The International Standards of Supreme Audit Institutions, ISSAI, are issued by the International Organization of Supreme Audit

Institutions, INTOSAI. For more information visit www.issai.org

INT OSAI Appendix to

ISSAI 5540
 1

Appendix 1: GEOSPATIAL DATA AND WHERE THEY CAN BE FOUND

1. Types of Geospatial Data

1.1. Vector and raster data

Geospatial information is information about a specific location on earth. To be able to visualise this
information on a map or analyse this information in a Geographical Information System (GIS), information
is needed on the specific location of a municipality on the Earth’s surface (where can it be found?). To define
a specific location on the Earth’s surface, coordinate systems have been introduced: for instance the metric
coordinate system (X and Y, longitude and latitude). When information is available about a certain location,
the information can be linked to that location by using coordinates.

Maps are used to represent the earth in a convenient format, like a road map that is used for navigating to a
specific destination. The scale or level of detail of a map depends on the purpose the map is used for. For
instance, when a map is needed of the population density of the earth, a map with a low level of detail is
sufficient, when information is needed on a street level – for navigating purposes - a more detailed map is
needed.

Depending on the level of detail of a map a municipality can be represented by a single point (or one specific
combination of coordinates) or an area with its boundaries being defined by a number of points or a
combination of coordinates. A river would then be represented as a combination of points forming a line on a
less detailed map and as an area with a distinct boundary on a more detailed map. When objects or
geographical phenomena are represented as single or multiple points, they are called vector data.

Geographical phenomena can also be represented by cells in a raster format. The area is then divided into
rows and columns with equal cells or pixels (e.g. like an excel-sheet) with each cell having a certain value. If
a municipality is represented in this raster format, then on a less detailed map it can be a single cell and on
more detailed map it could be represented by a number of cells indicating what area it occupies on the map.
Satellite and airborne imagery are always in a raster format. See table 1: “Spatial data types” and figure 1:
“Vector and raster data model” below.

Table 1 - Spatial data types

Spatial data types
Type Definition Less detailed map More detailed map
Vector data Points and connection of points (lines
and areas) with coordinates
Point Single combination of coordinates Municipality School building
(city)
Line Combination of points forming a line Railway, river, Local road, small
highway river
Area or Province or Municipality, land
polygon county, forest, parcel, park
sea, lake
Raster data Area is divided into regular cells
(pixels) with certain size
 2

In the following figure the differences between the two types of spatial data (vector and raster) are illustrated
(v. Westen, 2010).

Figure 1 - Vector and raster data model

1.2. Remote sensing data

Remote sensing data are data from the Earth’s surface obtained by sensors placed on satellites or aircrafts.
These sensors can be passive, meaning they measure and record the energy provided by the Earth itself
(reflection of the sun for instance) or active, meaning they have their own source of energy. (ITC, 2004).

Figure 2 - Examples of remote sensing

If detailed information of a smaller area of the Earth’s surface is needed, then the distance of the remote
sensor and the surface of the Earth should be shorter (low or medium Earth orbit) then when continuous
information of a large area is needed (high Earth orbit). For instance sensors used for continuous measuring
of the climate (meteorological satellites) are on satellites in high Earth orbit and sensors taking images for
military and security objectives are on satellites in low Earth orbit.
 3

When remote sensors have obtained information from the Earth’s surface, it is still in the form of raw data:
the data have to be processed and analysed before an image can be produced.

2. Where can geospatial data be found?

The information needed to make decisions often contains geospatial information, but where can this
information be found? More and more geospatial information is available and published in books,
newspapers and on the internet in statistics and (interactive) maps. The sources of this information are
various. In this paragraph three sources are further described: statistics and databases of public entities,
information derived from remote sensing and voluntary geospatial information.

