Nat Hazards

DOI 10.1007/s11069-016-2266-4

ORIGINAL PAPER

Flood-prone area delimitation using UAV technology,

in the areas hard-to-reach for classic aircrafts: case study
in the north-east of Apuseni Mountains, Transylvania

Gheorghe Şerban1 • Ioan Rus1 • Dan Vele1 • Petre Breţcan2 •

Mircea Alexe1 • Dănuţ Petrea1

Received: 19 June 2015 / Accepted: 23 February 2016

 Springer Science+Business Media Dordrecht 2016

Abstract In the delimitation of flood-prone areas, particularly in areas that are difficult to
access using traditional flight equipment, the most critical problem is the generation of a
high-quality DEM of the major and minor riverbed, in order to obtain several hydraulic
parameters (e.g., the surface of the drainage section, average water velocity) with equiv-
alent accuracy. The chosen area for the case study represents one with the greatest history
of hydrological risk factors in the Someşul Mic basin, given the extreme previous
hydrological events that have taken place (e.g., in the year 1995) as well as the limited
capacity of the river for upstream river flow, and to handle the volume of the flash floods.
In this study, the use of UAV technology coupled with Leica MultiStation for validation
made it possible to achieve this performance. Another advantage was the existence of the
hydrometric station situated in the middle of the study area, the information from which
was used for statistics, calibration of the measurements and validation of the results
obtained (roughness of the riverbed, the debit with an overflow possibility). The hydraulic
calculations performed on the 11 transverse profiles, conducted using the GIS terrain

& Gheorghe Şerban

serban@geografie.ubbcluj.ro
Ioan Rus
nelurus@geografie.ubbcluj.ro
Dan Vele
dan.vele@geografie.ubbcluj.ro
Petre Breţcan
petrebretcan@yahoo.com
Mircea Alexe
malexe@geografie.ubbcluj.ro
Dănuţ Petrea
dpetrea@geografie.ubbcluj.ro
1
Faculty of Geography, Babeş-Bolyai University, Clinicilor, 5-7, 400006 Cluj-Napoca, Romania
2
Department of Geography, Faculty of Humanities, Valahia University, Lt. Stancu Ion 35,
130105 Târgovişte, Romania

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model, led to the high accuracy defining of the flood-prone areas corresponding to the
flows in the major riverbed with probabilities of 1 and 5 %. Also highlighted on the 2D and
3D images were several civilian areas at risk in the case of extreme hydrological events,
related to maximum flow.

Keywords UAV  Transversal profile  Lymnimetric key  GIS  DEM  Flood-prone area

1 Introduction

Initial use of the UAV technology—unmanned aerial vehicle (UAS—unmanned aircraft

system) has been related to military applications and exercises, conducted in the United
States and other countries with high financial and technical potential. Gradually, UAV
technology has been deployed in more and more strategic areas of the civil sector, from
observing natural and anthropogenic events of risk to territorial management and deliveries
for commercial purposes, the latter being a new trend in using drones.
Hence, the advanced needs of mapping and monitoring, based largely on a multi-scale
analysis, have made possible frequent combination of images collected with UAV and
others with the help of satellites, in order to achieve various applications in photogram-
metry, mapping and 3D modeling (Eisenbeiss and Sauerbier 2011; Everaerts 2008;
Remondino et al. 2011; Steffen and Foerstner 2008; Sung Heuk et al. 2010).
On the other hand, many applications of light aircrafts techniques have been imple-
mented in forestry and agriculture, vegetation monitoring (Hunt et al. 2010; Sugiura et al.
2005) and in assessing the health of forests, with these involving the use of some advanced
electro-optical sensors with image acquisition in the near-infrared range (Watts et al.
2012).
Regarding the assessment of natural risk factors, and the management of crisis situa-
tions, UAV technology has been used more and more in studying landslides (Niethammer
et al. 2010, 2011), soil erosion (D’Oleire-Oltmanns et al. 2012), as well as in detecting fires
(Ambrosia et al. 2011; Watts et al. 2009) or monitoring the areas affected by earthquakes
(aftershock) (Baiocchi et al. 2013; Li et al. 2011).
Microscale remote-sensing technique can be successfully applied in monitor-
ing/surveillance of ground traffic, with estimated travel time, trajectories and occupancy of
lanes (Puri et al. 2007; Remondino et al. 2011) in monitoring air quality (Watts et al. 2012)
and in archeology and cultural heritage (Chiabrando et al. 2011).
In hydrology, many of the specialized studies follow the issues regarding the incipient
factors of flooding and their effects on the landscape. Within these, flood risk occupies one
of the first places in the concerns of researchers, with structural or nonstructural measures,
that need to be taken to mitigate it (Vârcol 1961; Pandi 2002; Stanciu et al. 2005; Arghius
and Arghius 2007; Vinet 2007; Gaume et al. 2009; Pătruţ 2010; Sarhadi et al. 2012; Cojoc
et al. 2015).
Satellite techniques, LIDAR, GPS and UAV, have become prevalent in conducting
research in the field, due to the ease of details and the provided speed. Largely, these
techniques are already being used in drawing small- and large-scale flood maps (Schumann
et al. 2007; Zwenzner and Voigt 2009; Şerban et al. 2009; Bhatt et al. 2011; Domeneghetti
et al. 2013). Other studies are organized near various hydraulic models, which are built
based on cartographic supports and aerial images at medium or high resolution (Sanders

