the space program and other sectors is only well defined in conjunction with education. In this area, specific programs are proposed to develop new talent through expansion of space-related university programs and creation of new departments and majors. The government recently announced that it would build two new international universities that will merge educational facilities with research centers in many domains of science and technology, including space.81 Clearly, the concept of creating linkages is there, but has not been envisioned to its greatest possible extent, at least not in the space sector. This analysis shows that Kazakhstan has many elements in common with India and, given the GOK’s current policies, others can be adopted. Although its current operational capacity is not well developed, the potential for a robust space program is there. Importation of extrinsic elements of the Indian experience would increase the benefits received from Kazakhstan’s space program and enhance its sustainability.

Conclusion This chapter focused on how India’s experience in leveraging a national investment in space for economic development and societal benefits might be applied to other developing countries. However, India’s space program continues to evolve and the ISRO described in this paper, a society-centric institution focused on the application of space assets to development challenges, my not be the ISRO of the future. Specifically, the Government of India and ISRO have begun to pursue a new dimension for India’s space program. As evidenced by the planned Chandrayaan-1 lunar mission and other space exploration activities, India is beginning to look outward in the continued evolution of the space program. These new exploration efforts may seem divergent from the objectives of India’s space program emphasized in this chapter. However, as noted by former President Abdul Kalam, exploration efforts could result in long term benefits to India’s people—presumably building on the direct benefits currently derived from ISRO satellites—in addition to the value of participation in international exploration

80 81

Government of Kazakhstan (2007) “Kazakhstan: A Space Odyssey.” Embassy of the Republic of Kazakhstan in the United States (2007).

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efforts.82 Additionally, the Government of India would like to foster a private satellite industry to satisfy the demand for some satellite applications, e.g. communication and remote sensing.83 The establishment of a sustainable private industry would represent the successful continuation of the Indian experience in employing space activities for national development. It remains to be seen how the objectives of future exploration endeavors and societal applications will develop and their interaction should be investigated further. Nonetheless, we believe the historic path of India’s development as a space-faring nation remains applicable to other nations with nascent space programs. The question remains of how best to apply this experience to the needs and requirements of an individual country. This chapter describes a model of the Indian experience built from key elements of India’s space program and their classification of intrinsic vs. extrinsic and reasons vs. methods. Examples of how to apply this model can be seen in the case studies. Comparing the relevance of the Indian experience to South Africa and Kazakhstan reveals an interesting similarity in the intrinsic elements identified in the Indian model. Moreover, there are enough similarities between the case study countries and India to suggest that the Indian model could be advantageous to either of these countries. By adopting some or all of the extrinsic elements, South Africa and Kazakhstan could improve the benefits to society derived from their investment in space. However, external drivers and current scientific capacity could affect the direction of national space programs in these countries, thereby altering the applicability of the India model. While the results of the case studies show some promise for the model we have outlined, it is not a perfect fit. In each case, there are key factors that helped guide the current development of space programs in South Africa and Kazakhstan that are not accounted for in our list of elements from the Indian experience. It is possible that these elements existed for India and were overlooked during the analysis, or they could be unique to the countries studied. In the former case, it would be fairly simple to modify the model by adding elements to make it more relevant to the adopting country. In the latter case, the entire model might need to be redesigned. Nonetheless the process of separating elements into intrinsic and extrinsic factors; rationales, and methods of operation seems to have merit and could provide a powerful tool for assessing any potential application of the Indian experience as a model. Further case studies, with a more clearly defined methodology are necessary to fully test the utility of our model or the strength of our analysis methodology. Acknowledgments The authors would like to thank their professors and colleagues at the Space Policy Institute of the George Washington University, in particular John Logsdon, Henry Hertzfeld, and Ray Williamson. The authors also would like to note the support provided by Nicolas Vonortas of the Center for International Science and Technology Policy at the George Washington University. The authors thank A.P.J Abdul Kalam, Virender Kumar and Jasvinder Khoral for advice and comments received during the preparation of this paper. The authors would also like to note

82 83

Abdul Kalam, A.P.J. (2007). Nair. (2008).

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that a previous version of this study was presented at the 58th Annual International Astronautical Congress in Hyderabad, India in September 2007.

Acronyms DOS GOK GOI GSLV IRS ISRO PSLV SPI VRC

Department of Space Government of Kazakhstan Government of India Geosynchronous Satellite Launch Vehicle Indian Remote Sensing Satellite System Indian Space Research Organization Polar Satellite Launch Vehicle Space Policy Institute of George Washington University Village Resources Center

References Abdul Kalam, A.P.J. (2007). “Personal Communication”, Boston University’s Symposium on the Future of Space Exploration, April 12. Akubue, A. (2002) “Technology Transfer: A Third World Perspective”, Journal of Technology Studies 1(28) Win-Spr 2002, pp. 14–21. Bagchi S. (2006) “Telemedicine in Rural India”, PLoS Medicine, 3(3), p. 297. Baskaran, A. (2001) “Competence Building in Complex Systems in the Developing Countries: the Case of Satellite Building in India,” Technovation, 21, pp. 109–110. Campbell, K. (2008) “SA Ponders Satellite Launch Options.” Engineering News, February 28, www.engineeringnews.co.za/article.php?a id=127993 (March 5, 2008). Campbell, K. (2005). “Last in Space.” Engineering News, May 13. Canadian International Development Agency (2006) “Averting the Plague of Locusts,” [CIDA web site], www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/STE-320162240-T8Q (January 12, 2006). Central Intelligence Agency (2007) World Fact Book, www.cia.gov/cia/publications/factbook/ geos/kz.html (May 1, 2007). Davis, K. Trebilcock, M.J. (1999) “What Role do Legal Intuitions Play in Development,” Draft Presentation for International Monetary Fund Conference on Second Generation Reforms, November 8–9, 1999. Devan, J. and Tewari, P.S. (unknown) “When the Best Brains Go Abroad.” IEEE Spectrum, www.spectrum.ieee.org/careers/careerstemplate.jsp?ArticleId=n100101 (May 1, 2007). Embassy of the Republic of Kazakhstan in the United States (2007) “President Says Kazakhstan Must Nurture Own ‘Nobel Laureates’ ”Kazakhstan News Bulletin, April 5. Federation Council ratified agreement on Baikonur lease extension until 2050. (Unknown) RIA Novosti [Press Release] www.globalsecurity.org/space/library/news/2005/050608-baikonur.htm (May 1, 2007). Government of Kazakhstan (2007) “Kazakhstan: A Space Odyssey,” December 16, www.spaceref. com/news/viewpr.html?pid=24305 (February 24, 2008). Government of Kazakhstan (2003) Innovative Industrial Development Strategy of the Republic of Kazakhstan for 2003–2015, www.embkazjp.org/Industrial Policy.doc (May 1, 2007). Government of South Africa (unkown) “Space Science and Technology in South Africa,” www.space.gov.za/pics/Space Science and Technology.pdf (May 1, 2007).

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ISRO (2007) Annual Report 2006–2007, Indian Space Research Organization, www.isro.org/ rep2007/Index.htm (May 1, 2007). ISRO (2007) “Indian Institute of Space Since and Technology (IIST) Inaugurated”, Indian Space Research Organization [Press Release], www.isro.gov.in/pressrelease/Sep14 2007.htm (February 21, 2008). ISRO (2007) “Indigenous Cryogenic Stage Successfully Qualified” [Press Release], www.isro.gov.in/pressrelease/Nov15 2007.htm (March 11, 2008). Jain, A. and Kharbanda, V.P. (2003) “Strengthening Science and Technology Capacities for Indigenisation of Technology: the Indian Experience,” International Journal of Services Technology and Management, (4)3, pp 234–254. Jayaraman, K.S. (2007) “Indian Space Budget Funds Astronaut Capsule”, SpaceNews.com, www.space.com/spacenews/archive07/isrobudget 0305.html (February 21, 2008). Kasturirangan, K. (2006) “India’s Space Enterprise: A Case Study in Strategic Thinking and Planning”, Narayanan Oration at the Australia South Asia Research Centre (ASARC) of the Australian National University (ANU), rspas.anu.edu.au/papers/narayanan/2006oration.pdf (May 1, 2007). Kazakhstan To Have 7 Satellites 2 Years From Now – Premier (2006) ITAR-TASS, November 14. KazCasmos (2007) “Projects and facilities: Creation of the national monitoring system.” [KazCasmos home page] www.kazcosmos.kz/index en.html (May 1, 2007). KazCosmos (2007) “Projects and facilities: Creation of the national earth remote sensing system.” [KazCosmos home page] www.kazcosmos.kz/index en.html (May 1, 2007). KazCosmos (2007) “Projects and facilities: Development of the national geostationary direct broadcasting and multimedia services satellite.” [KazCosmos home page] www.kazcosmos.kz/index en.html (May 1, 2007). KazCasmos (2007) “Projects and facilities: Special technology-design bureau of the space equipment.” [KazCasmos home page] www.kazcosmos.kz/index en.html] (March 1, 2007). Krishna, V.V. (2001) “Changing Policy Cultures, Phases and Trends in Science and Technology in India,” Science and Public Policy, 3 (28), pp. 179–194. Kumar, V. (2007), Personal Communication. Ministry of Overseas Indian Affairs. (2006) “Collaborative Project with Scientists & Technologists of Indian Origin Abroad (CP-STIO), Call for Proposals”, [MOIA] moia.gov.in/shared/linkimages/85.pdf (May 1, 2007). Martinez, P. (2006) “Statement By Dr. Peter Martinez Coordinator: National Working Group on Space Science and Technology of the Republic of South Africa.” 43rd Session of the Scientific and Technical Subcommittee of the United Nations Committee on the Peaceful Uses of Outer Space, Vienna, Austria, February 21. Mistry, D. (1998) “India’s Emerging Space Program”, Pacific Affairs (71)2, pp. 151–174. Mouton, J. (2003). “South African Science in Transition.” Science, Technology and Society, 8(2), pp. 235–260. National Network of Education (2008) “India Can Send Crew to Space in Seven Years – ISRO Chief”, Indo-Asia News Service, www.indiaedunews.net/Science/India can send crew to space in seven years - ISRO chief 3289/(March 11, 2008). Non Resident Indians & Persons of Indian Origin Division, Ministry of External Affairs (2004) “The Indian Diaspora,” Ministry of External Affairs website, indiandiaspora.nic.in/(May 1, 2007). Porter, M.E. (1990) The Competitive Advantage of Nations, New York, NY: The Free Press pp. 544–545. Ramusi, M. (2005) “South African Space Affairs,” Presentation at UN Space Law Workshop. Abuja, Nigeria, November 22. Ramusi, M. (2006). “Use of Space Technologies for Service Delivery in Municipalities.” 4th Annual Tshwane Business Week 2006, May 5. Russian space company wins tender to build 2nd Kazakh satellite. (2006) RIA Novosti, September 26 [Press Release] www.globalsecurity.org/space/library/news/2006/space-060926rianovosti01.htm (May 1, 2007).

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Rostow, W.W. (1960) “The Five Stages of Growth – A Summary” in The Stages of Economic Growth: A non-Communist Manifesto, Cambridge: Cambridge University Press, pp. 4–16, http://www.mtholyoke.edu/acad/intrel/ipe/rostow.htm (March 11, 2008). Sachs, J.D (2004) “Stages of Economic Development,” Speech at the Chinese Academy of Arts and Science, Beijing, www.earthinstitute.columbia.edu/about/director/documents/ china speech061904.pdf (May 1, 2007). Space Security Index (2007) “Briefing Notes 2007: Civil Space Programs and Global Utilities,” Spacesecurity.org www.spacesecurity.org/publications.htm (May 1, 2007). Space Security Index (2007) “Directory of Space Actors”, Spacesecurity.org, www.spacesecurity.org/files/DirectoryofSpaceActors.xls (May 1, 2007). Spivak, L., O. Arkhipkin, V. Pankratov, I. Vitkovskaya, G. Sagatdinova (2004) “Space Monitoring of Floods in Kazakhstan.” Mathematical Modeling of Ecological Systems, a special issue of Mathematics and Computers in Simulation (67) 4–5, pp. 365–370, December. Spivak, L.F., O.P. Arkhipkin, L.V. Shagarova, M.J. Batyrbaeva. (2003) “Fire Space Monitoring System in Kazakhstan,” in Proceedings of IEEE International Geoscience and Remote Sensing Symposium, Toulouse, France (IV), pp. 2499–2501, July 21–25. Sunspace Ltd. (2007) [Internet Homepage], www.sunspace.co.za (August 18, 2007). Thomas, V.A. and Goel, P.S. (2003) “Indian Space Program and National Development,” Proceedings of the 10th International Conference of Pacific Basin Societies, Tokyo Japan, p 18. Warrier, B.S. (2006) “The EDUSAT Factor”, The Hindu, online edition, www.hindu.com/edu/ 2006/04/18/stories/2006041800220200.htm (April 16, 2006). Z-Coms Consortium. (2006). Discussion Paper on National Space Policy Framework, prepared for the South African Department of Trade and Industry. ZEENews (unknown) “India Seeking to Position as Cost-Effective Hub in Satellites,” ZeeNews.com, www.zeenews.com/znnew/articles.asp?rep=2&aid=267990&sid=ENV&ssid=27 (May 1, 2007).

Space Based Societal Applications A. Bhaskaranarayana and P.K. Jain

Abstract Space technology has the vast potential for addressing a variety of socioeconomic problems of the developing countries, particularly in the areas of communication, rural development, disaster management, education and health sectors. Both remote sensing and communication technologies can be used to achieve this goal. With its primary emphasis on large scale application of space technology on an end to end basis towards national development, the Indian Space Program has distinguished itself as one of the most cost-effective and development oriented space programs in the world. Satcom technology offers the unique capability of simultaneously reaching out to very large numbers spread over large distances even in the most remote corners of the country. It is a very strong tool to support development education. India was amongst the first few countries to explore the use of satellite communication for carrying Education and Development oriented information and services to the rural masses. The applications started with Satellite TV Broadcasting to schools and rural communities in the mid seventies. With the growth of telephone networks, the broadcasting networks were adopted for one way video two way audio (return audio on phone) networks for Training. The further development in VSAT technologies led to applications like telemedicine, tele-education and Village Resources Centers (VRCs). VRCs are envisaged as single window delivery mechanism for village community providing a variety of space based products and services, such as tele-education; tele-medicine; information on natural resources for planning and development at local level; interactive advisories on agriculture, fisheries, land and water resources management, livestock management, etc; interactive vocational training towards alternative livelihood; e-governance; weather information; etc. This chapter describes potential of satcom technologies for societal applications like tele-education, tele-medicine, disaster management, and Village Resources

A. Bhaskaranarayana ISRO Headquarters, Bangalore-India e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 19,

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Centers, and initiatives taken by Indian Space Research Organization (ISRO) in implementing these applications in India.

Keywords Tele-education · Edusat · Tele-medicine · Village resources centres · Disaster management support · Search & Rescue · Disaster warning dissemination · Developmental education

Introduction The applications of space technology are unique in addressing the developmental needs of the society, and more so in case of developing countries. Realizing the vast potential of space technology for addressing a variety of socio-economic problems of the nation, particularly in the areas of communication, education, disaster management and weather forecasting, ISRO has focused its attention on developing a vibrant societal application-oriented space program on a totally self-reliant basis. There are over 600,000 villages in India covering about 70% of the population of the country. Many of these villages are deprived of basic amenities and services, especially in the areas of education, healthcare, sanitation and empowerment. Poverty is a major issue in developing countries like India. To resolve the intricacies of social backwardness, the core issues of abject destitution must be addressed with developmental perspectives to achieve more equitable access to the public good services. While certain benefits of space technology applications, such as environmental protection and meteorological services, have wide acceptance at community level; it can also provide stimulus in wealth generation, including peoples’ participation. A real challenge is the extension of these benefits to the poor and marginalized, who do not possess the means of exploiting space technology. Besides, India still suffers with divides in the society, rural versus urban, rich versus poor and literate versus illiterates. Hence to bridge these divides, there is a need to devise a well-knit programme and policies, where the suitable technologies can be deployed appropriately for improving the quality of life for the needy sections of the society. The revolution of Information & Communication Technologies (ICTs) has been setting the era of globalization, especially the knowledge economy. There is great optimism over the potential for information and communication technologies to promote economic development and alleviate poverty. Recent advances in ICTs can bring the benefits to even the poorest of the poor in the developing world. The challenge is to harness the potential of ICT to promote the development goals like the eradication of extreme poverty and hunger, achievement of universal primary education, promotion of gender equality and empowerment of women, reduction of child mortality, improvement of maternal health, to combat HIV/AIDS, malaria and other diseases, ensuring environmental sustainability, etc. Space technology-due to its inherent advantage of having access to remote, rural and inaccessible areas- coupled with ICTs can be an effective mean to address

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several problems encountered by developing countries today in providing basic facilities like health, education, employment and so on to rural population. This paper describes the societal applications of space, information and communication technologies undertaken by ISRO in India with emphasis on resolving the core issues of backwardness through knowledge empowerment, and also reaching the necessary services to the people at grassroots at their doorstep.