2.1. Statistics and databases of public entities

Public entities have a mandate and responsibilities for specific tasks and jurisdiction for specific
geographical areas. They need information to execute their tasks. Part of the information needs of public
entities consist of geospatial information ranging from the boundaries of their jurisdiction, or physical data
such as information on roads, buildings, rivers and mountains to information about the population and their
socio-economic status. Geospatial information is usually gathered, maintained and analysed by a national
statistics institute or land administration agency. But also ministries and local government entities gather,
maintain and analyse geospatial information. The ministry responsible for forestry management for instance
needs to have information about the location of forests, the type of forests, the species living in forests, the
economic rights (logging rights) provided to logging companies, etc. Municipalities for instance need
geospatial information for urban planning purposes.

Auditors should be aware that not all relevant geospatial information is made available by public entities.
Much of the information that is gathered, maintained and stored by public entities is geospatial information
but not acknowledged as such or could easily be transformed into geospatial information by adding
coordinates (for an example see Appendix 4 to this ISSAI).

At present there are many initiatives by national governments, intergovernmental organisations in the UN
structure and the European Union to stimulate open access to spatial data. Intergovernmental organisations in
the UN structure have started the UN Spatial Data Infrastructure (UN SDI) programme to create an
infrastructure for the exchange and sharing of spatial data.1 This initiative is also backed by the United
Nations Office for Outer Space Affairs and the International Charter "Space and Major Disasters". The
European Union stimulates the creation of an infrastructure for spatial information in Europe to support
Community environmental policies, and policies or activities which may have an impact on the environment
by its INSPIRE Directive.2 On a country level, there are many open data initiatives in which public entities
make their data and information (including geospatial information) publicly available to enhance
transparency and accountability (see Appendix 2 paragraph 2.3).

1
http://www.ungiwg.org/about.htm.
2
http://inspire.jrc.ec.europa.eu/.
 4

2.2. Remote sensing

One method of acquiring geospatial data is via remote sensing. Remote sensing uses instruments, techniques
and methods to observe the Earth’s surface from a distance and to interpret the images or numerical values
obtained to acquire meaningful information of particular objects on Earth (Buiten & Clevers, 1993). Imagery
taken from aeroplanes or from satellites is an example of remote sensing data. Information from the Earth’s
surface is obtained by sensors placed on satellites or aircrafts. Examples of satellite imagery can be found on
publicly accessible platforms like Google Maps and Google Earth3 or Microsoft Bing maps4. These
platforms provide the possibility to navigate the earth’s surface by combining satellite and airborne imagery
with street map information and additional information like photos, videos and remarks by travellers or
companies. See below an example of the Google Maps platform: on the left a street map of Liberty Island
with the Statue of Liberty (New York, United States) and on the right the same island on satellite imagery.

Figure 3 - Liberty Island, street map Figure 4 - Liberty Island, satellite image

Source: Google maps (street map view and satellite view)

2.3. Voluntary geospatial information

Platforms like Google Maps and Bing Maps provide the possibility to upload your own information like
remarks, photos and videos about certain places you have visited or observed (restaurants, tourist attractions,
but also disaster areas) and link it to certain locations by using coordinates. This linking of information to a
location is also called “geo-tagging”. The information you upload can be shared with the people you select or
with everybody that is using these platforms.

In the Field Guide to Humanitarian Mapping of Mapaction (Mapaction, 2011) information is provided on
how to upload geospatial information and how to map it in Google Earth.

Another way of creating and sharing your own geospatial data is via community based mapping. Via
community based mapping, maps of countries and areas are created, based on voluntary geospatial

3
Google Earth has to be downloaded and installed on a personal computer from http://www.google.com/intl/en/earth/download/ge/,
Google Maps can be accessed via http://maps.google.com/.
4
http://www.bing.com/maps/.
 5

information. Examples are Ushahidi5, a platform used ‘for democratizing information, increasing
transparency and lowering the barriers for individuals to share their stories’, OpenStreetMap6 and
ArcGIS.com7 which provide a platform for producing basemaps of countries based on voluntary geospatial
information. They are also dedicated to mapping specific situations, such as the aftermath of a disaster (see
Appendix 3 paragraph 2.3).