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et al. 2005; Pappenberger et al. 2006; Neal et al. 2007; Vanderkimpen et al. 2009;
Chevereşan 2011; Altarejos-Garcia et al. 2012; Dutta et al. 2013).
Current trends are meant to direct research on torrential water courses, with hydro-
graphic basins frequently under 100 km2, which, along with some other courses known to
produce floods, pose high and continual problems on human society, which has developed
its habitat in the neighboring areas (Arghius 2007; Şerban et al. 2013).
Undoubtedly, UAVs can contribute to the improvement of this type of research, as it
ensures ease of use and high accuracy if they are properly equipped and calibrated, and can
significantly reduce the working time (Ellum and El-Sheimy 2006; Gerke 2008; Kerle et al.
2008; Choi et al. 2009; Roeoesli 2009; Sauerbier 2009). The efficiency of the obtained
high-resolution terrain models, along with precision hydraulic calculations, enables the
development of flood maps for areas with high vulnerability to flooding and with limited
accessibility. Also, performing more flights during overflows facilitates a better monitoring
of the flooded areas in order to make optimal decisions on managing the post-flood phe-
nomenon (Abdelkader et al. 2013, 2014; Hervouet et al. 2011; Horritt and Bates 2002;
Merwade et al. 2008; Taubenbock et al. 2011).

2 Hydrotechnical and hydraulic conditions referring to the studied area

The favorable conditions in the upper basin of the Someş Mic River, located in north-
eastern part of the Apuseni Mountains, allowed the building of a major hydrotechnical
installation, which highlight some of the existing natural potential in the area (Fig. 1).

Fig. 1 General map of upper Someşul Mic catchment area

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The 860 km2 in the section of the Gilău dam (lower limit of the studied basin) was
developed since the late 1960s, with the construction of four large reservoirs on the
Someşului Cald Valley (Fântânele, Tarniţa, Someşul Cald and Gilău) and several river
catchments and underground pipelines in the Someşului Rece basin, in order to supplement
the tributary flow into the four lakes in the area (Şerban 2007).
In the first stage (1968–1980), the largest reservoirs were completed, two on the
Someşul Cald River and one on the Someşul Mic. Lake Gilău was the first, opened in
1972, followed by Lake Tarniţa in 1973 and Lake Fântânele in 1976. Also, in the first
stage, work began on catchments and underground pipelines from the upper basins of Iara
and Someşul Rece rivers, with some of them being completed and put into use (Someşul
Rece II). In the second phase (1980–1990), all of the above-mentioned catchments and
underground pipelines began to be used, finalizing with the harnessing of the Someşul Cald
River, in 1983, and the exploitation of the Someşul Cald reservoir (Fig. 1).
The main axis of the intakes and culverts is Iara-Fântânele, with this system’s culvert
being 21 km long (Pop 1996). Of the 8 intakes found on this axis, one has a dam and a
reservoir (Someşul Rece I), foreseen with a drainage tap (drain trap) located on the left
bank, next to the dam. The rest of them are smaller and fitted with a complex water-capture
system (Tyrolese Kingston valve). The Iara-Fântânele culvert has a medium annual flow of
5.87 m3/s at its spill in the Fântânele reservoir. The flow has its origins in the upper basin
of the Iara River (1.78 m3/s) and from the upper basin of the Someşul Rece River
(4.09 m3/s), as shown in Table 1 (Şerban 2007).
The secondary intake and culvert axis is at Someşul Rece II (the Tarniţa underground
pipeline). This one supplements the flow in the Tarniţa reservoir, at intake and implicitly at
spill after gathering waters from the interbasinal space of the Someşului Rece River, which