Societal Divides: Bridging the Gap Through Technology Over the past two decades or so, India has moved into the premier league of world economic growth that has reflected in its growing Gross Domestic Product (GDP) index. However, the pick-up in growth has not translated into a commensurate decline in rural poverty, inequality or illiteracy. Apart from the GDP growth rate, there are also other related equally important issues such as basic human development and environmental sustainability that encompass education, healthcare, freedom, human rights, environment protection, natural resources management and disaster reduction. These aspects also do drive the economic growth and prosperity of the country considerably. The digital divide, which is phenomenal between the developed and developing countries, is grimmer within India. Digital isolation of the rural areas is leading to further divides and backwardness in the societies therein. The socio-economic gap between the rural and urban India is another major problem since its independence. Historically, education has been the core issue for development in India. Although the country has made remarkable progress in last one decade to improve the education scenario, there are still 356 million illiterates (Bhaskaranarayana et al. 2007a). The disparity in education scenario is widespread within the country with sharp rural-urban divides. Notwithstanding India’s programmes since independence for improving the health of its people, which has made certain perceptible difference; the same is dwarfed by the level of progress made in the other developing countries. In India, life expectancy has gone up from 36 years in 1951 to 62 years in 1995, and to 63.1 years in 2000–2005. Infant mortality rate has been reduced from 146 (per 1,000 live births) to 71 in 1997, and to 58 in 2004 (Bhaskaranarayana et al. 2007a). However, when the comparison is drawn on rural versus urban areas, the infant mortality rate was as high as 63 in rural areas as compared to 40 in urban areas. The availability of beds in Government Hospitals (CHCs and other) was around 120, 000 (for nearly 72 % of total population residing in rural India), as against 197, 000 in urban areas. There is imminent need to improve the healthcare system in the rural areas (Bhaskaranarayana et al. 2007a). India is also one of the largest telecommunication markets in the world and is expected to achieve the distinction of having second largest number of mobile subscribers by second half of 2008. It has 290 million telephony subscribers with about 96 millions getting added every year. About 3.47 million broadband connections are

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providing access to internet to the tune of 70 millions. However, the divide between rural and urban parts of the country is evident from the abysmally low tele-density in rural India. While the overall tele-density is over 25.3%, the rural tele-density is just about 8.68% compared to the urban tele-density of 62.9%. In conclusion, in spite of significant growth in the area of telecommunication in the recent past, the spread of the terrestrial technologies is not uniformly distributed, but concentrated in and around the urban regions leading to digital divide between rural and urban in addition to health, wealth and economic divides. The above discussions and the statistics suggest that the administrative mechanisms, put in place at different times through the past have yielded some results; but they are certainly not adequate to keep pace with the desired growth rate. Hence, there is a strong need for augmenting our efforts with appropriate technological means such as space technology, which together can catalyze and lead us towards the required outcome. Several efforts have been made in this direction. The use of community radio in rural areas, screening of socially relevant short films during the village festivals, deployment of televisions at community centers and many such measures have brought transformation in the villages of India in a subtle way. ISRO, through the SITE (Satellite Interactive Television Experiment) programme, was involved in providing awareness on a variety of subjects in the villages across the country by deploying satellite television during 1970s. ISRO has continued such efforts for further catalyzing the transformation of rural India transcending the digital divide, and providing the ICT based facilities through the modern satellite technology.

Indian Space-Infrastructure India has been among the world leaders in developing end-to-end infrastructure and capability in areas of both communication and remote sensing satellites technologies. ISRO has made remarkable progress in building state-of-the-art space infrastructure such as the Indian National Satellites System (INSAT) for communication and the Indian Remote Sensing (IRS) satellites for earth-observation. These satellites have been providing vital services, such as telecommunication, television broadcasting, meteorological observations, disaster management, environment monitoring, natural resources management and infrastructure development. India, as of now, has one of the largest domestic communication satellite systems with a total of 211 communication transponders on eleven satellites INSAT2E, INSAT-3A, 3B, 3C, 3E, GSAT-2, Edusat (GSAT-3), INSAT-4A, 4B, 4C-R and Kalpana providing a variety of communication and meteorological services to the country. Similarly, the operational IRS series of satellites have eight satellites in sunsynchronous low-earth orbit – IRS-1D, IRS-P3, TES, Oceansat-1, Resourcesat-1, Cartosat-1 and Cartosat-2 & 2A. These satellites have been the workhorse for several applications – encompassing the various sectors such as agriculture, land and

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Search & Rescue and Disaster Warning Dissemination System

SITE (Early initiative)

Developmental Education: Gyandarshan, Vyas, Eklavya, APNET

Societal Applications in India

Training, Development & Communication: JDCP, Gramsat, TDCC

Disaster Management Support

Village Resource Centres (VRCs)

Tele-medicine

Tele-Education: Edusat Utilization Programme

Fig. 1 Various space-technology based societal applications in India

water resources, forestry, environment, natural disasters, wasteland mapping, mineral prospecting and infrastructure development.

Space Based Societal Applications – ISRO’s Initiatives The space technology, involving satellite communication (Satcom), and Earth Observations (EO), is one such tool that has made tremendous impact in recent years in societal development. While, the Satcom provides the conduit for the information exchange/transfer; the EO provides the content/information on terrain features that are of relevance to development. Satcom technology also offers the unique capability of simultaneously reaching out to very large numbers spread over large distances even in the most remote corners of the country. India has made effective use of both of these technologies in launching several societal-based applications programme like, Developmental Education & Training, Tele-education, Tele-medicine, Village Resource Centers (VRC), satellite-based Search & Rescue, Disaster Management Support, etc. for the welfare of the people residing in far flung rural areas (Fig. 1). All of these societal-applications are described in detail in subsequent sections.

Early Initiatives: SITE Experiment – Development TV The theme of the development TV or Community TV is to use a television, which is installed in a “public” place, where people can gather and watch information oriented TV programmes. ISRO, in very early days itself, recognized the potential of the nation-wide TV broadcast, the most powerful medium of mass communication,

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for tackling the massive problem of illiteracy in India. It carried out the world’s largest sociological experiment called the Satellite Instructional Television Experiment (SITE) in 1975–76, with the help NASA’s ATS-6 satellite. In the SITE experiment, specially tailored developmental video programmes in respective local languages were broadcast for 6 hours on each day to 2400 specially selected remote villages in six states for a period of one year, for imparting education in health, hygiene, environment, better agricultural practices and family planning. Direct Receive System (DRS) community TV sets were installed, under this programme, in public buildings in the villages – in most cases in the schools. About 150 battery operated sets were also deployed in the villages which did not have electricity. The uniqueness of SITE was that it became the first large scale experiment to directly broadcast video programs to a village community reception TV centers. Extensive evaluation of both hardware and software components of the year long SITE experiment, conducted by a number of independent teams including those from outside the country, clearly demonstrated that SITE experiment had a very significant impact on rural population, thus firmly establishing the capability of satellite TV medium for rapidly transforming the Indian rural society (Bhaskaranarayana et al. 2007b, Bhaskaranarayana and Jain 2007b). After the experience of SITE, use of Satcom for Development Communication is a regular feature of the National Television System (Doordarshan – a government TV broadcaster) using the INSAT – series of satellites. Doordarshan, at the national and regional level, produces and transmits many programmes meant for school and university students, women, children and youth giving a large chunk of time for development and educational programmes.

Satcom for Training & Development Communication – TDCC, GRAMSAT & JDCP A need was felt to provide interactivity facility in the networks for educational and development information transfer. Initially the effort was made to use Satcom for two way connectivity, but at that point of time (early eighties) the costs of interactive terminals were very high. At the same time there was a sudden expansion of telephone facilities in India. It therefore became much more economical to use telephones asking questions and clarifications. The trials with several state governments and educational institutes proved very successful and gave rise to the Training and Development Communication Channel (TDCC). This became a very important tool to meet the training requirements of the field staff/functionaries of various departments like agriculture, health, women and child welfare, forest department, etc of the state governments. Besides, TDCC could also be utilized for imparting training under Panchayati Raj (self governance and village level).The magnitude of the task was so large, that tool like Satcom could only help in meeting the requirements. The TDCC networks were up-graded in mid-nineties making use of the digital technology available in the market. These networks are also utilized for carrying

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out e-governance at village-Panchayat level and named as GRAMSAT. Under the GRAMSAT programme, the State capital is connected to districts and blocks using VSATs. ISRO helped several state governments in India in setting up large networks. More than 6000 receiving centres so far have been set up across the country under TDCC programme and more than one million participants/functionaries of more than 60 departments of various state governments have been trained in these centres (Bhaskaranarayana et al. 2007b, Bhaskaranarayana and Jain 2007b). Another programme, named as Jhabua Development Communications Project (JDCP) was started during 1996–98 timeframe. It was another important initiative in improving the lives of rural population of the country. The JDCP network consists of 150 direct reception terminals in 150 villages and 12 interactive terminals in all the block headquarters of one tribal-district, called Jhabua, in one of the states of India (Madhya Pradesh). The areas addressed under the overall umbrella of developmental communication included watershed development, agriculture, animal husbandry, forestry, women and child care, education and Panchayat Raj development.

Developmental Education Education in all its forms is essential for sustainable development. Education is also an important factor in promoting social cohesion. In many respects, primary education makes a positive contribution towards combating the problems of poverty, degradation of environment and improvement of health. Education increases the capacity of the people to transform the vision of the society into operational realities. It therefore becomes the primary agent of transformation towards sustainable development. Developing nations are faced with the enormous task of carrying development oriented education to the masses at the lower strata of their societies. One important feature of these populations is their large number and the spread over vast and remote areas of these nations, making the reaching out to them a difficult task. In view of the increased rate of enrolment, inadequate infrastructure and lack of qualified and trained teachers in primary and secondary education sector in the rural and far flung areas across the country, the need for educational communication is as acute as that of development communication. The educational sector therefore needs support through Satcom. Space technology has played a major role in the field of distance education and has generated tremendous excitement in both the formal and informal realms of education. Apart from TDCC, GRAMSAT, several educational programmes and networks like Gyandarshan, Vyas, Eklavya and APNET channels were made operational using INSAT series of satellites, in last two decades to promote satellite based distance education across the country. INSAT-based interactive one-way video and two-way audio networks have been used for distance education, training, continuing education and developmental communication (Bhaskaranarayana et al. 2007b, Bhaskaranarayana and Jain 2007b).

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Tele-Education: Edusat Utilization Programme With the success of INSAT based educational services, a need was felt to have a satellite dedicated for educational service, resulting in the launch of Edusat in September 2004. The launch of this satellite has led to a revolution in the utilization of Satcom networks for providing curriculum based education.

Edusat Utilization Programme: Initial Planning Before the launch of Edusat, it was felt necessary to initiate discussions and deliberations at a national level to give direction to the Edusat Utilization Programme. A series of consultations, seminars and workshops were organized with objective to develop a road map for ground segment, utilization and preparedness. It was decided to involve the State governments and educational institutes in the implementation of Edusat right from the beginning, since primary and secondary education are State subjects, and the administrative and infrastructure responsibilities lie with the State governments. During these seminars, participated by State governments, Ministry of HRD and other educational bodies, participants were familiarized with the Edusat concept, the technology, the applications and proposed process of implementation and issues in terms of operations and management of the network and utilization. Presentations from each of the States were made on the existing educational status in their respective States, the infrastructure available and the use of technology in education, the constraints and the problems faced. These presentations helped in getting a picture of the regional problems and requirements. The topics of the discussions covered Elementary Education, Secondary and Higher Secondary Education, Higher Education, Technical and Vocational Education, Distance Education, Teachers Training and Women’s Education. The deliberations also included the subjects to be taken up for teaching through satellite medium, interactivity, quality of content, career counseling, increasing community participation, programmes for special target groups, educational management information system and virtual classrooms. After having assessed the overall scenario and issues involved with respect to the implementation of Edusat Utilization Programme, appropriate project-structure to monitor, supervise and formulating the policies and guidelines in running this programme were set up. Internal Project Team, Project Management Board and Project Management Council at various levels within ISRO for setting up VSAT networks in every State and overall implementation of the project; Inter-Departmental CoreCommittee for overall monitoring and coordination with different stake holders; and an apex body called Inter-Departmental Project Review Board involving representatives of ISRO, Ministry for Human Resources Development (MHRD) and several educational agencies like IGNOU, Universities Grants Commission (UGC), National Council for Educational Research and Training (NCERT), etc. were constituted (Bhaskaranarayana and Jain 2007b). It was decided that ISRO would provide the space segment and would take the responsibility to set up appropriate VSAT networks with state-of-the-art technologies

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in various States; while the effective utilization of the satellite would be in the hands of the users – the Academic Institutes, State Governments and MHRD. It was also obvious that content generation would play a crucial role in ensuring the optimum and effective utilization of Edusat. In order to be effective, the contents transmitted through Edusat were to be relevant and interesting. It was decided that the users would also monitor utilization of the system in terms of attendance system, performance, etc., and would take corrective measures as and when necessary. In all these processes, ISRO would provide guidance to the users in developing the configurations and setting up of the networks and would extend handholding to the users. Implementation in Phases After having understood the roles and responsibilities of the stake-holders, the implementation of the Edusat Utilization Programme is taken up in three phases, called Pilot-phase, Semi-Operational phase and Operational Phase. Pilot-Phase In the pilot-phase, which was aimed at gaining experience in providing curriculum based education through satellite-based network before the launch of Edusat, several engineering colleges of three universities in three different states of India (Maharashtra, Madhya Pradesh and Karnataka) were connected through three independent networks using existing INSAT-3B Ku band transponder. The lessons learnt during this phase with respect to configuration of the networks, facilities and features available to teachers & students on network, method & schedules of content delivery, etc. were quite helpful in augmenting & reconfiguring the VSAT networks during semi-operational phase, which was initiated subsequent to the launch of Edusat. Semi-operational Phase and Current Status The objective of the Semi-operational phase, which is being run currently and is likely to continue till 2008–2009, is to establish the technical facilities in all the states of India for promoting distance education through Edusat. Under this phase, at least one network connecting minimum 50 interactive terminals is being set up in most of the states. While ISRO has the responsibility to setup hub, ground terminals and other equipments of the networks (apart from providing the space segment and technical assistance and guidance to the users), the respective state governments takes the responsibility of handling the day-to-day operational activities of the networks. The respective state government agencies are also responsible for identifying and arranging the contents to be transmitted on these networks apart from identifying the target recipients. Edusat provides six Extended C-Band national beams, one Ku Band national beam and five Ku Band regional beams facilitating transmission of education in the regional languages. Depending on the requirement and location, the VSAT-networks

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operate in Ku or Ext. C band. Under Edusat utilization programme, generally one hub is being setup in each of the state of the country for supporting several networks in the respective states. Two types of Edusat networks are being setup. The first type, the interactive networks consisting of Satellite Interactive Terminals (SITs), are setup for imparting the teacher’s training and curriculum based teaching to students of the arts and science colleges, polytechnics, and management and professional institutes. These networks have two-way audio-video connectivity facilitating the students in a remote classroom to have audio-visual interaction with the teacher at teaching end. The other type of networks, the broadcast or receive-only networks using Receive-Only-Terminals (ROTs), are being used for imparting curriculum based education to primary and secondary schools students. Figure 2 depicts the conceptual configuration of the Edusat networks being setup across the country under this phase. EDUSAT services commenced on March 7, 2005 with the inauguration of EDUSAT based Primary education project undertaken by ISRO jointly with the Karnataka state government in Chamarajanagar district. Under this project, 885 primary schools in predominantly tribal areas were connected through Receive-OnlyTerminals for providing curriculum based education. The network has brought the revolution in primary education sector, which not only prompted ISRO to extend this network to another district called Gulbarga connecting about 900 additional schools, but also has motivated other states for setting up similar networks. Figure 3 depicts the images of primary-schools classrooms connected through this ROTs-network.