2.4. Global Positioning System (GPS)

To be able to link information to a specific location on a map coordinates of that location are needed. These
coordinates can be obtained by using a GPS-device: a device that can find the exact location by
communicating with a United States network of satellites called the Global Positioning System (GPS). The
GPS-device receives signals from the satellites of the GPS-network. Because the position of those satellites
is known, the GPS-device can calculate the distance between the position of the GPS-device on the surface
of the Earth and the satellites8. This is the same technology used by a navigation device in a car: the
navigation device locates the position of the car on a street map by receiving signals from satellites and
calculating the distance between the car and the satellites.

With the introduction of smart phones and tablets that contain a GPS-receiver, the possibility of “geo-
tagging” information and thus creating voluntary geospatial information has increased enormously and has
become available to many persons without the need of professional equipment or knowledge. Reference is
made to the Field Guide to Humanitarian Mapping of Mapaction (Mapaction, 2011) that provides some basic
information on how to use a GPS-device.

2.5. Quality issues of geospatial information

Like with any other information, the quality of geospatial information depends on the internal quality (of the
producer of the information) and external quality (perspective of the user of the information). From a
producer’s perspective the quality of information is determined by accuracy, consistency and completeness,
from the perspective of the user quality is determined by the match between the information and the needs of
the user (accessibility, relevance, completeness, timeliness, ease of understanding and costs).
Whereas one or two decades ago spatial data was produced by a limited number of producers for a limited
but well-known market of knowledgeable users, nowadays there are many producers and users of geospatial
information some of whom are experts but most of them are not. The distinction between producers and
users has faded away, due to the fact that geospatial information can be created, uploaded and shared by
anyone with an internet connection and a GPS-device (see paragraph 2.4 above). Furthermore, geospatial
information has become widely available for use but also for re-use in situations for which the information
was not intended originally. It is therefore important to be aware of and assess the internal and external
quality of geospatial information before using it in audits: the findings and judgement of auditors should
provide assurance and therefore must be reliable. (Stein et al., 2009)

5
http://ushahidi.com/.
6
http://www.openstreetmap.org/.
7
http://www.arcgis.com/home/webmap/viewer.html.
8
To obtain an exact location it is necessary to receive a signal of at least three satellites.
 6

Before using geospatial information from available sources, auditors should assess the quality by looking
into the metadata (data about the data) and get a common knowledge of the production process of the
information (how was the information gathered, with what purpose, …). Auditors should assess whether the
information available will meet the needs of the specific audit it will be used for.
For information obtained from remote sensors it is important to realise that there are a number of factors that
have a direct influence on the quality and final result, like the type of sensor, the resolution, the weather
conditions (reflection of sunlight, cloud cover), direction or angle of the sensor, etc. The availability of
satellite imagery on publicly accessible platforms on the internet does not mean that this imagery can be used
for all purposes. For instance, it is not always clear when the image was taken and it is not even always clear
if the information displayed is derived from one image or from more.

Obtaining information of the Earth’s surface from above, also leads to limitations in the information value: a
roof of a house can be detected, but not whether the house is damaged or occupied (at least not likely). When
auditors want to have a high level of certainty of the information they use, they should use geospatial
information from multiple sources: above the ground and on the ground.
When using or gathering geospatial information on the ground (or in the field) with a GPS-device, it is
important to assess the accuracy of the GPS-device and of the quality measures in the production process.
The signal that a GPS-device receives can be distorted by many factors, like trees, buildings and a limited
amount of available satellites. Reference is made to the Field Guide to Humanitarian Mapping of Mapaction
and Appendix 5 to this ISSAI for practical guidance on using a GPS-device for gathering geospatial
information.
 7