Table 1 Multiannual average flow on the intakes from the basins of Iara and Someşul Rece (after ‘‘Someş-
Tisa’’ Water Basin Administration, Cluj)
Intake Surface Dam altitude Multiannual average
(km2) (m) flow (m3/s)

Răcătău 79 1010 1.52

Someşul Rece I 110 1035 2.29
Dumitreasa 13 1046 0.18
Negruţa 7 1055 0.10
Total basin Someşul Rece I 209 – 4.09
Iara 45 1075 0.95
Lindrul 4 1070 0.06
Şoimul 23 1065 0.52
Calul 12 1062 0.25
Total basin Iara 84 – 1.78
Total reservoir –Fântânele 293 – 5.87
Someşul Rece II 67 0.80
Total interb. Someşul Rece II 67 – 0.80
GENERAL INTAKE (on Tarniţa reservoir) 360 – 6.67

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is located below the aforementioned intakes. The medium multiannual flow rate of this
3-km-long culvert is 0.8 m3/s (Table 1).
Adding the multiannual average flow of the Iara-Fântânele underground pipeline to the
one on the Someşul Cald at the dam section (6.67 m3/s), one can observe an annual
average flow in the reservoir of 12.68 m3/s (almost half of the flow coming from the
system of dams and culverts).
Lying on the eastern boundary of the granitic pluton of Muntele Mare and the contact
with crystalline system (Serban 2007), the studied area shows a massive and a very
significant narrowing of the valleys, which are gorge-like almost their entire length, with
some small widening basins. This area is characterized by deep valleys, which makes
access along the valleys difficult using traditional aircraft (Fig. 2).
The map of this parameter, determined in ArcMap using an extension designed in our
institution (Babes-Bolyai University, Faculty of Geography) by Ferencsik in 2007, shows
values in excess of 500 m, at the confluence of Răcătău and Somes Rece valleys. Also,
measurements, calculated using the same program, of the distance between the peaks of the
valley, which could constitute obstacles to the aircraft, showed values between 983 and
1400 m.
On a microscale level, the study area corresponds to a narrow confluence basin (Fig. 2),
dug in crystalline schists, where the flows of the Răcătău and Someşului Rece rivers,
reestablished after upstream intakes, reconfigure the meadow, after every important flood.
Generally, the maximum recorded flow rates have medium probabilities of production (as
shown in Table 2); however, the reduced hydraulic capacity of the minor riverbed deter-
mines water meadow flooding at a 25 % probability, which in the case of other water
courses would raise some problems.
In December 1995, Răcătău and Someşul Rece rivers flooded three quarters of the water
meadows in the confluence area resulting in significant negative effects on local economic
and social components. The corner of the Măguri-Răcătău school building, located next to
the river Răcătău remained suspended at 1.5 m above the new thalweg of the river, due to
particularly strong vertical and right horizontal erosion (Şerban 2007). According to the
‘‘Someş-Tisa’’ Water Basin Administration, a water level of 265 cm was recorded,
exceeding the hydrometric rod danger level by 15 cm.
In these conditions, the above-mentioned institution, together with local authorities
proceeded to execute the embankment and strengthening of the banks of the left tributary