GSAT-3 (Edusat) Satellite Internet

Schools PSTN

0.9 m/1.8 m

Hub Station

TV

DTH STB

Studio

Remote Classroom

Receive Only Baseband Equipment

Media Servers

Terminal

Hub Station Antenna RF Equipment

1.2 m/1.8 m

Higher Secondary and College PC

Teacher

Network Management System

Content and Service Providers LAN

Fig. 2 Edusat networks configuration

SIT LAN Two-Way Terminal

Remote

Audio/video Classroom Equipment Peripheral

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Fig. 3 Snapshots of edusat-classrooms (Receive-Only)

As on April 2008, 61 networks have been setup out of which 9 networks use Ku-band national beam and 52 networks are operational on Ku-band regional and Extended-C band national beams. These networks connect about 33,000 classrooms across the country including more than 3000 interactive classrooms and more than 29000 receive only classrooms. Networks have already been setup in 21 states covering almost entire country including all islands, remote & relatively inaccessible far-flung areas in North- Eastern states and Jammu & Kashmir. Implementation in remaining states is under progress. Several special networks like a broadcast network for “blind-schools” delivering the live audio and data which are read by blind person through its printed impression (Braille); a network connecting all Science Museums for promoting scientific temperament among students and general public; network for online transmission of digitized manuscripts from remote areas through mobile terminal to centralized centre for archival so as to preserve them; two networks for imparting education and awareness to parents and teachers of mentally challenged children schools; etc. have been set up under Edusat Utilization Programme. Operational Phase Under operational phase of the Edusat Utilization Programme, the Edusat networks will be expanded to cover the entire country. The users are expected to fund and

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set up networks with technical support from ISRO during this phase. Extension of the existing networks will be taken up by the users/state government. ISRO will provide required bandwidth and the space segment will be augmented to meet the future bandwidth demand. Evaluation of the Edusat Networks Periodic evaluation of the networks is very crucial activity that helps in deciding the future plan of action in effective implementation and utilization as well as desired improvements in the features and configuration of the network. ISRO with the help of state governments and local authorities has been evaluating the already deployed and operational networks and obtaining the feedback of the students, teachers, administrators and other stake-holders. One such evaluation carried out for the first Edusat schools-network in Karnataka state is given below. The Chamrajnagar network for primary school education was the first network to have been established on Edusat. The network consists of about 2000 ROTs, which are installed in schools of predominantly tribal areas in the Chamarajanagar and Gulbarga districts. This also includes about 220 ROTs, which are operational in various District Institute of Education and Training (DIETs) and Block Resource Centers (BRCs) across the state. The network benefits more than 174, 000 students of Classes III to VIII and 9753 teachers. Regional Institute of Education (NCERT), Mysore was entrusted the responsibility to carry out the evaluation of this Primary Schools network. The objective of the evaluation was to assess the impact of the broadcast (i) on students with respect to the gain in knowledge, (ii) on student attendance and (iii) on teachers. A total of 172 video films broadcast during the academic year 2005–06, teacher’s handbook and orientation of teachers held during the period formed the basis of evaluation. The major findings are summarized below (Jain et al. 2007):

r r r r r

Most of the oral questions (90%) were answered immediately after the broadcast of films (30 films) by most of the students. 4 to 9 % gain in the performance on achievement tests (Pre and Post). Attendance was almost 80% during the broadcast. Teachers feedback indicated (i) longer retention of information among students, (ii) programmes help in learning difficult concepts, (iii) students pay more attention, (iv) enhances student’s ability to visualize, (v) sustained interest and attention. Teachers feedback included- (i) 46% found difficulty in doing Pre and Post broadcast activity, (ii) 95% felt Edusat helped in joyful learning, (iii) 90% felt it helped in increasing attention span, (iv) 48% said it was more effective than audio programme, (v) 68% found difficulty in completing the syllabus.

Lessons Learnt ISRO, while designing the configuration of the networks of the semi-operational phase, utilized the experience gained from the pilot-networks and Chamrajnagar

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Schools- network. It also considered the feedback that was obtained time to time from the students, teachers and other stake-holders. Even during the process of deploying the Edusat networks under Semi-operational phase, several modifications and up-gradations were made based on the experiences and difficulties encountered in running previously setup networks especially in deep rural areas. Some of the major conclusions, which were derived during this process, and up-gradations that were considered while deploying the Edusat networks are given as under (Jain et al. 2007): 1. Two-way interaction for both audio & video is helpful in sustaining the interests of the students & teacher during the session. However, in view of the higher cost involved in providing this feature, it was decided that while networks meant for the colleges, professional & technical institutes and teachers training should be of interactive-type, primary and secondary schools could be connected through broadcast network. 2. Use of MPEG-2, Direct-to-Home (DTH) type of transmission for broadcast network to economize the ground terminals for large number of schools. 3. Transmission rate of teaching end video and audio to be increased to 1 Mbps with use of state of the art MPEG-4 video codec technique for interactive networks and to 2.2 Mbps for broadcast networks to obtain reasonably good audio and video quality. 4. Use of smaller size of antenna (0.9 m diameter in Ku-band ROT, 1.2 m in Kuband SIT and 1.8 m in Ext C-band SIT & ROT) to reduce the cost without affecting quality of reception. 5. Selection of appropriate technological systems and solutions in terms of both hardware and software was a challenge. It was consciously decided to adopt the consumer electronic items as peripheral equipments as the persons who use them day-to-day must feel comfortable to operate and easy to get serviced or replaced on failure. However, this has made them vulnerable to theft as the consumer electronics are attractive gadgets. An insurance of all equipments, hence, was envisaged. 6. The installation of VSAT antenna requires a flat RCC roof. In several cases the flat roofs are not found and the antennae are installed on the ground, but this required a special protection to prevent the children and cattle disturbing it. Monkey menace has been observed in quite a number of cases disturbing the antenna and cable connections. The problem was solved by covering the antenna with cages, which are suitably designed to minimize the losses in received signal strength. 7. Use of UPS in all nodes with minimum 4 hours of back-up with faster batterycharging rate to ensure enough charging even in cases where continuous power is not available for more than 6 hours in a day. For the places where the quality power-availability is not so good (especially the schools in remote villages), it was decided to use solar power packs with sufficient back-up. 8. Providing training to all users. Initially, raising the confidence of the operating people was a major task as they were not exposed to computer operations and it

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was difficult to find computer literates in rural area. Several training and handson programs were conducted to bring the confidence in the operating persons. 9. Improvement in generating the contents: (i) Provide a way for summarizing all the learning in each module effectively before the end of each session/programme (ii) End every programme with a set of questions that encourage the learner to seek the answers. Provide answers to these questions in the next session/programme (iii) Organize any programme into modules of real video/computer graphics/fantasy (puppets/characters, etc.) interspersed carefully to break monotony, especially for young learners (iv) Ensure that there are no factual errors in the programme. 10. Schools and institutes in far flung and tribal areas with inadequate teaching should be given preference over schools in urban districts for Edusat connectivity to ensure maximum participation. 11. Regular monitoring and evaluation is important for deciding on future plan, policy and configuration of the networks. While ISRO provides the space segment for EDUSAT system and demonstrate the efficacy of the satellite system for interactive distance education, the responsibility of using this technology lies with various state governments and academic institutions and they are also responsible for production and transmission of the classroom lessons/programs. The quantity and quality of the content would ultimately decide the success of the EDUSAT system. This involves enormous efforts by the user agencies. The experience of Edusat indicates that creation of hardware infrastructure is a challenge that can be managed, but the issues of content generation are much more daunting. It also indicates that utilizing the system for conducting virtual classroom and taking live lecture is much easier, but creation of databases and building off line usage is much more difficult and will take more effort and time. Roadmap of Edusat Utilization Programme: Institutionalization At present Edusat implementation is in the semi-operational phase. Today, there are about 34000 Edusat class rooms operational in the country benefiting more than one million students from various parts of the country including remote/rural areas. Networks are being established in remaining states. In order to effectively utilize the Edusat bandwidth, all services provided by ISRO to a state under TDCC, Gramsat, tele-medicine and Edusat are integrated and delivered from integrated hub established under Edusat programme. While selecting technologies for ground systems, efforts are being made to utilize advanced coding and compression technologies so that bandwidth is effectively utilized. Considering the interest shown by the states and users of the network, it is expected that the utilization of the Edusat is likely to expand during next 5 years. Edusat utilization programme will enter into its operational phase of implementation. The Edusat network will be expanded to cover the entire country. The users will fund and set up networks with technical support from ISRO. ISRO will provide

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required bandwidth. Majority of the institutions have shown interest in utilizing the network for on-line examination, on-line admissions, Intranet activities, etc. In order to support multiple simultaneous teaching sessions and to support additional activities like on-line examinations for all participating institutions, it is proposed to plan for a replacement satellite with 12 transponders in next five years period (Bhaskaranarayana and 2007a). The technology facilitating reaching the un-reached and to spread the education to every nook and corner of the country is being provided by ISRO. Effective use of space technology for education will certainly meet the societal needs by providing quality education and contribute towards the economic development of the country and dramatically improve the quality of life of the nation in general and rural masses in particular. Learning when you want and at the speed you want has become a reality with Edusat- a dream to envisage attaining universal education has come true!

Tele-Medicine Most of the developing countries have inadequate infrastructure to provide proper medical care to the rural population. Use of Satcom and information technology to connect rural clinics to urban hospitals through telemedicine systems is one of the solutions; and India has embarked upon an effective satellite based telemedicine programme. India has a huge infrastructure of more than 23,000 Primary Health Centers, 600 district hospitals, 3,000 Community Health Centers (CHCs) and several state level hospitals and medical colleges. But this infrastructure is inadequate to provide proper medical care to the rural population. One major bottleneck is the availability of specialist’s doctors in rural areas. More than 98 percent of the doctors practice in urban centers or big cities and towns. Hardly 2 percent of the doctors are available in rural areas (Bhaskaranarayana et al. 2007a). The Indian tele-medicine programme was started as a pilot exercise in early 2001 in five locations but has rapidly expanded to cover more than 280 remote hospitals and 43 specialty hospitals and the numbers are growing steadily. This has been able to provide connectivity to the remotest locations in the country like the Andaman and Nicobar Islands, the Lakshwadeep islands, the North Eastern Hilly regions, and the snow covered mountainous regions of Jammu and Kashmir. Each super specialty hospital is providing healthcare services to 5 to 6 remote hospitals. Presently, more than 300,000 patients are being benefited annually through telemedicine system (Bhaskaranarayana et al. 2007b, Bhaskaranarayana and Jain 2007b). The telemedicine networks, setup by ISRO, consist of patient-end nodes; doctorend nodes, servers and VSAT based communication systems. The software running in these systems play an important role in interfacing the medical diagnostic instruments for acquiring medical images, for establishing connectivity between patient-end and doctor-end computers for data exchange and facilitating the

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videoconferencing to enable the doctor and patient to interact in real time. The patient diagnostic information is acquired and sent to doctor-end along with his/her demographic data. At the doctor-end a specialist can view all these and suggest the treatment. The doctor and the patient can interact in real time through videoconferencing. A server is also located at the super-specialty hospital which stores all the information of a patient including his past illness, previous visits and medical images. When a specialist is giving tele-consultation the patient information is accessed from the server. A patient-end terminal generally consists of a computer, videoconferencing camera, TV monitor, printer, one 1KVA UPS, A3 size X-ray digitizer, 12 Lead ECG and furniture for keeping indoor equipments. The patient-end terminal is connected to the VSAT terminal. Similarly, the terminal at doctor-end consists of a computer, videoconferencing camera, TV monitor and a 1KVA UPS. While the telemedicine networks set up initially by ISRO use 3.8 m antenna and 2 W/5 W uplink power in extended C-band working on SCPC–DAMA technology using INSAT 3A, the new telemedicine networks, however, are given connectivity through Edusat satellite in Ext C-band with the antenna size reduced to 1.8 m/2 W. Mobile telemedicine vans have also been deployed by ISRO for taking the telemedicine programme to the remote villages, where the permanent patient-end is not set up. These vans consist of one Ext C-band 1.8 m motorized antenna, which is mounted onto the top of the van. The antenna can be folded/stowed to most stable position while on the move and can be repositioned to look at the satellite after the van is stationed at the place wherein the patient-end is to be set up. Stowing and deployment (folding and unfolding) of the antenna is motorized and there is also the provision for manual cranking. Two types of configuration are possible for antenna positioning. The fully automated configuration takes care of the antenna positioning on its own, once put in auto-position mode, by calculating the look angles of the satellite using GPSbased controller and flux gate compass. The manual configuration, however, needs an operator for moving the antenna to the required look angles using the antennacontrol-unit and associated servo electronics. The angle encoder, inclinometer, magnetic compass, etc. required for positioning of the antenna are the integral part of the system. The system in both the modes is quite user-friendly and easy to operate. A canopy is also provided to cover the antenna to protect it while on move. Other indoor equipments mounted inside the van are same as of any patient-end of telemedicine configuration (Bhaskaranarayana et al. 2007b). Ten mobile vans have so far been deployed to extend tele-medicine facilities in remote areas. Figure 4 consists of the images of one such tele-medicine mobile van. In addition to this, tele-medicine network is also used for providing Continued Medical Education (CME). Several Specialty Hospitals and Medical Colleges are carrying out CME programmes to keep the doctors and health workers informed of the new practices, treatments plans, advances, unique case studies, etc. ISRO’s telemedicine network has enabled many poor rural villagers hitherto denied with quality medical services to get the best of medical services available in

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Fig. 4 Telemedicine mobile van (Outside & Inside Views)

the country. The network is expanding to the various regions in the country, and has become one of the most visible and talked-about societal applications in the world today.

Roadmap of Tele-medicine Programme: Institutionalization The telemedicine programme started by ISRO in the year 2001 has reached a stage of maturity from the initial proof of concept technology demonstration pilot projects to the gradual introduction of telemedicine operational nodes in different parts of the country. It is planned to expand the tele-medicine programme to cover entire country. Tele-medicine facilities will be established at the block level. State level networks will be operated from the respective state capitals and focus will be given for covering time critical services such as cardiac and trauma care. More mobile telemedicine facilities will be deployed for rural diabetic screening, tele-ophthalmology, community medicine, etc. The CME connectivity will be extended to cover all the hospitals. It is envisaged to create the satellite communication infrastructure for providing about 225 concurrent tele-consultation sessions and about 10 CMEs. Efforts will be made towards establishing self sustainable tele-medicine centers with Private-Public-Partnership (PPP) initiatives (Bhaskaranarayana and Jain 2007a).

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Village Resource Centre (VRCs) The programme to set up satellite based Village Resource Centres (VRCs) across India, for providing a variety of services relevant to the rural communities, is also a unique societal application of space technology. Space based services emanating from Satcom and Earth Observation technologies are a boon for the developing countries for transforming the village society. While Satcom technology provides the conduit for effective delivery of information and services across vast regions, the Earth Observation technology provides community-centric spatial information in terms of geo-referenced land record, natural resources, sites for exploiting groundwater for potable and recharge, incidence of wastelands having reclamation potential, watershed attributes, environment, infrastructure related information, alternative cropping pattern, etc. Synthesizing the spatial information with other collateral and weather information, Earth Observation technology also facilitates locale-specific advisory services at community level. Space based systems are also effective in supporting disaster management and mitigation at community level by providing the vulnerability and risk related information, timely warnings, forecast of unusual/extreme weather conditions, etc (Bhaskaranarayana et al. 2007a). To provide these space-based services directly to the rural areas, ISRO, in late 2004, initiated a programme to set up VRCs in association with Non-Governmental Organizations (NGOs) and trusts and state and central agencies concerned. Under VRC programme, a fully interactive high bandwidth satellite-based VSAT network is established across India using systems with modern technological solutions like efficient compression techniques in the audio-video coding, modulation technologies and cost effective multimedia elements. Figure 5 depicts the configuration of the VRC-node consisting of VSAT and other auxiliary audio-video peripheral equipments. The configuration is similar to the student-end of the remote Edusat classroom except for the peripheral equipments related to tele-medicine facility that is one of the portfolio-services of the VRCs. Numbers of Village Resource Centre nodes are being established in various villages which are connected, through this VSAT network, to various Experts Centre nodes located in the blocks, district headquarters and state capitals. The focus of this network is on full interactivity between expert centers and villagers with return video (Rayappa et al. 2007). Figures 6 and 7 show the display-window of the Learning Management Software (LMS), which is used in VRCs to provide synchronous learning/interaction facility, as it appears at VRC-node to the user on computer screen. The software provides variety of support services of interactions including chat, e-mail, etc. The same LMS software is also used in interactive tele-educationnetworks under Edusat Utilization Programme. Remote sensing data/imageries received from IRS satellites are used to provide useful inputs about other resources required for the development of the villages and its population. The services offered under VRC are- expert advices on agriculture, fishery, health, hygiene, micro-finance, women empowerment, vocational training on carpentry, electrical, nursing, etc.; and providing access to the natural

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Satellite Modem Handicam

LAN Osprey Card

Wireless Mic

Computer

Audio Ampl

ECG Speakers

UPS 4hr back-up

PC Mic

Fig. 5 Village Resource Centres (VRC) configuration (A typical interactive Edusat-classroom also has similar configuration except for ECG)

resource information like watershed development, land use, cadastral maps, limited GIS information, etc. VRC also offers medical consultation and primary health care services to a limited extent through telemedicine with nearby hospitals apart from providing distance education on issues of socio-economic relevance. These services are offered through video interactive sessions, group discussions, point-to-point consultation, and data access from the centrally located servers at the hub of VRC-network, which is currently being supported by Edusat. There are about 15 VRC groups operational and each group has one or two expert centers providing service to a varied number of VRCs; minimum 5 and maximum 20. The

Dispaly-Window with PPT & Return Video

Full-Screen Dispaly-Window with Forward & Return Video

Fig. 6 Display-window of LMS for edusat classroom and VRCs

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Chat

Video size button

E-mail

Chat Window

Forward (Teacher) Video/ Power Point Slides

Return (Student) Video

Fig. 7 Display-window of LMS with different features

VRCs have expert centers like agricultural universities, premier institutes, research centers, heath centers, NGOs providing expert consultancies on variety of areas like agriculture, crop pattern, diseases, govt. schemes, health services, fisheries, microfinance, non-formal education, etc (Rayappa et al. 2007). Till date, ISRO has set up more than 320 VRCs in 18 states and Union Territories including the islands in association with about 40 partner agencies. These VRCs have conducted over 3,000 programmes benefiting over 200,000 people. ISRO primarily provides satellite connectivity and bandwidth; telemedicine and tele-education facilities; and available/customized spatial information on natural resources, along with indigenously developed query system. The responsibilities of housing, managing and operating the VRCs, with all relevant contents rest with the associating agencies. The systems and solutions facilitating such services being offered to the villagers are unique, and the technology adopted for the delivery of the services is most modern and state-of-the-art. The steps taken by ISRO through VRC Programme are

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preparing the villages of India for the modern India and towards a brighter future in rural environment. Roadmap of VRC Programme: Institutionalization From the modest beginning of 3 VRCs and 1 Expert Centre in association with MS Swaminathan Research Foundation (MSSRF), Chennai in October, 2004; today more than 465 VRCs have been set up across the country in association with various agencies. The usage of VRC networks and the impact on the rural population is very encouraging. The plans and strategies for the next five years include setting up of around 4000 VRCs covering rural/semi-urban blocks/taluks of the country and setting up of regional/State wise hubs/servers to cater to these VRCs (Bhaskaranarayana and Jain 2007a). The last mile technologies like WiMax, WiFi and other terrestrial systems will be interconnected with appropriate interfaces in order to achieve the maximum reach and greater coverage. Efforts are being made to evolve a self sustainable model so that a VRC meets all the demands of users and also finds its growth as a modern community center (Rayappa et al. 2007). During the coming years, VRCs, acting as help-line and knowledge-centers/kiosks, are expected to facilitate e-Governance and many more services of social relevance apart from catalyzing rural entrepreneurship; and will become single point outlets for providing the local specific services to the villagers.