Appendix 2: USING GEOSPATIAL INFORMATION IN THE PUBLIC DOMAIN

1. Increasing use of geospatial information in the public sector

The use of geospatial information and GIS in the public sector has increased due to a number of reasons. One
of the main reasons is the extent and complexity of information that has to be considered and analysed whilst
making decisions. Many decisions need geospatial information and a GIS supports the analysis of geospatial
information. The use of geospatial information in the public sector has also been stimulated by the increase
of computer and server capacity (for storing and handling data) at decreasing prices and the fact that GIS-
software has become more customer-friendly.
There are many policy areas in which geospatial information plays a crucial role in the various stages of the
policy-cycle: identifying the agenda of a public entity (problem identification), setting policy objectives and
formulating measures to be taken, implementing policy measures and finally monitoring and evaluating with
the aim of assessing whether the measures taken are implemented and leading to the desired results. The
range of policy areas in which geospatial information can be used by public entities is vast: natural resource
management, environmental protection, economy, education, security, water management, healthcare, etc. In
Chapter 3 of ISSAI 5540 (and Appendix 3) the use of geospatial information in disaster management is
described.
In general terms, geospatial information can be used for assessing the spatial distribution of societal
problems, for verification and detection and for transparency and accountability, as is further discussed
below, including some examples.

2. Examples of using geospatial information in the public sector

2.1. Assessing the spatial distribution of a societal problem

Public entities – as a result of their tasks and responsibilities to serve the public – have a need to understand
society and its environment. Using geospatial information can increase this understanding. For instance
where does environmental pollution or degradation take place with which consequences? Where is crime and
victimization concentrated? Geospatial information provides insight in the spatial distribution of these
problems and challenges and can therefore assist public entities in developing and implementing an adequate
response (where do we need to take action?).

The availability of remote sensing information has made it possible to monitor the Earth’s surface and
provide insight in the spatial distribution of changes in land cover and land use, for instance monitoring the
state of the world’s forests.

Monitoring deforestation and the state of the world’s forests9

Due to many factors the world’s forests have decreased considerably the last decades. In many international
agreements targets and goals have been set to slowdown deforestation and to recover forests. To be able to

9
http://www.fao.org/forestry/fra/fra2010/en/.
 8

monitor progress towards these international set goals and targets – among others set in the Millennium
Development Goals, the 2010 Biodiversity Target of the Convention on Biological Diversity and the four
Global Objectives on Forests of the Non-Legally Binding Instrument on All Types of Forests adopted by the
United Nations General Assembly in January 2008 – on instrument has been developed using remote sensing
and other types of geospatial information: Global Forest Resources Assessments. The Global Forest
Resources Assessments are led by the Food and Agriculture Organization of the United Nations (FAO) and
examines the current status and recent trends for about 90 variables covering the extent, condition, uses and
values of forests and other wooded land, with the aim of assessing all benefits from forest resources. For the
Global Forest Resources Assessment 2010 information has been collated from 233 countries and territories
for four points in time: 1990, 2000, 2005 and 2010.

Figure 1 - Results Global Forest Remote Sensing Survey 201010

Source: FAO

Geospatial information can also be used for insight in problems on a national or even local level. For
instance, geospatial information is used to get insight in the spatial (and time) distribution of crime and
victimization. Geospatial information helps to identify and analyse high concentrations of crime or criminal
activity (crime hot spots), and helps to understand the causes and to take effective (preventive)
measures.(USDJ, 2005)

Crime mapping and hotspot analysis11

‘Crime is not spread evenly across maps. It clumps in some areas and is absent in others.’12 In the area of
crime fighting – like many other policy areas – a risk-based approach has been introduced to become more
efficient and more effective. Common knowledge of civilians and police officers about where crime and
victimization take most place has been supported by using geospatial information and GIS. GIS is used to get
insight by mapping the spatial (and time) distribution of crime and victimization. The location of high
concentrations of crime or criminal activity is referred to as hot spots, being an ‘area that has a greater than