Fig. 2 The 3D model of the terrain, the depth of the relief fragmentation and the granite pluton
corresponding to the upper basin of Someşul Mic

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Table 2 Peak flows with runoff probabilities and coefficients of several floods in the basin (after ‘‘Someş-Tisa’’ Water Basin Administration, Cluj)
Hydrometric station 1970 1995 1997 1998

Q max Data P (%) Q max Data P (%) a Q max Data P (%) a Q max Data P (%) a

Smida – – – 108 December 24 4 1.29a 49.1 May 9 44 0.95 36.9 June 19 52 0.59
Poiana Horea – – – 36.1 December 27 42 0.79 19.2 May 9 72 0.84 11 June 19 89 0.60
Răcătău 16.4 August 8 82 56.5 December 27 24 0.42 21.6 May 9 70 0.93 18.5 June 19 78 0.47
Someşu Rece-uzină 50.9 May 12 48 – – – – – – – – –
Someşu Rece-sat – – – 98 December 27 20 0.22 32 May 9 62 0.30 57 June 19 46 0.25
a
Above par value drainage coefficient a is due to the preexistence of consistent snow cover
Italic fonts in the Răcătău hydrometric station indicate the hydraulic elements of the most destructive flash-flood for this area of Apuseni Mountains
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of the Someş Rece River, up to the altimetric level of the water meadow, on a distance of
about 400 m downstream from the confluence.

3 Methods and results

The study was conducted based on preliminary analysis of detailed cartographic materials
(topographic maps 1:5000, orthophotos).
The altimetry measurements made in the field using the UAV technology (quadcopter)
had the goal of achieving of a detailed digital terrain model, in order to develop highly
accurate flooding areas.
• Accuracy of 3D reconstruction (5 cm) is much higher than traditional photogrammetric
solutions.
• The final product (DEM, orthophoto) can be georeferenced and integrated into any GIS
or CAD application.
• This process allows accurate qualitative and quantitative approach (distance, area and
volume).
• The procedure is of noninvasive nature and is applicable in areas difficult to reach or
inaccessible by traditional technology.
The application of UAV technology has numerous benefits, including increased 3D
reconstruction accuracy, georeferencing and integration capabilities into any GIS or CAD
application, accurate qualitative and quantitative results, and its noninvasive nature which
allows it access to virtually any terrain, often inaccessible using traditional technology.
The UAV system that was used (Fig. 3) in this study has the following characteristics
and riggings:
• approximately 40-min flight autonomy;
• maximum flight level—250 m;
• 2.4-GHz frequency controller;

Fig. 3 The quadcopter used during the measurements

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• 1000-m radius controller action;

• total weight less than 1200 g;
• GPS;
• accelerometers;
• pressure sensors;
• compass—magnetometer.
The camera used was Cannon A810-type with the bellow characteristics:
• 16MP (effective resolution);
• standard lens;
• VisualSFM-modified software to correlate the onset of airspeed (intervalometer
progressive) and to correct errors of parallax and Barrel-type errors.
The captured photos (aerial photographs) have the following features:
• 1:1000 time for exposure;
• 1:2.8 aperture;
• 0.8- to 1.2-s shutter interval.
720 scenes were used, which were not preprocessed and which fulfilled the conditions
of sequence and overlapping—80 % on the OY axis and 60 % on the OX axis (Fig. 4).
Information processing was performed using open-source VisualSFM, and the mathe-
matical algorithm used to determine commonalities was the Daisy algorithm (Tola et al.
2010). It is based on the concept (logical) shown in Fig. 5.
The common points, after which the 3D scene is recomposed, are analyzed on the basis
of proximity, and in this way, pairs of identical pixels are set automatically. In this case,

Fig. 4 Detailed composite aerial image of the studied area achieved by UAV technology