Search & Rescue System and Disaster Warnings Dissemination Services Space technology is also useful in disaster warning and management related applications. Use of satellite systems and beacons for locating the distressed units on land, sea or air is well known. ISRO has been a part of the international satellite-based search and rescue system COSPAS-SARSAT since the early 1990s. This system uses 6 LEO and 4 GEO satellites of which one GEO satellite is provided by India. ISRO, therefore, has a special status, among 40 member countries, as a geostationary space segment provider, in this system. The Search and Rescue payload, which was carried on the INSAT-3A satellite (Indian GEOSAR system had been using INSAT 2A and 2B since 1992 and then was switched over to INSAT-3A after completion of the life of these satellites), supports the 406 MHz position located beacons. These automatic-activating beacons are mounted on commercial fishing vessels and all passenger ships, and are designed to transmit, to a rescue coordination center, a vessel identification and an accurate location of the vessel from anywhere in the world. Newest designs incorporate GPS receivers to transmit highly accurate positions of distress in form of precise GPS latitude-longitude location. Two Local User Terminals (LUTs), located at Bangalore and Lucknow in India, are connected

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to the international search and rescue network and support 121.5 MHz, 243 MHz and 406 MHz beacons. These LUTs are a part of the international maritime organization’s Global Maritime Distress and Safety System (GMDSS) as also the International Civil Aviation Organization (ICAO). The current 406 MHz beacons registered with Indian Mission Control Centre (INMCC) at Bangalore is more than 4200. A total of 1728 lives have been saved in 60 incidents during 1991–2007 by Indian search and rescue system (Bhaskaranarayana et al. 2007b, Bhaskaranarayana and Jain 2007b). Figure 8 depicts the conceptual-configuration of the satellite-based Indian Search & Rescue System. India Meteorological Department (IMD) also uses satellite medium to transmit cyclone warnings in the coastal areas that may get affected due to impending cyclone. This helps local people and administration to get prepared and take suitable measures to counter the impending disaster. These Cyclone-Warning-Dissemination signals are transmitted in local speaking languages (of the specific coastal areas) from Area Cyclone Warning Centres of IMD at Chennai, Mumbai and Kolkota earth stations in India. ISRO has also developed a low-cost satellite-based Disaster Warnings Dissemination System (DWDS) utilizing the commercially available DTH set top boxes with certain modifications. These receivers are now being proposed for deploying in the coastal regions and other part of the country. These receivers can be used

Fig. 8 Indian satellite aided search and rescue system

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for viewing entertainment programs being broadcast by DTH operators in the country in normal mode as well as for receiving disaster warnings broadcast originating from centralized Warning Dissemination Centre operated by the government agency during any emergency such as cyclone, earthquake, landslide, flood and military/civil disturbances. Warning Dissemination Center has the control for selecting particular geographical area or groups of receivers, deployed in different part of the country, to broadcast emergency messages. All the receivers selected from Warning Dissemination Center automatically switch over to warning-disseminationchannel even though the receiver is originally tuned to watch some other entertainment channels. In case of the TV monitor being in switched OFF mode, the warning-messages are played through a built-in speaker in the receivers. A facility for sending acknowledgement to Warning Dissemination Center through satellitebased system has been added at certain locations in the cyclone-prone coastal areas to ensure the guaranteed delivery of warning messages and directly monitoring the health of the receivers deployed in these remote areas (Bhaskaranarayana and Jain 2007b).

Disaster Management Support (DMS) Programme In the area of disaster management, the future challenges are in providing more accurate early warning services. Operational forest fire warning, vulnerability assessment for tsunami and storm surge, more accurate detection and tracking of storms are few of the areas, which can be handled with help of improved spatial & temporal resolution of the future earth observation sensors. Early warning and predictions of earth quake is yet another area of research, which is expected to get more focus in the coming years with the availability of advanced earth observation sensors and techniques such as SAR interferometry, ionospheric current measurements, EM radiations, thermal anomalies, dense GPS networks, etc. Early warning of agricultural drought is another expectation, which calls for integrating various parameters from meteorological, hydrological and specific cropping systems. Integration of EO products for multi-hazard Early Warning System is a challenging area, which deserves focus and more concerted efforts globally. ISRO has been running a programme called, Disaster Management Support (DMS) Programme to provide disaster management related services across the country. Under this programme, several activities are being carried out. These include the creation of digital data base for facilitating hazard zonation, damage assessment, etc., monitoring of major natural disasters using satellite and aerial data and development of appropriate techniques and tools. A Decision Support Centre, as a ‘single-window’ for all aerospace based products & services, working on 24×7 basis, has been made operational. This facility has been put into use for monitoring flood, agricultural drought and other natural disasters encountered by the country. Also, in order to provide emergency communication for disaster management activities, a satellite based Virtual Private Network (VPN) has been set up linking the

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national Control Room with Decision Support Centre, important national agencies, key Government Offices and Disaster Control Rooms in various States. Apart from these, a major national level coordinated project has been taken up to create ‘National Database for Emergency Management’. IRS imageries and INSAT based Communications and Telemedicine services are being used effectively in the post-disaster relief operations within India. India also makes available the IRS imageries and derived information to the neighboring countries for their post-disaster relief activities.

Earth Observation (EO) Applications The primary focus of the EO applications in India is to survey the natural resources towards their judicious management. The major objectives are to provide sustainable development, improving physical and social infrastructure, ensuring food security, providing disaster management support, etc. Satellite Remote sensing data in conjunction with field data and other collateral information, have been extensively used to survey and to assess various natural resources like agriculture, forestry, minerals, water, marine resources, etc. In resources survey and management, remote sensing data is operationally used to prepare thematic maps/information on various natural resources like groundwater, wastelands, land use/cover, forests, coastal wetlands, potential fishery zone mapping, environment impact assessment, etc. Under the aegis of the National Natural Resources Management System (NNRMS) and involving many user departments/agencies, several operational application projects have been carried out. Some of the national efforts include: biennial forest cover mapping by the Forest Survey of India (FSI); Potential Fishery Zone mapping by the Department of Ocean Development (DOD); Crop Acreage Production Estimation (CAPE) by the Department of Agriculture & Cooperation (DAC); Wasteland mapping by the Ministry of Rural Development (MRD); Biodiversity characterization and Information System by Department of Bio-Technology (DBT); Hydrogeomorphological mapping for providing drinking water in needy rural habitations by Ministry of Rural Development (MRD); Coastal zone mapping and Snow & glacier mapping by Ministry of Environment & Forest (MoEF); Geomorphologcial mapping by Geological Survey of India (GSI); Sedimentation and water logging mapping of major reservoirs by Central Water Commission (CWC); and the recent initiative of National Urban Information System (NUIS) by the Ministry of Urban Development (MUD); to cite only a few examples. There are also many other initiatives at Centre/State Government levels. Besides the above, there have been enhanced activities in meteorology related activities, cartographic applications, particularly after the formation of high-powered Standing Committees in these areas recently (Bhaskaranarayana et al. 2007a). Remote sensing & GIS based products form an important component of disaster response and management. In India, GIS databases of the themes related to vulnerability (geographical location, administrative boundaries, status of infrastructure - rail, road, hospitals etc., land use/cover) are integrated with dynamic layers rep-

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resenting disasters (floods, drought, earthquake etc) extracted from remote sensing satellite data to develop useable products and disseminated to the end-users either through SatCom based Virtual Private Network (VPN) or by electronic mail on near real time basis. These databases are also used for hazard zonation and risk assessment (Bhaskaranarayana et al. 2007a).

Conclusion India was among the first few countries to realize the importance of space technology to solve the real problems of man and society and took initiatives to develop the space technology for the benefit of the nation. Today, India’s core competence in space is its ability to conceive, design, build and operate complex space systems and use them in various frontiers of national development. In view of these multiple dimensions and capabilities, India is recognized as a leader in space applications that have a wide impact on society. The end-to-end capability in space for vital application in communications, broadcasting, meteorology and natural resource information, which are of direct relevance for national development, has secured India a unique place in the international community. The new ongoing societal-application programmes such as tele-education, telemedicine, disaster warning, search and rescue, village resource centres etc. are indeed fulfilling the objectives of ISRO which is to bring the benefits of space technology to man and society. Building a cost-effective space infrastructure for the country in a self-reliant manner, bringing economic and social benefits to the country will continue to be the guiding principles for the Indian space programme in future also. The overall goals of the Indian Space Programme thus encompass a strong enabler role for social transformation, a catalyst for economic development, a tool for enhancing quality of human resources, and a booster to strengthen the national strategic needs. The overall thrust of the space programme during next decade or so will be to sustain and strengthen the already established space based services towards socioeconomic development of the country. The programme profile will be based on the emerging requirements in the priority areas of national development and security requirements and will take cognizance of the policy framework and global trends.

References Bhaskaranarayana, A., C. Varadarajan and V. S. Hegde (2007a) “Space Based Societal Applications – Relevance In Developing Countries”, International Astronautical Congress-2007, (Proceedings under publication) Bhaskaranarayana, A. et al. (2007b) “Applications of Space Communication”, Current Science (93) 12, pp. 1737–1746 Bhaskaranarayana, A., P. K. Jain (2007a) “Roadmap of Satellite Based Services in India”, International Astronautical Congress-2007, (Proceedings under publication)

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Bhaskaranarayana, A., P. K. Jain (2007b) “Satellite Based Societal Applications in India”, IAA African Regional Conference-2007, (Proceedings under publication) Jain, P. K., Jagdish Murthy, H. Rayappa (2007) “Edusat for Enhancing Primary Education in Karnataka State”, International Astronautical Congress-2007, (Proceedings under publication) Rayappa, H. et al. (2007) “Satellite Based Solution to Connect Rural India: The Village Resource Centres”, International Astronautical Congress-2007, (Proceedings under publication)

Space for Energy: The Role of Space-Based Capabilities for Managing Energy Resources on Earth Ozgur Gurtuna

Abstract In our search for a peaceful and feasible resolution to the energy problem, space-based capabilities can play an important role. This chapter discusses the nature of the energy problem as it stands today and examines some of the possible ways that space-based capabilities can be used to address the challenges and create new opportunities. The main focus of this chapter is on the role of space based capabilities for the management of terrestrial energy sources. The chapter also includes three case studies which focus on the use of EO data within the energy sector. Keywords Energy and environment · Space-based capabilities · Earth observation · Solar energy · Wind energy · Fossil fuels · Emissions trading · GEOSS

Introduction Throughout history, economic development has gone hand-in-hand with access to energy. Starting with solids such as wood and coal, moving to liquids such as plant oils and petroleum and then to gases such as natural gas, our species has mastered transforming the heritage of fossil fuels into increased living standards for the masses. Today, with the notable exceptions of nuclear energy and first-generation renewables such as biomass, our unquenchable thirst for energy is mostly met with seemingly abundant fossil fuels. Energy statistics show that, as of 2005, fossil fuels constitute around 80% of the total primary energy supply1 in the world (IEA, 2007). Even though new generation renewable energy systems, such as wind and solar energy, barely make a dent in today’s global energy mix with under 1% of the total supply, their installed capacity has been increasing at a very steep rate during the last three decades. Between 1971

O. Gurtuna (B) Turquoise Technology Solutions Inc., 438 Av. Claremont, Westmount, QC, Canada e-mail: [email protected] 1 Total primary energy supply includes the energy used for all purposes, including transportation and electricity generation.

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 20,

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Hydro 2%

Nuclear 6%

Gas 21%

Biomass/ waste 11%

Other renewables 1%

Coal 25%

Oil 35%

and 2004, the annual rates of increase for installed wind and solar energy capacity were 48% and 28%, respectively (IEA, 2007). Various projections regarding future energy scenarios provide a consistent outlook: fossil fuels will continue to dominate the energy mix for the next few decades. However, there is increasing evidence that this trend is not sustainable. Leaving all the debate of peak oil aside, the issue is not actually whether or not we will run out of fossil fuels soon. The current energy mix is not sustainable due to its huge strain on the environment. Furthermore, the distribution of fossil fuels around the world is a major source of political and military conflict. Access to clean, sustainable and uninterrupted sources of energy is increasingly becoming a challenge. This trend forces us to develop innovative ways to use our fossil fuel resources more efficiently while reducing their impact on the environment. At the same time, a worldwide effort is underway to increase the efficiency and installed capacity of renewable energy systems. The ambitious “20 by 2020” objective (generating 20% of all energy consumed in Europe from renewable energy sources by 2020) of the European Union of is one of the leading examples of this trend.

Energy Policy Drivers The three main policy drivers shaping tomorrow’s energy investments are energy security, environmental sustainability and industrial competitiveness.2 A brief discussion of these policy drivers is necessary to illustrate the importance of space-based capabilities for the energy sector, and their impact along these three main axes. Energy security simply means ensuring an uninterrupted, steady supply of energy. Given that most economies are not self sufficient and rely on energy imports, energy security is an important dimension of bilateral and international relations. However, it also relates to the management of domestic energy networks, maximizing national generation capacity and managing the transmission system in a safe and efficient manner. 2 One of the prominent sources which outline these three priorities is the European Commission’s Green Paper entitled “A European Strategy for Sustainable, Competitive and Secure Energy”, available at: http://ec.europa.eu/energy/green-paper-energy/index en.htm

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The second policy driver, environmental sustainability, is causing us to revisit some of our assumptions regarding the true cost of energy. As the Intergovernmental Panel on Climate Change report indicates (IPCC, 2007), our environment, including the climate, is under a rapid period of transformation. It is becoming increasingly clear that our current energy regime, relying mostly on fossil fuels with uncontrolled greenhouse gas (GHG) emissions is not sustainable and exacts a heavy toll on the environment. Furthermore, IPCC asserts that “Most of the observed increase in global average temperatures since the mid-20th century is very likely due to the observed increase in anthropogenic GHG concentrations.” In other words, although there could be other factors contributing to Climate Change, human behavior is at the core of the problem. Therefore there is an urgent need to develop technologies which can help us monitor and forecast the trajectory of these emissions, as well as technologies which can generate emission-free, low impact forms of energy. Although our reliance on fossil fuel reserves is not likely to ease significantly in the near future, tomorrow’s energy rich nations may not necessarily be the ones who have been the lucky winners of the energy deposit lottery so far. Those who master next generation energy technologies will be in a position to address the first two policy drivers and, at the same time, achieve significant economic benefits by exporting these solutions to other parts of the world. The tremendous success of Germany in transforming nascent renewable energy industries into global export leaders is a case in point. This competitive edge partially rests on developing technologies within a specialized area (such as more efficient solar cells), but it also requires system-based solutions and capabilities which will enable tomorrow’s energy networks to be designed and operated as efficiently as possible. This is precisely where space-based capabilities can add significant value and help develop such solutions and capabilities.

Energy from Space During the first 50 years of the space age, amazingly creative, yet largely infeasible ideas (at least in the short-term) were proposed to generate energy from space. Solar power satellites and Helium-3 extraction from the lunar surface are just two of these proposed concepts. One of the most consistent and plentiful sources of energy is solar radiation. In fact, as it will be discussed later, most renewable energy sources on Earth are a result of solar radiation. Proponents of solar power satellites argue that by constructing large collectors around Earth’s orbit and transmitting the generated energy in microwave form from Earth’s orbit to ground-based collectors, we can unlock an immense energy potential (see for example O’Neill, 1977). After many years of hiatus, there seems to be a renewed interest in this concept (see for example Macauley and Shih, 2007; NSSO, 2007; and Summerer et al., 2006). Another space resource of interest is Helium-3, a light isotope of helium with two protons and one neutron, which can be used as fuel for future nuclear fusion

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reactors. Helium-3 is rare on Earth, but it can be found in significant quantities on other planetary bodies, including the Moon, where the pulverized surface material (the regolith) retains helium streaming from the Sun carried by solar wind (Schmitt and Kulcinski, 1993). In the future, it is conceivable that the upper layer of the lunar regolith can be mined to extract Helium-3, and then transported to Earth to fuel future nuclear power generation systems using fusion technology. It is important to note that, the other piece of the puzzle, nuclear fusion technology, is still in development and optimistic estimates point to mid-century for their commercial exploitation (New Scientist, 2006). One of the main limiting factors of these space-based energy generation concepts is the cost of access to space. After decades of operations, only a modest decrease in launch costs was achieved. Today, launch costs to geostationary transfer orbit range from $10,000 to $50,000 PER kg (Futron, 2002). This cost structure is a severe limitation for placing large masses on orbit, which are required for building solar power satellites or kick-starting large scale mining operations on the lunar surface. Therefore, commercial operations of solar power satellites and Helium-3 powered nuclear fusion require significant advances in these technology domains as well as strides in launch vehicle development and operations. No doubt that, if there is continued interest in these concepts, human ingenuity will find a way to surmount these challenges and unlock the potential of these spacebased resources in the long-run. In the meantime, however, there is a case to be made for concentrating on the use of our existing space-based capabilities for the service of the energy sector. There are plenty of ways in which space-based capabilities can help us manage our energy resources here on Earth.