10
http://foris.fao.org/static/data/fra2010/KeyFindings-en.pdf.
11
U.S. Department of Justice, National Institute of Justice (2005), Mapping Crime: Understanding Hot Spots, John E. Eck,
Spencer Chainey, James G. Cameron, Michael Leitner,and Ronald E. Wilson.
12
U.S. Department of Justice, National Institute of Justice (2005), Mapping Crime: Understanding Hot Spots, John E. Eck,
Spencer Chainey, James G. Cameron, Michael Leitner,and Ronald E. Wilson, p1.
 9

average number of criminal or disorder events, or an area where people have a higher than average risk of
victimization.’13 Identifying and analysing these crime hot spots helps to understand the causes and to take
effective (preventive) measures. See below an example of a crime map (left) and hot spot analysis (right) for
vehicle crime14.

Figure 2 - Crime map, vehicle crime Figure 3 -: hot spot analysis, vehicle crime

Source: US Department of Justice.

2.2. Verification and detection

When public entities have taken measures they want to make sure that the desired results will be/have been
realised. When the measures taken are directed to a certain geographical area, then geospatial information
can assist in assessing whether the desired results have been realised. For instance when funds are provided
to European farmers to stimulate their good management of agricultural lands, satellite images,
administrative controls and field inspections can provide assurance that the provided funds are well spent.
The same tools can also detect whether misuse or fraud has taken place. Satellite imagery are also used to
detect breaches of environmental laws and regulations, like the Marine Pollution Treaty that is directed at
preventing amongst others (unintended and illegal) oil spills by ships (ISPL, 2012).

13
U.S. Department of Justice, National Institute of Justice (2005), Mapping Crime: Understanding Hot Spots, John E. Eck,
Spencer Chainey, James G. Cameron, Michael Leitner, and Ronald E. Wilson, p1.
14
U.S. Department of Justice, National Institute of Justice (2005), Mapping Crime: Understanding Hot Spots, John E. Eck,
Spencer Chainey, James G. Cameron, Michael Leitner, and Ronald E. Wilson, p. 34.
 10

Verification of agricultural policy

Monitoring Agriculture through Remote Sensing (MARS) is a long-term project that has provided technical
support and expertise to the European Commission’s Directorate-General for Agriculture (DG VI) over
several decades. The programme supports decision-making at European level, providing statistical input to
implement the Common Agricultural Policy (CAP) and other activities of the Directorate-General for
Agriculture. MARS has developed and implemented new remote-sensing methods and tools specifically for
agriculture. They include measures to combat fraud in the implementation of the CAP (remote sensing is
used to validate farmers’ declarations of planted crops and acreages), measures to optimise the allocation of
agricultural and environmental subsidies, and measures to monitor crops and yields using agro-
meteorological models and low resolution remote sensing methods, and area estimates using high resolution
data combined with ground surveys.

With remote sensing data (satellite or airborne imagery) it is possible to verify if the amount of hectares
declared by the farmer is correct. This is done by combining imagery with the Land Parcel Information
System as is shown in the example below.

Figure 4 - Explanation of the Control with Remote Sensing data method

Source: Joint Research Centre of the European Commission15.

With remote sensing data also the amount and type of crops the farmer has declared can be verified through
specific sensors (e.g. infrared) as is shown in the example below.

15
JRC (2005), Training Control with Remote Sensing Programme, an introduction to CwRS and image acquisition, 2nd March
2005.
 11

Figure 5 - Example of a crop check as part of the Control with Remote Sensing data method

Source: Joint Research Centre of the European Commission16.