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Fig. 5 The concept of the Daisy mathematical algorithm (after Tola et al. 2010)

the working procedure consisted of placement of landmarks (fiducial markers) whose

actual coordinates were accurate predetermined (reference point and the rod of the Răcătău
hydrometric station—Fig. 6).
The first processing step involved determining commonalities, on which one moved to
the realization of photogrammetric microtriangulation resulting the network (mesh). From
this point, the development of textures was possible, which helped the link of information
(in local coordinates) to the real Stereo 1970 Coordinate System by assigning Cartesian
coordinates X, Y and Z of the known fiducial markers (Fig. 7).
From this moment, the information could be exported to GeoTIFF format to obtain
high-resolution orthophoto and elevation model grid format, to integrate GIS data and
using them for subsequent determinations (calculation of surfaces, volumes, differences in
level, etc.). The achieved spatial resolution was 5 cm in the case of the digital elevation
model (DEM) grid and 7 mm in the DEM with .tiff extension. For advanced processing of
spatial data, AutoCAD and ArcGIS were used as appropriate software.
Processing the statistical data was performed using Microsoft Excel, SPSS and Hyfran.
Exceedance probability flows used to hydraulic calculation were Q5 % = 113 m3/s and
Q1 % = 200 m3/s; these were recorded in the section of hydrometric station, and the
methodology used was that of Pearson 3 (Bobee 1975; Constantinescu et al. 1956; Diaconu
and Şerban 1994) and Kriţki-Menkel (Constantinescu et al. 1956; Diaconu and Şerban
1994).

Fig. 6 Use of fiducial markers and the working UAV

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Fig. 7 Exportable work surface textures in high-resolution orthophoto and the 3D sketch of the study area,
in inset

Using the Arc Map module (the support grid), one proceeded to plotting 11 cross
sections at a distance not exceeding 25 m between them for the best possible accuracy in
interpolation of flooding zones (Fig. 8). In the first phase, these profiles were georefer-
enced in local coordinate for performing hydraulic calculations to scale regarding the
cross-sectional area of the river flow.
Average rates of water speed in the 11 sections were determined based on either the
relation Vm = f(H), in the rod section, or the Manning formula:
1 2=3
Vm ¼ Rh I 1=2
n
where
Vm average speed of water flow (m/s);
n Gauckler–Manning coefficient;
Rh hydraulic radius (m);
I the slope at the water surface level (m/m)

Fig. 8 Example of two cross sections (P1 and P3) georeferenced in local coordinates, with defined cross-
sectional areas, of 1 and 5 % probability of discharge

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In the second phase, hydraulic radius Rh was considered 0.9 from the average depth of
profile hmed. Hydraulic slope I was determined over land surveying and the Gauckler–
Manning coefficient ‘‘n’’ from the tables.
Georeferencing the cross sections, upon which were marked limits of water level at
Q5 % and Q1 %, in the Stereo 1970 Coordinate System and over overlapping this with the
relief model represented the last steps before determining the areas of flooding for the two
probabilities (Fig. 9).
Actual flooding areas were obtained through the ArcMap graphic interpolation between
the ends of the cross sections according to the slope elevation grid (Fig. 10).
After outlining both graphical areas, their spatial extent can also be determined:
• for Q5 %, S = 10,114 m2 P = 575 m;
• for Q1 %, S = 13159 m2 P = 601 m,
where

S Represents the flooded surface;

P Flooded perimeter
After studying the digital terrain model, created at a resolution of 0.05 m, with UAV
photogrammetric technology and the 11 transverse profiles across the major riverbed, the
question arose of whether the bank-slopings were made high enough to prevent flooding
and other associated effects. The minor riverbed reveals limited hydraulic capacity with
insufficient flow calibration with low probabilities. Almost all buildings, in the study area,
are at risk of flooding, in case of a flood flow exceedance probability of Q5 %, and,
especially, at a rate of Q1 %.