Energy on Earth – Supported by Space This line of analysis brings us to the premise of this chapter: in the coming decades, the benefit of space for the energy sector is very likely to aggregate over many different technologies and applications centered on Earth Observation (EO) and new generation exploration technologies instead of a single groundbreaking space technology. No doubt that satellite telecommunications and satellite navigation will also play an important supporting role in the energy sector, especially for day-to-day operations. Many space agencies around the world are acting on the link between EO and the energy sector, and there are some international initiatives as well, most notably the Global Earth Observation System of Systems (GEOSS).

GEOSS GEOSS is a worldwide effort which can pave the way for increased use of EO data and applications for various sectors of economic activity, including the energy

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industry. In February 2005, ministers from nearly 60 countries endorsed the 10-year implementation plan for this initiative. GEOSS is based on the concept of integrating data obtained from many different instruments including satellites, airborne and insitu instruments. It is expected that EO will play a key role in this mix, and the majority of data will be provided by satellites (Lautenbacher, 2006). Three of the nine societal benefit areas identified for GEOSS are directly related to the energy sector:

r r r

Improving management of energy resources Understanding, assessing, predicting, mitigating, and adapting to climate variability and change Improving weather information, forecasting and warning

Within the GEOSS framework, in order to facilitate the use of EO for energy applications, an “Energy Community of Practice” (ECP) was formed. Areas covered under ECP are linked to many of the strategic and operational aspects within the energy sector. These areas include: siting of power plants and facilities taking into account environmental and sociological issues; optimized design of power systems and facilities; yield estimation and resource monitoring based on historic information; yield forecasts based on near real-time weather forecasting; operation and management of power plants, including automatic failure detection; and trading and monitoring of emissions credits.3 Although an exhaustive discussion of these areas will not be provided within this chapter, some of them will be illustrated through the case studies.

Earth Observation Market Development Programme The European Space Agency (ESA), started the “Earth Observation Market Development Programme” in 2000 for supporting the operational use of EO in different economic sectors. One of the main thrusts of this initiative is applications in the energy sector. Specifically, the EOMD programme supports demonstration projects which enable the partnership of smaller companies specialized in Earth Observation with larger downstream companies. A number of demonstration projects have targeted the needs of the energy sector with a particular focus on solar, wind and hydroelectricity (Mathieu, 2005.

Space and Renewable Energy Space-based capabilities, especially EO, can help address some of the issues related to energy scarcity by helping us better manage the supply and demand of energy. On the supply side, EO helps us to conduct resource assessment and forecasting studies 3

For more information, see the GEOSS ECP website at http://www.geoss-ecp.org/

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for developing new generation capacity, using both renewable and fossil-fuel based energy systems. On the demand side, EO can help with energy conservation efforts by helping us better understand the impact of various environmental parameters, such as temperature and humidity, on the use of energy (Gurtuna, 2006). One of the possible ways of ensuring energy security is to use existing domestic energy resources more efficiently, and adopting new prospecting practices. Fossil fuel exploration efforts, by and large, aim to discover existing deposits. Renewable energy generation, on the other hand, is more about mapping the behavior of natural processes over time, and developing new technologies which can “harvest” the energy from these processes. One of the major advantages of renewable energy sources is their global distribution: all countries around the globe have access to multiple sources of renewable energy. Therefore the issue is not having access to a particular energy source, but mastering the corresponding energy conversion process. The Sun is the source of almost all renewable energy on Earth, with the exceptions of geothermal and tidal energy. Solar energy systems are based on converting solar irradiation into electricity or heat using photovoltaic and solar thermal principles. The uneven heating of Earth’s surface by the Sun creates a pressure gradient in the atmosphere which in turn creates the wind. The air above the equator is heated up by the Sun while the air around the poles is much cooler due to the angle of solar radiation reaching these regions. Since the density of air decreases with increasing temperature, the lighter air from the equator rises, causing a pressure drop around this region. This pressure drop attracts cooler air from the poles towards the equators, thus creating winds and eventually fueling wind power (Mathew, 2006). Solar heating and winds are two of the primary forces acting on the oceans and generating ocean currents and waves, major sources of marine renewable energy. Finally, hydroelectricity generation is dependent on the global water cycle and the atmospheric processes which trigger different forms of precipitation. All of these natural processes, solar irradiance, wind, ocean currents and precipitation can be considered as the “fuels” of various energy conversion systems such as photovoltaics, wind turbines, wave/current turbines and hydro dams, respectively. One of the primary advantages of these systems is the cost of fuels: once the capital investment is made and the systems are operational, the operating costs are mainly based on maintenance requirements and are not affected by wide swings observed in the oil and natural gas prices. However, relying on these natural processes also has its disadvantages. The energy output from renewable energy systems can fluctuate significantly over different time scales creating daily, seasonal and multi-year variations. Therefore, the ability to predict these fluctuations and to characterize the long-term behavior of these processes is critical to ensure overall system security and reliability. There are numerous ways to achieve this objective, particularly where Earth Observation can play an important role. Two specific applications are resource assessment and forecasting.

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Modern-day Prospecting: Resource Assessment and Forecasting Resource assessment is performed to create an “inventory” of renewable energy at a given location by characterizing the resource using statistical methods and determining the potential for energy generation. Forecasting helps us understand the output fluctuations and develop tools for predicting these fluctuations. Resource assessment is a very important prerequisite for making strategic decisions such as developing a policy framework for renewable energy and determining the optimal locations of renewable energy systems. These decisions are not only contingent on the availability of the resource, but also on many additional factors, such as the distance of the candidate site from existing transmission lines, roads and population centers. Forecasting the expected energy output from renewable energy systems is also becoming increasingly important as the amount of installed renewable power increases in the electricity grids around the world. In order to manage the variations in renewable energy output efficiently and ensure grid safety, there are a number of issues that renewable energy generators as well as electricity system operators have to deal with. One significant risk caused by intermittency is rapid loss of power which would normally be generated by renewables. Although the probability of all installed renewable energy systems in a given region to stop generation is very low, it is still conceivable. There are certain mitigation methods to control this risk: compensating for the loss by acquiring electricity from other generators connected to the grid and balancing the load by generating more power from other types of generation (especially natural gas, coal and hydro systems which can be ramped up quickly). These mitigation methods need to be supported by a well functioning forecasting system which can help foresee reductions in supply as well as changes in demand. Case 1: Siting Decisions for Off-shore Wind Farms In order to illustrate how EO can add value to strategic decisions in the energy sector, this section will examine the use of satellite data for off-shore wind resource assessment. Global cumulative installed wind energy capacity reached 94 GW as of January 2008 (GWEC, 2008). Although this capacity is mostly supplied by onshore wind farms, off-shore wind farms are considered as one of the most promising renewable energy systems which can provide large amounts of clean energy. In fact, European Wind Energy Association has set a target of 300 GW wind energy capacity for Europe by 2030. Half of this amount, 150 GW, is expected to be supplied by offshore wind farms. Currently, Europe is leading the off-shore market with operational wind farms along the coastlines of Denmark, Sweden, the UK and the Netherlands and many planned ones along the coastlines of Germany, Ireland and Spain (Knight, 2007). A number of factors are stimulating the interest in off-shore wind farms, including

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the scarcity of land which can be developed as wind farms, some very favorable wind conditions over the oceans and more reliable and powerful wind turbine designs. Wind speed is a key input for resource assessment studies, since the energy output of a wind turbine is a function of wind speed. Both for onshore and off-shore wind resource estimation, historical wind speed data is crucial. The conventional way of acquiring this data is to install a meteorological mast (metmast) on location. These masts are equipped with various instruments to measure wind speed and direction, and they also have data loggers and data transmission systems (such as satellite uplink/downlink sets) for data storage and acquisition. Due to the complexity of marine operations, the cost of installing and operating a single mast can be on the order of 750,000 euros a year (Mathieu and Hasager, 2007). Given that wind information from many different sites needs to be studied for a siting decision, the cost is prohibitive to install metmasts for each and every one of them. The industry practice is to obtain at least one year’s worth of data before a siting decision is made. Even though the metmast data can be very accurate for the year it was in operation, a one-year data set cannot necessarily capture the long-term variability characteristics of wind. In their comparative assessment of satellite derived wind speed data, Hasager et al. (2006) report that the annual wind speed averages can vary significantly, resulting multi-year variations of up to 14%. In other words, even though very accurate annual data may be acquired using a metmast alone, without use of other tools, such as meteorological models, the data for a given year may not be representative of the climatological averages. Therefore identifying multi-year trends is essential before a siting decision is made. Otherwise, investment decisions based on a single year’s data can result in significant financial losses. In order to capture longer-term variations, climatological adjustments are needed before metmast data can be used in decision-making (this requirement applies to other short-term data sources as well, regardless of their source). A relatively new technique for these adjustments is based on satellite data. For off-shore wind resource assessment, there are three sets of satellite instruments which can provide useful data: passsive microwave instruments (e.g., the Special Sensor Microwave/ Imager – SSM/I), scatterometers (e.g., NASA’s QuikSCAT satellite) and Synthetic Aperture Radar (e.g., RADARSAT series, ERS-2 and ENVISAT). Although passive microwave instruments provide relatively low spatial resolution, they have been operational for a long time (in some cases providing data sets going back as early as 1987). Scatterometers and SAR are both active (radar) instruments and can provide all weather and night-time coverage capability as well as increased spatial resolution. Together, the complementary capabilities of these instruments can be very valuable for the feasibility analysis of an off-shore wind farm. Research results in this area indicate that, from both reliability and data availability perspectives, satellite data can be used as a complementary source of information (see for example Hasager et al., 2006 and Beaucage et al., 2007). Satellite data obtained from multiple platforms show consistent wind speed values. Moreover,

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Fig. 2 An off-shore wind speed map derived from Radarsat-1 data (depicting the Gaspe Peninsula in Quebec on April 24, 2003) Source: Philippe Beaucage, INRS, Canada, 2008

comparisons to meteorological mast observations are also encouraging, making satellite-based analysis a strong contender for pre-feasibility stage wind resource mapping activities. Case 2: Solar Energy Resource Assessment Solar energy is following the path of wind energy and rapidly becoming a viable form of renewable energy from both technical and financial perspectives. The installed capacity of both solar PV and solar thermal plants is rapidly increasing. During the last decade, Europe and Japan have invested heavily in solar energy systems and built significant capacity. Although other regions of the world have been lagging behind, momentum is building rapidly, especially in the U.S. and China. Broadly speaking, there are two kinds of solar power systems: solar photovoltaic (PV) and concentrating solar power (CSP). Solar PV technology generates electricity by direct conversion of electromagnetic radiation into electrical current. CSP, on the other hand, relies on a thermal conversion principle, where the solar radiation is focused on a single point (or a small area) to heat a liquid which also stores the energy. This energy is then used to create steam to power a turbine. In addition to electricity generation, the same principle can also be used to heat water for residential or industrial use.

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Understanding the variability of solar energy over time is an important step in increasing the share of solar energy in the overall energy mix. In Europe, especially in Germany, France and Spain, a number of R&D efforts are underway to use historical time series from satellite data to support solar energy projects, such as the ENVISOLAR project.4 At the strategic decision-making level, a critical parameter for site selection of solar parks is solar irradiance, the “fuel” of such generation systems. For this purpose, meteorological satellite data for solar irradiance is used in combination with other earth observation capabilities such as Digital Elevation Models and cloud cover measurements (Schillings et al., 2004; Davison and Gurtuna, 2007). For site selection analysis, having access to long-term time series is highly desirable, since it can dramatically increase the accuracy of solar irradiance estimates for a given site (Mathieu, 2005). Therefore archived satellite data sets, such as the one used to produce the resource map in Fig. 3, are particularly useful for pre-feasibility studies. This capability can also be used to support operational decision-making: plant managers can compare the actual energy production with the estimates from satellites on a continual basis. A wide spread between these two values can help identify potential problems with the performance of solar plants (Schroedter-Homscheidt, 2007).

Fig. 3 Global Horizontal Radiation (in kW/h/m2/day) map based on 22 years of satellite observations (source: Turquoise Technology Solutions Inc.; data source: NASA, TerraMetrics; map was produced using Google Maps API)

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More information can be obtained at http://www.envisolar.com/

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The data for solar energy resource assessment and forecasting studies come mainly from meteorological satellites at GEO, such as the European Meteosat series and the U.S. GOES satellites. Once a solar energy generation plant is operational, companies generally install their own radiometric stations in order to acquire very precise, real-time radiation data. However, such instruments cannot be readily used for forecasts, since they are not forward-looking such as meteorological models based on satellite information. Satellite-derived information has some obvious advantages over other methods for solar energy forecasts. Archived satellite data from Meteosat are available going back as far as 1985. This enables advanced statistical analyses which can provide the backbone of forecasting models. When used with cloudiness forecasts and other parameters which have an impact on solar irradiance (such as aerosols), these models can be very helpful in managing tomorrow’s large scale solar energy generation systems. Recently, the interest in satellite-derived solar energy information has spread to many different sectors, including financial institutions. Today, such information is being used for strategic decisions such as site selection (e.g., map products), as well as site qualification (e.g., time-series products). ESA reports that time-series of at least 10 years are required by the banks in Spain as part of the due diligence for extending loans to solar energy investments (ESA, 2006). Given that the scale of such investments has reached the level of 200 million euros for a single project, the economic importance of these analyses becomes clear. ESA indicates that for most places in the world this due diligence process can only be achieved through the use of meteorological satellite data.

Space and Fossil Fuels As discussed in section “ Introduction”, fossil fuels will continue to be the leading contributors to the global energy mix in the coming decades. Therefore it is imperative to explore possible ways in which space-based capabilities can help industries which are in the business of finding and extracting fossil fuels (i.e., oil & gas and coal industries) as well as industries which make heavy use of such fuels (e.g., aluminum and steel production, energy generation, etc). Furthermore, in order to manage the impact of fossil fuels on the environment at a global scale, continuous monitoring of GHG emissions is required to model and forecast the evolution of atmospheric dynamics and the concentration of various gases and aerosols over time. Oil and gas industry already makes extensive use of earth observation data from both passive (e.g., optical) and active (e.g., radar) instruments. In recent years, satellite-based hyperspectral systems have also been proposed. Currently, almost all of remote sensing satellites in orbit have either panchromatic or multispectral imagers, collecting data from a few spectral bands and with limited resolution. In contrast, hyperspectral imaging can enable data acquisition in contiguous narrow

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bands simultaneously (up to several hundred bands) in the electromagnetic spectrum (NRCan, 2005). The “Hyperion” instrument aboard NASA’s EO-1 satellite provided the first set of hyperspectral data from space in 2001. Among the various users of hyperspectral maps are oil, gas and mining companies, and government authorities. Such maps can help define potential exploration targets. This application is of particular interest in areas where either no maps or generalized maps exist, such as arctic environments, and it can also assist in the detection of hydrocarbon micro-seepage. Hyperspectral imaging can also be used to monitor oceanic and coastal zone regions for oil spills. Specifically, it can help us predict how oil spills disseminate in a body of water under current environmental conditions, and where it might affect sensitive sites. It can also be used to identify shoreline features and the severity of oil spills in environmentally sensitive areas such as coastal wetlands. It can even help us determine the pollutant type (e.g., crude or light oil). This information is useful for the cleanup crews to identify the best cleanup method, the environmental impact of burning oil, and to predict the flow path, dispersion rates, and the time before a slick hits the shoreline (Salem, 2001). OECD reports that another space application for the oil & gas sector is the use of EO data to monitor pipelines and to assist in major energy infrastructure projects (OECD 2005). Finally, EO data can also be very helpful for day-to-day operations. For instance, Synthetic Aperture Radar data is routinely used to manage the risk posed by sea ice to offshore oil & gas platforms. A recent study (Davison and Gurtuna, 2007) has documented that satellite-derived sea ice information is an integral part of offshore oil & gas operations off the east coast of Canada. Case Study 3: Emissions Credits As discussed in Section “Energy Policy Drivers”, there is mounting scientific evidence demonstrating that our heavy reliance on fossil fuels is taking a toll on the environment. This impact, along with the continuing dominance of fossil fuels in our energy mix, forces us to explore new ways to curb GHG emissions. Developing new energy systems with minimal emissions, as discussed in the previous two case studies, is part of the solution. However, in the short to medium term, given the modest amount of renewable energy output in our energy mix, it is clear that solutions targeting fossil fuels are also needed. Proposed methods such as carbon capture and sequestration can help us operate fossil-fuel plants while decreasing their overall emission levels. In parallel to such technological innovations, there are also market-based mechanisms which can make a difference. These economic innovations function by putting a price on GHG emissions and creating incentives and/or penalties to change the behavior of emitters. Cap-and-trade systems (also called emissions trading) is defined by IPCC as “a market-based approach to achieving environmental objectives that allows, those reducing greenhouse gas emissions below what is required, to use or trade the excess reductions to offset emissions at another source inside or outside the country” (IPCC, 2001).