Detecting of (illegal) oil spills17

‘Coastal States require reliable, swift and clear information regarding pollution incidents. For monitoring and
surveillance purposes, oil spills have to be detected and located in a very short time, across a wide sea area,
during day and night and independently of the weather conditions. Once a pollution incident has been
identified, it has to be classified and quantified with the best possible accuracy. Remote sensing of the sea
surface can be performed from aircraft and from satellite. Due to the very wide area coverage offered by
Earth observation satellites, they can provide a cost efficient means to complement and optimise the cost
intensive aerial surveillance performed by patrol aircraft. The satellite data gives an indication of a pollution
incident and therefore where surveillance flights can be directed for further investigation.
Against this background the European Marine Safety Agency (EMSA) developed the CleanSeaNet (CSN)
service; a satellite based monitoring system for marine oil spill surveillance and detection in European
waters. The service provides rapid delivery of oil spill alert information and satellite images to its Member
States. CleanSeaNet offers all EU Member States, Candidate countries and EFTA Coastal States (hereafter
referred to as Coastal States) a near real time (NRT) marine oil spill detection service using radar satellite
imagery.’
Radar technology is an example of an active sensor that sends energy to the Earth’s surface and then
measures the reflection time of the energy by the Earth’s surface. It is therefore not depending on daylight,
Radar sensors are also able to receive the reflection of the energy that was sent to the Earth’s surface through

16
JRC (2005), Training Control with Remote Sensing Programme, an introduction to CwRS and image acquisition, 2nd March
2005.
17
https://portal.emsa.europa.eu/web/csn.
 12

cloud cover and is therefore also not depending on weather circumstances. See below an example of a
detected oil spill.

Figure 6 - Oil spill detection

Source: CleanSeaNet

SAR image data is able to detect ships and quite often their wakes. In order to identify vessels suspected of
causing pollution, traffic monitoring information from AIS (Automatic Identification Systems) and LRIT
(Long Range Identification and Tracking) data is necessary. In this example an illegal oil discharge was
detected in this CleanSeaNet satellite image acquired in June 2009 off the coast of Spain. The polluting
vessel was also detected in the SAR image. Vessel track information taken from the SafeSeaNet AIS
database identified the ship responsible for causing the pollution.

2.3. Transparency and accountability

Geospatial information can also be used for transparency and accountability purposes: where do funds go to,
how have funds provided been spent and with what results? There are a number of national and local
governments that provide open-access data on their expenditures. An example is for instance the UK
government via its website www.data.gov.uk. The UK government also links expenditures to location and
enables mapping of expenditures by location. Another example of this use of geospatial information is the
recovery.gov website of the United States government. The Recovery.gov website 18 was created to show the
American public how funds distributed under the Recovery act are being spent by recipients of contracts,
grants, and loans, and the distribution of Recovery entitlements and tax benefits. The website provides

18
http://www.recovery.gov/Pages/default.aspx.
 13

insight in the distribution of funds and provides for instance the possibility to its users of searching for
projects in a specific area by ZIP code, a geographical code linking project information to a specific area.
The website also provides the possibility to its users to report fraud, waste and abuse thus enabling citizens to
assist government in monitoring the spending of the Recovery funds. See below for examples of the
recovery.gov website.

Figure 7 - Examples from the Recovery.gov website

 14

Appendix 3: THE USE OF GEOSPATIAL INFORMATION IN DISASTER MANAGEMENT

1. Disaster risk reduction

1.1. Data requirements

As already mentioned in chapter 3, the starting point for disaster risk reduction is that information is needed
about the hazards that are likely to occur including their location, the elements that are at risk when hazards
materialise into disaster events and the vulnerability of society and the critical infrastructure that will be
exposed to the consequences of the disaster. The data required thus concern the geographical distribution of
hazards and the specific characteristics of hazard-prone area(s). These characteristics can be assessed with
the following data:
 Baseline data on administrative boundaries, the distribution of settlements, demographic and socio-
economic data (population distribution by age, sex, income, education, etc.), amenities (rescue
services and evacuation locations);
 Utility and infrastructure data (transport network, dams and canal network, cadastral data, utility
networks);
 Terrain and natural resources (elevation and slope, land use, forestry, geology (for instance faults),
soil, river and drainage networks, geomorphology, watersheds. (JB GIS, 2010; WG AADA, 2010)