Fig. 9 Sample cross sections georeferenced in Stereo 1970 Coordinate System, overlapping the relief
model (under ‘‘Transparency … 50 %’’ of ArcMap ‘‘Effect’’ extension; this facilitates the interpolation
seeing the DEM in background)

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Fig. 10 Flooding areas at Q1 % and Q5 % before the confluence of the rivers Răcătău and Someşul Rece

In a simple calculation, 70 % of the area of land actually occupied by buildings is in

danger of being flooded at a rate of 5 % probability of discharge; at a rate of 1 % prob-
ability of discharge, the percent increase to 80 % (Fig. 11).
The most serious problem is the location of the local elementary school, which is
located exactly in the middle of the area covered by rapid flood water. The safety of the
140 pupils and the 30 teachers and support staff can be put in danger.
Also, several agricultural parcels (agricultural area is restricted in the area) represented
by local residents’ gardens are also vulnerable to flooding (Fig. 10).
Communication routes, represented by the county road, alongside electricity and tele-
phone networks are vulnerable to this phenomenon. In December 1995, they were heavily
damaged. Moreover, the National Administration ‘‘Romanian Waters,’’ together with the
National Institute of Hydrology and Water Management and its subsidiary the ‘‘Someş-
Tisa’’ Water Basin Administration, Cluj, has started a comprehensive development

Fig. 11 Flooding areas at Q1 % and Q5 % in 3D, before the confluence of the rivers Răcătău and Someşul
Rece

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program for the basin-flooding areas of Someş, with hazard maps and flood risk maps
being available to those interested on the institution’s Web site. The area of the present
study cannot be found, however, on the interactive map on site http://gis2.rowater.ro:8989/
flood/, but will probably become an area of interest for specialists in the near future.
Based on the input from several residents in the study area, it is inferred that they feel
protected by the upstream hydrotechnical works and improved minor riverbed. There is
however a certain percentage (about a quarter) of residents who realize that the risk of
flooding their households persists, particularly the elders, who live in the proximity of the
minor riverbed, who have lived different experiences of this kind over time.
The fortune of inhabitants was that floods with maximum flow of small probability have
not occurred in the past 30 years (Table 2). However, given the timing and development of
extreme hydrological events in recent times, we may even witness such events.

4 Conclusions

Developing flood areas is one of the major current issues, given the increasing frequency
and intensity of hydrological phenomena of risk. This action is imperative all the more so
as residential areas situated in the river valleys are affected.
UAV technology, applied in the developing of flood areas, has a great future in view of
its advantages, mostly when used in smaller areas, but very sensitive and not accessible
with classic aircraft (Fig. 6 inset).
The benefits of applying this technology are as follows:
• 3D reconstruction process based on UAV technology (drone) and the interpolation
algorithm ‘‘Daisy’’ is cheap, relying on open-source solutions.
• Accuracy of 3D reconstruction (5 cm) is much higher than traditional photogrammetric
solutions.
• The final product (DEM, orthophoto) can be georeferenced and integrated into any GIS
or CAD application.
• This process allows an accurate qualitative and quantitative approach (distance, area,
volume).
• The procedure is of noninvasive nature and is applicable in the areas difficult to reach
or inaccessible by traditional technology.
Some disadvantages of applying this technology are as follows:
• Flight cannot be executed in conditions of winds over 60 km/h and in unfavorable light
conditions; for this study, the flight was executed in calm weather conditions.
• Flight autonomy is relatively low on battery unit (under 40 min), to avoid system
collapse and recording significant damage; instead, there can be bought more batteries
to change them at every 30 min.
• Low environment temperature is unfavorable, resulting in faster battery consumption;
the measurements in this study were carried out at the end of April, when plants were
not in their vegetative phase, the sky was clear, and the temperature reached a
maximum of 20 C.
• Significant hardware resources are required in processing data: in this case, a computer
system with an Intel i7 processor, 16 GB RAM and a 256 GB SSD.

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The time elapsed in the post-planning period showed that feed pipes and catchments do
not constitute flood protection for downstream villages. The 1.52 m3/s captured, on
average, in the upper basin of the Răcătău River and even the maximum of 5 m3/s cannot
significantly reduce the rates of floods and flood risk in the event of floods with maximum
flows, whose probabilities to excess is below 25 %. The flood of December 1995 was hard
to forget for residents in Măguri-Răcătău, both on Răcătău and on Someş Rece valleys.
The identification of high-risk areas could contribute to the sustainable development of
the communities by reducing potential damage, following the enforcement of restrictions
regarding the location of various buildings in these areas.

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