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In January 2005 the European Union launched Greenhouse Gas Emission Trading Scheme (EU ETS), with the primary aim of cutting industrial emissions within the EU. This multi-national system created interest worldwide and resulted in some very valuable lessons. The higher the price of permits that allow for extra emissions, the more incentive there will be for market participants to limit their GHG emissions. In April 2006, the price of permits dropped from 31 euros to around 12 euros (per tonne CO2), when it was revealed by national governments that power producers and other energy-intensive European industries were 44 million tonnes under the permitted limit for 2005, significantly below the expected level (Schiermeier, 2006). During subsequent trading sessions, the price of credits dropped even further. Critics argued that this was largely a result of overly generous emission caps set by the European governments. As this experience demonstrates, the efficiency of any trading system in controlling GHG emissions is limited by political and regulatory risks to a certain extent. However, the success of these markets in reducing emissions is ultimately dependent on the market fundamentals. Currently, CO2 output constitutes the main price driver for permits, which in turn is a function of various parameters such as weather, fuel prices and economic growth (European Climate Exchange, 2007). Therefore, monitoring the level of CO2 output and incorporating this information into trading decisions can give a competitive edge to informed traders in this market while ensuring market efficiency. Earth observation satellites can provide the required data to monitor the evolution of emissions. An international coordination entity, the Committee on Earth Observation Satellites (CEOS), has identified continuous monitoring of CO2 output and understanding the carbon cycle as priority areas. As indicated in the Earth Observation Handbook published by CEOS: “Since the dominant influence on future greenhouse gas trends is widely agreed to be the emission of CO2 from fossil fuel burning, an improved understanding of the global carbon cycle has become a policy imperative for the forthcoming decades, both globally and for individual countries.” Although global observing systems for climate will involve multiple instruments, both terrestrial and space-based, CEOS expects that earth observation satellites will become the single most important contribution to global observations for climate (ESA, 2005). In the near future, coupled with more mature emission trading markets spanning both developed and developing economies, EO-based CO2 monitoring capability is likely to make a significant contribution to reducing GHG emissions.

Future Exploration Technologies Some of the prominent energy technologies of today, such as photovoltaics and fuel cells, have a very distinct space heritage. At the beginning of the Space Race, in order to provide a steady supply of energy to their satellites, both the U.S. and the Soviet Union launched research projects to develop practical solar PV technologies. In 1958, the U.S. Vanguard I satellite was equipped with solar PV technology and solar panels become an integral part of spacecraft design (DoE, 2008).

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As part of the U.S. Space Shuttle program, liquid hydrogen is used as fuel for rocket propulsion, and also as fuel for the fuel cells aboard the Shuttle fleet, providing electricity and water to the crew. Although NASA started using fuel cells in 1960s, it took almost three decades for this technology to diffuse to other sectors, such as automotive and energy generation (Gurtuna, 2005). The recent boom in the terrestrial solar market and the increasing use of fuel cells for industrial applications were, to some extent, enabled by the space investments made decades ago during the Apollo era. Likewise, the renewed interested in space exploration, embodied by the Global Exploration Strategy (GES), may result in new space technologies which can be used for terrestrial applications in the coming decades. The deliberations of 14 national/international space agencies resulted in the Global Exploration Strategy document which was published in May 2007.5 GES emphasizes the importance of human exploration and outlines future strategies for international partnership in this endeavor. At least two of the priority technology areas identified within the GES are related to the energy sector: efficient power generation and energy storage, and planetary resource extraction and utilization. A sustained interest in human space exploration is likely to push the footprint of human presence from LEO to the lunar surface and other planetary bodies in due course. This expansion will no doubt trigger many innovative approaches for energy generation and storage, which may be one day be used for terrestrial purposes as well.

Conclusion This chapter provided a broad overview of the role space technologies and applications play in the energy sector. Given the complexity of the energy problem and the limitations of our existing infrastructure, it is not realistic to expect a single breakthrough technology to emerge and meet all of the energy needs of the growing global economy. Although the dominance of fossil fuels will continue in the foreseeable future, it is clear that renewable energy sources have a lot of potential in addressing the environmental and energy security concerns. Therefore, a sensible approach is to develop a host of applications which will help us manage our existing fossil fuel resources more efficiently, and actively develop new-generation renewable energy sources in the meantime. In this regard, the role of innovation cannot be overemphasized. By developing new technologies such as carbon capture, and new applications such as emissions trading, we can decrease the environmental impact of our energy mix, address energy security issues and create new industries. In this endeavor, space technologies and applications will also play an important role.

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Available at http://www.space.gc.ca/asc/eng/resources/publications/global.asp

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With all the promise of space exploration ahead of us and many space-based resources waiting to be explored, perhaps the single most important contribution of space activities will prove to be the mastery of managing the energy and environment balance of our home planet.

Acronyms CSP DoE EO ESA GEOSS GES GHG GOES IEA IPCC NASA OECD PV SAR

concentrating solar power U.S. Department of Energy Earth observation European Space Agency Global Earth Observation System of Systems Global Exploration Strategy Greenhouse gas Geostationary Operations Environmental Satellite International Energy Agency Intergovernmental Panel on Climate Change National Aeronautics and Space Administration Organisation for Economic Co-operation and Development photovoltaic(s) Synthetic Aperture Radar

References Beaucage, P., Lafrance, G., Lafrance, J., Choisnard, J. and Bernier, M., “A New Strategic Sampling Using Synthetic Aperture Radar Satellite Data for Offshore Wind Assessment”, INRS and Environment Canada, Research Paper, 2007 Davison, M. and Gurtuna, O., “Environmental Predictions and the Energy Sector: A Canadian Perspective”, Research Report prepared for Environment Canada, Montreal, 2007 DoE, Energy Efficiency and Renewable Energy, U.S. Department of Energy, “Solar History Timeline: 1900s”, on-line resource, http://www.eere.energy.gov/solar/solar time 1900.html, accessed March 2008 ESA, “CEOS Earth Observation Handbook”, European Space Agency Publication, Paris, France, 2005. ESA EOMD, “Banks Use Satellite Information to Target Investment in Solar Power”, European Space Agency, Earth Observation Market Development Programme Press Release, http://www.eomd.esa.int/events/event262.asp, 2006. European Climate Exchange, “What Determines Price of Carbon in the EU?”, online resource http://www.ecxeurope.com/, accessed on 28 April 2008. Futron, “Space Transportation Costs:Trends in Price Per Pound to Orbit 1990–2000”, White Paper prepared by Futron Corporation, available at http://www.futron.com/pdf/resource center/, 2002 Global Wind Energy Council, “US, China & Spain lead world wind power market in 2007”, Press Release, 2008, available at http://www.gwec.net/ Gurtuna, O., “New Energy Regime: Possible Roles for Space Technologies and Applications”, Proceedings of RAST 2005 Conference, Istanbul, Turkey, 2005. Gurtuna, O., “Renewable Energy Systems: How Can Space Help?”, Proceedings of the 57th International Astronautical Congress, Valencia, Spain, 2006.

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Hasager, C.B.; Astrup, P.; Christiansen, M.B.; Nielsen, M.; Barthelmie, R.J., “Wind Resources And Wind Farm Wake Effects Offshore Observed From Satellite”. In: Proceedings (online). 2006 European Wind Energy Conference and Exhibition, Athens (GR), 27 Feb – 2 Mar 2006. Intergovernmental Panel on Climate Change, “Climate Change 2007: Synthesis Report Summary for Policymakers”, IPCC Fourth Assessment Report (AR4), 2007, available at http://www.ipcc. ch/pdf/assessment-report/ar4/syr/ar4 syr spm.pdf Intergovernmental Panel on Climate Change, “Glossary of Terms”, Part of the Third Assessment Report by the Intergovernmental Panel on Climate Change, 2001. International Energy Agency, “Renewables in Global Energy Supply An IEA Fact Sheet”, OECD/IEA, Paris, January 2007 International Energy Agency, “Key Energy Statistics 2007”, Paris, 2007 available at http://www. iea.org/textbase/nppdf/free/2007/key stats 2007.pdf Knight, S. “Offshore Reality Hitting Home”, Wind Power Monthly, Vol. 23, No.9, September 2007-10-13 Lautenbacher, C. C., “The Global Earth Observation System of Systems: Science Serving Society”, Space Policy, vol. 22, pp.8–11, 2006 Macauley, Molly K. and Shih, Jhih-Shyang, “Satellite Solar Power: Renewed Interest in an Era of Climate Change?”, Space Policy, Vol. 23, No. 2, May 2007 Mathew, S., Wind Energy Fundamentals, Resource Analysis And Economics, Springer, Berlin Heidelberg, 2006 Mathieu, P. -P., “Eye in the Sky: Earth Observation from Space in Support of the Renewable Energy sector”, reFocus The International Renewable Energy Magazine, July/August 2005. Mathieu, Pierre-Philippe; Hasager Charlotte, “Winds of Change from Space” in The Full Picture report by Group on Earth Observations, Geneva, Switzerland, 2007 National Security Space Office, “Space-Based Solar Power as an Opportunity for Strategic Security”, Phase 0 Architecture Feasibility Study, Report to the Director, National Security Space Office, Interim Assessment 2007 available at http://spacesolarpower.files.wordpress.com/2007/ 11/final-sbsp-interim-assessment-release-01.pdf Natural Resources Canada (NRCan), “Glossary of remote sensing terms”, Canada Center For Remote Sensing, http://ccrs.nrcan.gc.ca/glossary/index e.php?id=3109, November 2005. New Scientist, “Nuclear fusion must be worth the gamble”, NewScientist.com news service, 07 June 2006 OECD, “Space 2030: Tackling Society’s Challenges”, OECD report, Paris, France, 2005. O’Neill, Gerard K. (1977). The High Frontier: Human Colonies in Space. William Morrow & Company Salem, F. “Hyperspectral Image Analysis For Oil Spill Mitigation”, Center for Remote Imaging, Sensing and Processing, 22nd Asian conference on Remote Sensing, Singapore, 2001. Schmitt, Harrison H. and Kulcinski, G.L., Helium-3: the Space Connection, Technical Report, Wisconsin Center for Space Automation and Robotics, WCSAR-TR-AR3-9304-2, April 1993, available at http://fti.neep.wisc.edu/pdf/wcsar9304-2.pdf Schiermeier, Q., “Carbon Market Survives Gas Leaks”, Nature, 441, 25 May 2006. Schillings, C., Mannstein, H., and Meyer, R.: “Operational Method for Deriving High Resolution Direct Normal Irradiance from Satellite Data”, Solar Energy, vol. 76, pp.475–484, 2004. Schroedter-Homscheidt, M., Stackhouse, P., Sarti, F., and Ranchin T., “Space for Solar Energy”, in The Full Picture, GEO publication, Switzerland, 2007available at http://www.earthobservations. org/documents/the full picture.pdf Summerer, L., Pipoli, T., G´alvez, A., Ongaro, F., and Vasile, M., Roles of Solar Power from Space for Europe: Space Exploration and Combinations with Terrestrial Solar Power Plant Concepts, Journal of the British Interplanetary Society, 59(8), 297–303, 2006.

Sharing Brains: Knowledge Management Project for ESA Space Operations R. Mugellesi Dow, M. Merri, S. Pallaschke, M. Belingheri and G. Armuzzi

Abstract Knowledge Management (KM) is a relatively new area that has been evolving at an astonishing pace since mid-1990 as organizations increasingly recognize the importance of developing an internal environment where the knowledge is effectively managed. As in other technical fields, space operations face the challenge R.M. Dow (B) ESA/ESOC, Darmstadt, Germany e-mail: [email protected]

P. Olla (ed.), Space Technologies for the Benefit of Human Society and Earth, C Springer Science+Business Media B.V. 2009 DOI 10.1007/978-1-4020-9573-3 21,

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of preserving and sharing knowledge. At the ESA Space Operations Centre, ESOC, KM is considered a strategic issue for maintaining and strengthening the leadership in spacecraft operations and ground systems infrastructure in an expanding international context. The article provides first a general background of the knowledge management approach, then describes the knowledge audit experiment that was conducted in ESOC as a pilot project in a specific area, then focuses on the current knowledge capture and sharing project. Keywords European Space Operations Center · Knowledge management · Knowledge sharing · Knowledge criticality

Introduction Continuing technological evolution, the search for ever-increasing capabilities and a more complex external environment have placed an emphasis for the Centre to identify, capture and share knowledge effectively and efficiently. This includes learning from the past, identifying the knowledge needed in the future and infusing KM practices into the daily work, thus making the workforce as effective as possible when dealing with operations, ground systems, and customers. The European Space Operations Center (ESOC) located in Darmstadt, Germany, is one of the five establishments in Europe of the European Space Agency (ESA). The Agency, whose convention was signed in May 1975, is the European organization in charge of promoting, exclusively for peaceful purposes, cooperation among European States in space research and technology and their space applications. It has the mandate to establish and maintain the infrastructure of ground segment facilities (including control centre, ground stations, dedicated computers and network communications), and is specifically responsible for the operations of Cebreos

Svalbard

Villafranca Redu

Maspalomas

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Kourou

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Fig. 1 ESOC and the ESA ground stations network

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the Agency’s satellites. Figure 1 shows the location of ESOC and the ESA ground stations network. The support of ESOC includes the activities performed during the definition phase of the mission, the mission preparation until the launch of the satellite, the operations needed to reach the target operational position in orbit, the interfaces with the scientists for the delivery of the science data, the monitoring and maintenance of the satellite status and position until mission completion. The support can extend over a number of years. During the satellite mission preparation and execution an intense interaction takes place between the ESOC technical responsible, the ESA project, the industrial teams, and the “users” scientific community, leading ultimately to an optimum system understanding and definition. The framework in which ESOC activities are performed is characterized by interrelations between multidisciplinary teams, several contractor and industrial teams, and activities shared with other groups within ESA. Moreover, traveling is very often required because the mission teams are working in different ESA locations, the ESOC operational model is based on contractor staff often off-site, the ground segment infrastructure is installed and maintained in several part of the world. Therefore, there is the need to access and exchange knowledge and data in a very effective and efficient way and to provide staff with suitable tools to retrieve and distribute information at the time it is needed in order to take the best decisions for mission safety and success. It is well recognized that staff and their knowledge are the most valuable resource for the directorate. Therefore, already in 2004, some initial work on KM started with the objective of exploring state-of-the-art KM initiatives in other domains and defining a strategy for applying the most promising ones. In 2006, the ESOC KM Core Team, with representatives of the major technical domains, was set up to drive, lead and promote the KM initiative. The first step consisted of defining a KM strategy and validating it in a suitable pilot area.

Background To begin, a clear understanding of what is meant by “knowledge” is required together with its relationship with the notions of “data,” “information” and “expertise”. Data usually refer to raw numbers, measurements or observations, whereas information involves the manipulation and organization of data into meaningful patterns. Knowledge is better defined as the cognitive resource that helps to produce valuable information from data and is necessary to accomplish a task or correctly interpret a message. Expertise is a higher level of knowledge and an expert is someone who is able to perform a task better than others because he or she possesses in-depth knowledge of the topic. The expertise could be within a specific domain and could be acquired via training or hands-on problem solving. Different types of knowledge are often quoted in the literature: explicit knowledge (sometimes referred to as formal knowledge), which is documented in words and numbers, and tacit knowledge (also informal knowledge), which is personal knowledge from experience, not documented and constituting the major part of

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individual knowledge. Another way of classifying knowledge is to separate it into general knowledge, which is possessed by a large number of people and can be more easily transferred, and specific knowledge, which is possessed by a limited number of people and is more expensive or difficult to transfer.

Why Knowledge Management? Before we go into the question of knowledge management, some remarks concerning knowledge itself and its definition, What, then, is KM? KM consists not only of “getting the right information to the right people at the right time” (from the NASA Strategic Plan for Knowledge Management), but also of assisting people to create and share knowledge in ways that will measurably improve the performance of the organization. Ultimately, this means establishing an environment that helps us obtain the information we need to make better and faster decisions. As an example, KM may give access to spacecraft engineers to the history of their satellites’ design decisions, or allow project managers to quickly identify the right experts for a new team. In this sense, knowledge is not the end, but rather the means for further action: what we try to do is use and share available knowledge to get better at doing what we do. ESOC is a knowledge-intensive organization, in which each individual has different skills, knowledge and expertise. This valuable knowledge is very often only archived in their heads, and is lost when a specific individual is no longer available for some reason, e.g. retirement or a new assignment. Additionally, there is also a need to transfer lessons learned from the past to new projects and to provide staff with suitable tools to retrieve information at the time it is needed in order to take the best decisions for mission safety and success. KM comprises a range of practices that allow identifying, capturing, preserving and distributing the knowledge that is needed for current and future activities, as shown in Fig. 2. KM benefits include more efficient resource management, a faster learning curve for new staff, and improved leveraging of core competencies. Also, it stimulates the Strategic knowledge Management

Knowledge Assess

operational knowledge Management

Knowledge base

assess

Relationships

obtain

apply

contribute

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Information technology Communication infrastructure

build

Skills and competences Process know-how

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Fig. 2 Strategic knowledge management

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creation, growth and re-direction of knowledge itself. KM is a people and technology challenge. As such, it implies making some (small) changes in the way everyone works and this is best achieved with the help of proper processes and tools that leverage knowledge across different times, places and people. Obviously, cultural acceptance of KM objectives by individuals is fundamental to the success of any KM system.

Knowledge Management System The Japanese Ikujiro Nonaka and Hirotaka Takeuchi can be considered as two of the initiators of Knowledge Management with the publication in 1995 of their book entitled ‘The Knowledge Creating Company’. They defined knowledge management as the process of continuously creating new knowledge, disseminating it widely through the organization, and embodying it quickly in new products/services, technologies and systems. Another definition says that knowledge management stands for the systematic handling of the resource knowledge and the target oriented employment of knowledge in an organisation. Although criticism against knowledge management is heard, as it is too expensive, too time consuming and would fail very often because of the missing motivation of the employees, knowledge management is required as knowledge about improvements, about avoidance of mistakes, about clients and competitors as well as the participation in the experiences made by others are only a few examples that could bring the essential lead in the competition. In any case, knowledge is the prerequisite for problem solving. Knowledge management is not done for its own sake: the prime goal is to improve the competency to act. Increased efficiency and reduction of risk for operations are the two main drivers of the KM project for ESA Space Operations. The objective is to establish a KM system and a set of related procedures covering the following aspects: – – – – – – –

Knowledge identification Knowledge capture knowledge evolution Knowledge classification Knowledge archiving Knowledge preservation Knowledge sharing.

As a general requirement, the KM system should be built upon and utilise existing capabilities and resources whenever possible (for example, education and training programs, collaborative tools, document management systems, lessons learned, etc.) and deliver an integrated suite of processes and tools to ESOC that are intuitive and easy to use.

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Knowledge Management as Benefit to the Society Knowledge is widely recognized as a resource that is critical for explaining performance differences, innovation, market dynamics, and governance issues. As economies have become more knowledge-intensive, interest in knowledge management has significantly increased. The abilities to create, acquire, disseminate, and apply knowledge within the firm and across firms are increasingly recognized as essential for gaining and sustaining a competitive advantage. In a constantly evolving and competitive environment, organizations are faced with the need of continuously improvement in the area of products and services that would meet the constantly evolving needs and wants of their customers. Knowledge about improvements, about avoidance of mistakes, about clients and competitors as well as the participation in the experience made by others are only a few examples that could bring the essential lead in the competition. As benefit of knowledge management the following points can be listed: – – – – – –

Avoidance of unnecessary expenditure of resources; Usage of idle knowledge resources; Networking of expert knowledge; Increase in quality of decisions; Intensification of innovation- and competition capabilities and Improvement in the learning capability of the organisation.

These benefits will have an impact on the way an organization thinks and operates to achieve its objectives, for example, to provide quality products and services, for the good of the human society. Therefore, organisations are increasingly paying attention to their systems of knowledge management to ensure that they are capturing, sharing and using productive knowledge within their organisation to enhance their learning performance. Recent work of OECD on knowledge management confirmed that knowledge management practices in companies have considerable effect on innovation and other aspects of corporate performance. Informal structures as personal networks and communities of practice play an important role in the context of knowledge management as complex nets of divisions, complex structures within the hierarchy may hinder the flow of information and knowledge. Teams across the borders of divisions facilitate the transfer of knowledge within an organization. The importance of the Face-to-Face exchange of knowledge within these informal structures should not be underestimated. A recent Fraunhofer study (“Wissen und Information 2005”) concludes that the support to the informal exchange and the provision of platforms for communities (workshops for objectives and strategies) will become increasingly important over the next few years. To conclude, knowledge management has provided a rational for a better management of knowledge, regarded as a collection of objects rather than something to be ’known’ only by the knower. This shift in cultural thinking has several

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implications on how we acquire, archive, generate, apply, share and dispose the knowledge. The insights being gained by knowledge management are applicable to any area of business and commerce in the human society.

Knowledge Management in ESOC ESOC Technical Domains (TD) In ESOC the implementation of a KM system can be achieved at different levels: for a dedicated project, for a family of missions, or for a well-defined part of the organisation. In order to define procedures and strategies as generally as possible, it was decided to concentrate the implementation on the main ESOC technical domains, which are: a) Ground Stations Engineering and Network Operations This domain addresses the construction, maintenance and control of the ESA ground stations and of the communications network used for spacecraft operations. A continuous improvement of the infrastructure is required to satisfy new mission requirements in term of performance, operability and cost effectiveness. It includes expertise in Radio Frequency and communications engineering with in-depth technical knowledge of the station software and hardware, local- and wide area networks and communications security. b) Flight Dynamics, Navigation Support, Space Debris This domain includes all activities related to the analysis and early definition of a space mission, from the measurement and control of spacecraft orbit and attitude for a wide scope of mission types, to the promotion of and innovation in satellite geodesy, development and improvement of reference frames and definition of models for those aspects of the physical environment that influence orbital motion and observations. It include also the knowledge related to space debris modelling and measurements as well as mitigation measures and space surveillance. c) Mission Data System and Infrastructure This domain addresses mission data systems and relevant software infrastructure for the preparation, control and operation of a space mission, i.e. mission control systems and spacecraft simulators. The staff possesses in-depth technical knowledge in software engineering, and in designing, developing, validating and operating their systems.

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d) Mission Operations Expertise includes operations preparation and execution for several kinds of missions, e.g. scientific, earth observation, telecommunications, navigation, in several types of near earth or deep space orbits. Specific knowledge in these domains is concentrated in the relevant ESOC departments and divisions and it is there that KM is required in order to facilitate the transfer of expertise across staff and missions.

Knowledge Management Strategy Work started on a pilot KM project within ESOC, and to prepare for this, the KM Core Team adopted a strategy of analyzing each aspect of the KM system highlighted above. Knowledge identification: Each member in the KM Core Team was asked to act as a focal point in his/her domain of expertise and identify the main knowledge fields (k-fields). The knowledge levels are illustrated in Fig. 3. Knowledge fields represent a specific know how in terms of academic discipline and specific application field, whereas knowledge area is an aggregate of knowledge fields with a good homogeneity inside and similar sources of know how. The Common Knowledge inside Knowledge Community represents common knowledge

Knowledge objects (methods, news, theories, articles, books, professional blogs)

Knowledge Fields Knowledge Area Common knowledge Inside one TDC

Transversal knowledge common to more TD communities Fig. 3 Knowledge levels

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through each knowledge area within TD Community (tools) and Transversal Knowledge represents common knowledge through more communities (IT tools, project management, etc). Knowledge capture: The knowledge audit methodology was selected as the way to extract knowledge from those who possess it (more details below). Knowledge evolution: The identification of a strategy for knowledge evolution to meet future needs was considered one important output of the work. For this, it was agreed to tailor the knowledge audit methodology to focus not only on the knowledge needed at present, but also on its evolution over time. Knowledge classification: The KM Core Team recognized the strong need of ESOC to be equipped with advanced search capabilities allowing data retrieval without the need for in-depth knowledge of any specific subject or familiarity with the structure or organisation of the underlying data. Among the tools and techniques considered, the Core Team proposed the definition of taxonomy (that is a method allowing to classifying object/concepts and their relationships) and ontology (that is specifying the relationships of terms defined in taxonomies with other terms) for Space Operations, enhancing domain-specific free-text retrieval, and devising a corresponding prototype. Knowledge archiving: The Core Team looked at several mechanisms for archiving knowledge, including document management systems and Wikis. To demonstrate the use of a Wiki as a knowledge repository, a prototype was developed. Knowledge preservation: The ability of maintaining the knowledge is not only required due to staff mobility, but also because of the typical long duration of the space missions. Some experience is already available in house, for instance the KM system developed for the Rosetta mission, ROSKY, and currently in use in ESA. Other measures to ensure and/or maximize knowledge preservation are cross-training within the operations teams, dedicated hands-on-training programs and availability of visual tools for pre-launch workshops on each spacecraft subsystems. Knowledge sharing: This is a critical aspect requiring a specific strategy for each technical domain. A prototype of a KM portal will be developed as part of the ESOC KM initiative, aiming to share internal as well external space operations knowledge. In the context of knowledge sharing and for specific areas, e-learning will also be prototyped since this technique allows to efficiently sharing knowledge through the visualization process. The next sections of the paper present some findings from the pilot project.

Pilot Project The Method The method proposed by the KM Core Team for knowledge capture and evolution relies on the concept of knowledge audit whose implementation in the pilot project

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was followed closely by the Core Team. The knowledge audit allows assessing the current level of coverage of the k-fields, identifying those k-fields which are strongly perceived as of increased value and therefore candidates for a deeper process of externalization, and evaluating the criticality of k-fields in the future as perceived by the experts of the technical domain. The results of the audit constitute an important input to the management in terms of which areas may need to be improved in view of longer-term strategic goals. The method used in the pilot project consisted of four major steps: – – – –

define the k-fields, perform the audit, identify the knowledge gaps, and define potential measures to close these gaps.

The pilot project was conducted in the technical area of Flight Dynamics. The objectives of the pilot project were to: – Validate the methodology and provide guidelines for implementation in other knowledge domains. – Verify the k-field map prepared for Flight Dynamics and assess its evolution over time. – Scrutinize some of the current operations processes from a knowledge point of view by identifying gaps and duplications. – Collect requirements for a documentation system and for information flow within the teams and sub-teams and across organisational borders with the external environment. – Investigate the flow of tacit knowledge inside the division. Firstly, the k-fields in Flight Dynamics were collected and assessed. The next step was to plan and perform the audit, shown in Fig. 4. During the preparatory phase, suitable framework conditions for the execution of the audit were established by defining the processes, aligning content and selecting and involving the participants (information & responsibilities). To better prepare the staff for the audit, it was decided to conduct a questionnairebased survey in the pilot area. The questionnaire was designed by the Core Team and structured in three major parts: – Assessing and verifying the proposed k-fields and estimating the strategic importance of these in the medium and long-term future. – Assessing the current state of knowledge exchange in terms of communications and documentation. – Evaluating any barriers against an effective exchange of knowledge and experience.

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survey templates knowledge field list

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in-depth interviews Consolidation of Deduction of with selected measures (propasal) results experts

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audit impact

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Fig. 4 Knowledge audit model

The questionnaire was designed in a such a way that survey participants were invited to think about their expertise, core processes and the activities and decisions performed in the course of their day-to-day work as well as how faster access to better knowledge might help them in that regard. The questionnaire was kept simple in order to promote participation. Knowledge audit sessions were conducted by members of the Core Team over different groups of Flight Dynamics personnel. In particular, these aspects were explored:

– The current status of knowledge in each identified knowledge field and their expected evolution, – The status of relevant documentation, – The availability of experts, – The use of operative processes and best practices, – Any gaps or deficiencies from a knowledge point of view.

As result of the audit, specific measures to improve the existing knowledge processes were identified. These constitute the basis for an educated decision on the best KM system for ESOC. The proposed options range from either the adoption of accepted standards or best practices to the development of new, individualised solutions. Recommendations were discussed with representatives of the technical domains and project leaders. The outcome of those discussions, despite derived for the Flight Dynamics technology area, provided information on tools, technologies, methodologies which are relevant also to other areas in ESOC

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Pilot Project Findings The pilot project achieved the objective of validating the proposed knowledge capture method and provided more insight into the management of the knowledge in the selected technical domain. Major findings are discussed below. Audit method: The audit sessions, including the questionnaire, gave the opportunity to verify the inventory of k-fields and to identify improvements in the knowledge processes. In particular, the capability of the method for assessing current and future knowledge needs was demonstrated. These findings provide input for a coordinated workforce strategy. Moreover, the importance of continuous training and specific training programs was reinforced. Knowledge Exchange: Major findings concerning knowledge communication were the identification of communication patterns and of different knowledge user groups. Related to the documentation, concerns were expressed during the audit on the accessibility and maintainability of documents. In fact, there is a proliferation of documentation management systems – many of which are independent of each other and having different search facilities. Often, to retrieve a particular piece of information, one must have pre-existing knowledge of the structure and the content of the individual document archive, which, of course, is very rarely the case. Occasionally, project documents are distributed via email and in this case there is a risk that not everyone concerned would receive it. Concerning the maintainability of documents, it was found that sometimes the updating of reference documents is not done in a timely manner. Knowledge Barriers: The audit revealed significant barriers including the usage of different documentation systems, insufficient internal knowledge exchange and time and budget constraints for documentation management and archiving. Major conclusions were the need for focusing on the informal knowledge-exchange culture, by fostering a working-level horizontal knowledge exchange, and on the sharing of explicit knowledge, by streamlining deployment of documentation management systems and enhancing relevant information channels. Requirements for the KM System: During the audits, requirements were suggested by participants as measures to improve the current situation. These constituted the basis for an educated decision on the best KM system for ESOC. The proposed options range from either the adoption of accepted standards or best practices to the development of new, individualised solutions. Recommendations were discussed with representatives of the technical domains and project leaders. The outcome of those discussions, despite derived for the Flight Dynamics technology area, provided information on tools, technologies, methodologies which are relevant also to other areas in D/OPS, some of these shown in Fig. 5. Only requirements rated with high priority are listed below and they are grouped under main topics. Some of these requirements are already partially implemented, whereas others are rather new. It can be recognized that most of the listed KM requirements are also applicable to other technical domains.

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Fig. 5 Types of measures

1. Knowledge about internal expertise and divisional capabilities: The list of items considered of value by the participants as a means to locate expertise and to better understand the services provided by the division is provided in the table below. Requirement

Description

Internal Technical Training

Provide information to personnel with the right level of detail required to complete assigned tasks Hands-on training on routine operations and on tools/procedures regularly performed Contact details for the custodian of tools/methodologies and deliverables Inventory of skills acquired, linked to the matrix of division capabilities and to past and current projects Reinforce communication and information flow in ESOC to increase knowledge on internal expertise and capabilities

Hands-on Training

List of Custodians Expert Directory

Increase Internal Synergy

2. Knowledge of past and future projects and opportunities: The list of items considered of value by the participants as a means to avoid duplication of effort and improper communication when dealing with projects and opportunities is provided in the table below.

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Requirement

Details

Increase Customer Synergy

Reinforce communication and information flow with customers to promote new opportunities for knowledge generation and development Tool to track correspondence and documentation generated during past and current interactions, plus contact details of key personnel and a history of previous relationships Establish a strategy to record the type, initial contact, nature and scope of opportunity, plus current status Align k-fields development and maintenance to the strategic objectives of the division Systematic review of any key learning from past projects

Projects/Activities Tracking Tool

Opportunities Management Strategic Alignment Lessons Learned

3. Knowledge about technical and learning resources: The list of items considered of value by the staff to ensure that the technical and learning resources are appropriately deployed and communicated to the staff is provided in the table below. Content

Details

Increased External Participation Key Documents Catalogue

Increase ESOC participation in external events as well as promote knowledge sharing events in the centre Complete and up-to-date documents: analysis reports, user manuals, etc., shared among projects and personnel of the same technical domain e-learning Promote visual training Email mining Mechanism for email archiving and centralizing; extract technical information and record Knowledge Sharing Develop strategy for knowledge sharing for each technical Strategy domain

Benefits: During the audit, participants were also asked to formulate their opinion of the expected benefits of the KM system, as shown in Fig. 6. Many considered the major benefits of a KM system to be: – guiding strategy for the future, – increase standardization of tools, – improve communication,

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Increase standardization of tools Guiding strategy for the future

Improve organization and use of information resources

Improve communication

Knowledge management benefits - participants’ statements-

Generating new ideas/ innovation

Max refuse of past experiences Faster build up expertise

Max synergy between teams

Fig. 6 Knowledge management benefits

The ESOC KM Project KM is a fundamental pre-requisite in support of ESA’s mission operations and pertaining ground infrastructure. To be able to support in the future shorter development times and quicker integration, the infrastructure, the processes and the information environment must be easily adaptable and “at the fingertips” of the new teams that need them. The pilot project has shown that a difficult and critical challenge is to encourage and support personnel in sharing information and therefore moving towards a knowledge-sharing culture, while preserving the ESOC spirit and maintaining focus on the strategic goals of the centre. Having gone through the initial audit process in the selected pilot area, a subsequent step should be the implementation of a Knowledge Audit in other technical domains of ESOC. The recommendation of the ESOC KM Core Team was to concentrate initially in enhancing knowledge capture and sharing, to manage knowledge efficiently and to develop techniques and tools to enable teams to better work together. To achieve this, sharing of the knowledge from lessons learned should be encouraged, and intelligent systems could be exploited for better decision making. The information already available should be more efficiently and effectively managed. In this respect, the integration of systems should be enhanced and data mining techniques could be used to pull together isolated knowledge bases. Different types of traditional and electronic processes should support communities of practice.

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The next area is knowledge content management to enhance the processes by which information is created, organized, stored and distributed to others. Mechanisms and tools guiding the project documentation lifecycle could be envisaged as well as the use of ontologies for semantic web (consisting of taxonomy of data and a set of inference rules) to facilitate searches for information. Last area in the proposed journey is increasing the technologies to support the KM activities. The KM Core Team investigated means to harmonize individual KM practices and tools used at the project and technical–domain level in order to derive a consistent and staggered approach for the corporate KM system having in mind that KM is an activity which must be followed in the future to improve interdisciplinary information transfer and evolution of knowledge within new projects. In all organizations the main issue is to “make things happen”. Therefore, the challenge is to come through the barriers of daily routine and stress KM strategic importance. In most of the analyzed cases, KM practices were not applied because considered too complex and people had no time to dedicate to it, that means if KM is left to people goodwill it will never work. To solve these problems the ESOC KM Core Team performed the following actions: – Build an organization to support the KM project defining roles and responsibilities amongst the technical domains, – Chosen people (KM oriented) and Roles (Assistant) to facilitate the achievement of results, – Defined a knowledge map to measure Knowledge criticality and coverage and some KM action plans, – Defined some quick win solutions The steps of the project are shown Fig. 7.

Building the Organization As first step in the project, the KM organization has been defined based on two-level working model: the KM core team and the technical Domain Communities as shown in Fig. 8. For each TD, the following roles have been defined as the TD owner, the Assistant to the Community, the Knowledge Area leader and the experts. Moreover, the functioning processes inside the Communities and with the KM Core Team have been defined.

Analyzing the Knowledge Coverage and Criticality Assessing the knowledge coverage and criticality required to create an architecture for the knowledge of the communities. A sound part of the communities knowledge environment has been covered by means of a concrete and agreed

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Step 1 Building the KM organization Assumere

Prestazione lavorativa Il contratto di lavoro L’orario di lavoro Ferie ex festivitàe rol I permessi Le assenze per malattie e infortuni Il calendario Gestione presenze / assenze on line

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Retribuzione Composizione della retribuzione Il premio di partecipazione Il cedolino trasparente L’anticipo TFR Gli assegni familiari Cambiare banca d’appoggio

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Fisco e Previdenza L’IRPEF Le detrazioni Il 730 on line Richiedere l’estratto conto INPS Fonchim

Assistenza Sanitaria Viaggi e Trasferte Faschim Assistenza integrativa Medicina preventiva Richiedere rimborsi spese mediche Servizio Sanitario

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Apprendere Lo sviluppo in …. Scheda richiesta formazione/congressi La diffusione della conoscenza English on line

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Nomina e assunzione Ferie / assenze/ malattia / trasferte Gestione presenze/assenze on line Fisco e previdenza Assistenza sanitaria e assicurazioni Car Policy Carta di credito aziendale

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Sportello bancario Sportello amm. Personale Agenzia Viaggi Mensa e ristoranti esterni Autocertificazioni on line Rubrica telefonica

Valutare le performance Scheda di valutazione delle prestazioni Valutare le posizioni Scheda proposta interventi di sviluppo

L ’ Organizzazione Organigrammi Job Description

Per i nuovi arrivati Pratiche di ingresso I riferimenti GHR L’introduzione in azienda Le policy di ecologia e sicurezza Presentazione istituzionale

Prototyping the tools

Step 3 Defining specific KM strategies and action plans

Step 4 Analyzing the technical and soft KM tools

Fig. 7 Knowledge management project steps

knowledge architecture that divides knowledge in 3 hierarchical levels: knowledge areas, knowledge fields and knowledge components. This process of identifying the knowledge levels has been applied to each community and knowledge area leaders have been selected. This was the basis for the next step of the project, that is the knowledge appraisal. Ground Stations Eng. Network Operations

Processes, Methods, Techniques, tools

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Flight Dynamics Navigation Support Space Debris

Mission Data System & Infrastructure

KM Core

Monitors and leads the KM process

Mission Operations Fig. 8 KM working model in ESOC

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The purpose of the knowledge appraisal is: To have the knowledge ground to build a KM strategy specific for each professional community, knowledge area and knowledge field To define the “critical importance” of knowledge fields to achieve organization’s goals and evaluate their future importance To collect the knowledge gaps and to define a KM Strategy to reduce the gaps To verify the current level of knowledge coverage To identify the general and individual development needs and to plan development activities, such as: – Training/Coaching/Explicit and Tacit Knowledge sharing, etc To involve the Knowledge Area Leader in the development planning activities for professionals; To help the knowledge sharing and avoid knowledge monopoly in fewer people; To help the future development of knowledge required.

The knowledge appraisal process is carried out by the Knowledge Area Leader on its specific knowledge area. The valuation of knowledge criticality is based on the role’s feature and not on personal characteristic of each person. One important element for the criticality assessment of the knowledge field is represented by the knowledge life cycle. To facilitate the assessment, the Knowledge Area Leader have to identify the objects (methods, tools, formula, handbooks) that cover the knowledge. In the knowledge fields criticality and coverage assessment we consider also the common knowledge. The knowledge appraisal is done on two levels. The first level is done by the Knowledge Area Leader, it’s specific for each professional’s community member and evaluates: – Current and future criticality of the knowledge field – Coverage level – Suggestions: possible development action for the member and for the knowledge field The second level is done by the TD Community Owner and evaluates: – Current and future strategic criticality of knowledge area or of an aggregate of knowledge fields for the TD Community – Current life-cycle of knowledge area or of an aggregate of knowledge fields – Principal issues for the TD Community – Suggestions: possible development actions for the TD Community Results of the criticality and coverage analysis could be shown graphically in the fiur-quadrant matrix defined below in Figs. 9 and 10. Example of the matrix in a specific field is below as example of achieved results.

0

Stand by Area

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Need to be considered the potential criticality grow of these knowledge fields in the medium-long term

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Development actions are not necessary. Need to be considered re-alignment activities towards knowledge fields with higher criticality level

Fig. 9 Knowledge appraisal results

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Required investments in training, workshop etc. Need to be considered also possible knowledge capturing activities from outside (university, other area/agencies, etc)

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Excellence Area Development actions are required in order to maintain the current level of experts and be a point of reference for all ESOC. This area needs to become a distinctive identity element of ESOC within scientific community

X axis = reported the criticality evaluation results. This axis crosses at 6 where the Knowledge is evaluated as critical, because it has a direct effect on operational activities.

Y axis = reported the number of experts (who have received a coverage evaluation between 4–5). This axis crosses at 3, the minimum number of experts

The following slide illustrate a joint analysis of Coverage and Criticality appraisal in order to point out critical areas and suggestions for possible development actions, according to the position of each knowledge field in the matrix

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Fig. 10 Example of knowledge appraisal results

A simplified wiki based portal has been produced, as given in Fig. 11, that could become the front door for knowledge fruition and for collaborative knowledge building. The portal is compliant with the primary characteristics of a good wiki: simplicity in language and searching, collaboration, process management. As last step, an action plan has to be established and recommendations have to be expressed on:

r r r r

characterization of the communities results of Knowledge maps results of Technology and soft KM tools results of e-learning and portal pilot project

The KM action plan will define the activities for a full achievement of the KM strategy at specific and general level.

The Way Forward We have defined what are the KM role and responsibilities for individual teams in ESOC, but the real challenge comes in sharing amongst many teams. There are many problems to solve in this area, including human and cultural differences, organizational perspectives and sensitivity of information and technical challenges in sharing knowledge electronically. There are several activities on-going in ESOC related to knowledge management, amongst others different project Document Management Systems, which organize and administrate the use of project related document, the Lessons Learned Procedure, which documents the experiences coming from unexpected outcomes of

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Objectives and guide lines Knowledgeappraisal model Criticality evaluation method and process Coverage evaluation method and process

KM coverage and criticality appraisal

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a procedure or a task, the Project Reviews, which review the project throughout the lifecycle and in accordance to the guidelines and principles as laid down in the Policy for ESA Project Reviews. Moreover, primarily driven by the needs of the Rosetta mission to maintain the expertise over the long duration mission, the Rosetta Knowledge System has been developed and populated with all relevant information over the time and it is accessible to the project teams. Rosetta is an interplanetary mission launched in 2004 and planned to encounter the comet 67P/ChuryumovGerasimenko in 2014. Working in a satellite mission involves complex relations amongst different teams where each team is the holder of information and knowledge which is critical for the effective functioning of the overall body. Mainly because of the geographical distribution of the teams, there is a heavy use of emails. This is in favour of the information exchanges and communication, but on the other side generates a lot of information overload and it makes difficult the screening and classification of the information in a way that it can be more widely accessed and reused at later stage. Moreover, there is a difficulty in transferring the knowledge amongst different missions, difficulty in improving with systematic reviews the learning from past experiences, capturing tacit knowledge into documents, etc. A systematic review of past experiences is not always performed, or often there is no recording of the lessons in a way that as many people as possible find it accessible. For each mission a consistent set of documentation is available which is maintained under configuration control and regularly updated to reflect actual status. Generally these produced documents contain projects specific information, which cannot be immediately reusable by other projects or easily identified as applicable to other projects. Sometimes there is no systematic approach to the analysis of the information collected during lifecycle of a single project to allow drawing of inferences, which are more generally valid. The explicit knowledge related to design, specification of the developed systems is documented, but the know-how of the people is difficult to be captured. Current on-going ESOC KM activities include set up the KM organization, creation of technical knowledge maps, assessment of knowledge areas criticality, definition of a simplified wiki that will become the front door for knowledge fertilization and for collaborative knowledge building, building a prototype e-learning tool to describe in a very simple and evocative way the functioning of one technical area. Although significant progress has been achieved in the standardization of the terminology used to address space related subjects, still further work needs to be done for making it homogenous amongst the teams and to ease the retrieval of the relevant information in a timely fashion. Ontology might be helpful to provide quick access to the ESOC resources and to share knowledge by enabling users to easily find text files, databases and tools and to enable the ability of moving content to where it is needed most. Working on a satellite mission requires virtual teaming, learning lessons from the past, transferring knowledge from the experts and develop deep expertise. Knowledge Management System can provide the solutions to work across boundaries, identify and provide mechanisms by which the knowledge can be captured, shared and used to drive innovation.

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KM system could help by addressing and merging the social and technological aspects and by testing and proposing a new type of environment for the knowledge processes with social mechanisms supported by the required technologies. Social networks play a key role in the process of retaining and enhancing the knowledge. The KM system should be built upon existing capabilities and resources whenever possible (for example training programs, collaborative tools, document management systems, lessons learned, etc.) and deliver an integrated suite of processes and tools that are intuitive and easy to use by embracing information and knowledge between human actors and machine provided services. For satellite missions operations KM should achieve the following objectives:

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ensure an optimal interaction amongst different teams to obtain best quality information and documentation, develop a toolbox for knowledge management, verify proper application of standards pertaining to storage, retrieval, and archiving functions required for the mission data set, enhance the existing project directory, organize regular post-launch social events, possibly coupled with campaign/ anniversaries, allow post-launch developments, proficiency/cross training for all mission elements (payload instruments, ground segment, etc.), maintain a complete and organic photographic survey of spacecraft and payload, conduct videotaping during spacecraft/payload mission education workshops, apply Knowledge Book Principal (User Manual) for mission constituting elements and amend with special tools/systems where appropriate.

Virtual worlds are an emerging new space which could be used to understand and test the social interactions occurring during the day-to-day work and simulate the same effects. Objective of the KM system is also to create a test virtual environment with virtual rooms and populating it with the resources we need for the selected satellite mission. The characteristics of the new world are dependent on the constraints defined by the reality. Setting a working virtual environment (wiki based professional portals, webinar, virtual classroom, second life based meetings, etc) will increase the efficiency via reduced travel time, interact with more people, reduce costs by using emerging standards and infrastructure, better learning via interactive and immersive training sessions and seminars and improve creativity via rapid brainstorming sessions. The social network could be used to support mission modelling and preparation, simulation, collaboration, proposal development, training and event support and planning. The other objective of the work should be to prototype technologies to allow the computer to establish patterns of work, to model and represent the knowledge based on the patterns of work established through the social network. This should open the way to more advanced KM techniques, creating new trends, and new ways of working which could be of benefit for ESA. Social semantic tools, like collaborative

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filtering and desktop could be prototyped not only to extract the meaning of the sentence, but also to memorise the events, connect input and output establishing a richer and improved context for what has been captured. This should improve the knowledge management in particular supporting an intelligent retrieval, reuse of the knowledge and establish patterns. A number of new ways of exploring knowledge processes and mining techniques to create new relationships, to detect patterns, to establish trends and to create new concepts could be envisaged making use of the established social network.

Concluding Remarks Knowledge management has been acknowledged at ESOC to guarantee reliable and efficient execution of the responsibilities of the centre. This paper has described the method proposed to integrate the knowledge management in ESOC. The two most important driving factors for the introduction of knowledge management in ESOC are the efficiency and the decrease of the risks during the implementation of the responsibilities of the centre. A way to achieve these objectives is by establishing a standard and procedures for the management of the knowledge in the ESOC processes. When knowledge is shared appropriately amongst different organizations, the KM system increases the interoperability of space operations. Therefore, KM contributes to build and secure a prosperous society through the use of aerospace activities and contributes to advance the knowledge of our universe and to broaden the horizon of the human activities.

Index

A African water management, 58, 64 Applications into humanitarian aids using satellite technology, 431–450 C Constellation of Indian EO satellites, 40–41 Convergence of internet and space technology, 201–230 D Damage assessment, 46–47, 305–328, 332, 352, 389, 391, 394, 399, 401, 437, 505 The diffusion of information communication and space technology, 413–429 Digital divide, 199, 425, 428, 485–486 Disaster mitigation, 85, 291, 388 monitoring, 52, 305–328, 331–374, 458 Drought management practices, 387–389 risk reduction, 383–406 E Early warning and monitoring system, 392–393 Earth/Earth’s monitoring, 421, 423 water monitoring mission, 3–33 Environmental data dissemination, 291–303 EO (Earth Observation) 3–4, 9, 11–12, 17, 30, 31, 37–54, 59–60, 82, 104, 291–296, 303, 306, 307–308, 310, 318, 328, 332, 351, 365, 383–406, 415–418, 420–425, 428, 435, 436, 458, 468, 470, 472, 473, 475, 486–487, 500, 505, 506–507, 512–514, 518, 519–521, 532 for forecasting agriculture, 43–44

products, 47, 49–50, 52, 54, 383–406, 505 pyramid for holistic development, 37–55 European Space Agency (ESA), 3, 59, 75, 81–82, 106, 125, 150, 184, 308, 319, 331, 365, 513, 526 Space Operations, 525–529 G Geographic information systems (GIS), 41–50, 58–60, 62, 67, 105, 109, 110, 118, 309, 314, 331, 346, 389, 394, 395, 404, 415, 424, 501, 506–507 techniques, 331–374 Geonetcast Americas, 291–303 GEOSS (Global Earth Observation System of Systems), 52, 291–303, 306, 418, 422, 423, 427, 512–513 Global Navigation Satellite System (GNSS), 30, 89, 94–96, 257–258, 261–264, 269–271, 274, 276–278, 280–283, 286–287, 421–422, 475 Global resource management, 3–33, 37–55, 57–73, 75–97, 99–118 H Health divide between rural and urban areas, 159–178 forecasting services, 425, 425 Human settlement mapping, 433–435 I India/India’s Earth Observation, 37–55 as a space model, 453–480 Indian space-infrastructure, 486–487 Inflatable antennas, 233–253 ISRO (Indian Space Research Organization), 159–178, 458–463, 467, 478, 484–486

549

550 K Knowledge management, 525–480 N National development through space, 453–480 Natural disaster monitoring, 331–374 O Oil spill detection, 83, 99–118 Operational oceanography, 75–97 P Paradigms in water management, 57–73 Portable satellite-based personal communications systems, 233–253 Protection of coastal resources, 30, 101, 428 of marine resources, 30, 428 of terrestrial resources, 30, 428 R Remote sensing, 47, 58–60, 62, 86, 99–118, 305–310, 318, 331–374, 400, 415–416, 419 satellite, 40, 41, 46, 52, 54, 305, 310–311, 319, 320, 349, 352, 353, 384, 458, 465, 475, 477, 486, 507, 519–520 S Satellite applications, 460, 479 based telemedicine, 159–178, 497 communication network, 201–230 and sensors, 434, 435–447 technology, 431–450, 473, 486 Sentinel–3, 75–97 SMOS (SoilMoisture and Ocean Salinity), 3–33

Index Solutions in space medicine, 123–155 Space applications, 249, 417, 462, 470, 473, 507, 526 based capabilities for managing energy resources, 509–523 based societal applications, 483–507 communication systems, 180, 209–211, 215, 250, 415, 497–498 for energy, 509–522 in society, 413–429, 431–450, 483–507 solutions for terrestrial challenges, 123–155 for sustainable development, 38, 60, 63, 402, 413–414, 418, 427–428, 429, 470, 474, 489, 506 technologies for the benefit of society, 413–429 technology for disaster monitoring, 305–328 technology for mitigation and damage assessment, 305–328 technology for oil spill detection, 99–118 STWS (Space-Borne Tsunami Warning System), 257–287 System using commercial satellites, 291–303 T Tele-health applications, 123–155, 201–230, 233–253 Telemedical support for travellers and expatriates, 179–199 Telemedicine in India, 159–177 Telemedicine technologies, 146–155 TEMOS (Telemedicine for the Mobile Society), 179–199 Thriving in space, 130–132 Tsunami monitoring, 331–374

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