The sources for these data could be numerous: ministries, land administration agency, national statistics
institute, private companies and universities. This means that in most countries these data will be fragmented
and have to be shared and exchanged actively between the various organisations (public and private entities)
that have a role in disaster management. The implementation of spatial data infrastructures facilitates the
exchange of geospatial data and information. Another way of bringing together fragmented data and
information that is necessary for disaster management is the use of disaster management information
systems.

Spatial Data Infrastructure (SDI)

The use and exchange of geospatial information in disaster situations is facilitated, nationally and
internationally, by initiatives and programmes on the harmonisation of geospatial data and the building of
"spatial data infrastructures". "A spatial data infrastructure is the foundation or basic framework (e.g. of a
system or organization) with policies, resources and structures to make spatial information available to
decision makers and the community when they need it, where they need it and in a form where they can use
it (almost) immediately." (Westen, 2009)

Spatial data infrastructures have been developed and implemented in various countries under the impact of
laws and regulations. These include the European Union's INSPIRE Directive of May 2007, which aims to
establish an infrastructure for spatial information in Europe to support Community environmental policies,
and policies or activities which may have an impact on the environment19. The INSPIRE geoportal20 also

19
http://inspire.jrc.ec.europa.eu/index.cfm.

20
http://inspire-geoportal.ec.europa.eu/.
 15

provides access to geospatial datasets and spatial data services of EU Member States. The United Nations
Geographical Information Working Group (UNGIWG) has meanwhile taken the initiative to establish a
spatial data infrastructure for the exchange and application of geospatial data and information for UN
activities, such as maintaining peace and security, addressing humanitarian emergencies and contributing to
the realization of the UN Millennium Development Goals21.

Disaster management information systems

When a disaster strikes, it is crucial to obtain a common operational picture of the area affected, the extent of
the damage, the possibility of further damage and the immediate needs of the affected population. This
information should be linked with information about the resources that are available to address the
population's needs and prevent further damage: the location of search and rescue teams, fire brigades, police
stations, military bases, hospitals, food and medicine storage depots, etc. Disaster management information
systems are essential for this purpose. Geospatial information increasingly has a central place in these
systems, which may exist at national or organisational level.

The Disaster Management Information System (DMIS) of the International Federation of Red Cross and Red
Crescent societies (IFRC) "is a web-based working tool made accessible only to Red Cross and Red Crescent
staff working in National Societies, delegations and Geneva headquarters. It is a system from which users
will be able to access:
 real time information on disaster trends
 online internal and external resources
 tools and databases" .
22

1.2. Hazards

“Each hazard is characterized by its location, intensity, frequency, probability, duration, area of extent, speed
of onset, spatial dispersion and temporal setting.” (Westen, 2009) The key consideration in determining
whether a disaster has occurred is the impact on human beings, either directly (injuries, casualties, damage)
or indirectly (environmental degradation, for instance).

The main classification method for hazards and the disasters resulting from them is based on the distinction
between natural and human-induced/human-made hazards (Westen, 2009):
 Natural hazards are natural processes or phenomena within the earth's system (lithosphere,
hydrosphere, biosphere or atmosphere) that may constitute a damaging event (such as earthquakes,
volcanic eruptions, hurricanes);
 Human-induced hazards are modifications of natural processes within the earth's system
(lithosphere, hydrosphere, biosphere or atmosphere) caused by human activities which
accelerate/aggravate damaging events (such as atmospheric pollution, industrial chemical accidents,
major armed conflicts, nuclear accidents, oil spills);
 Human-made, or technological, hazards are dangers originating in technological or industrial
accidents, dangerous procedures, infrastructure failures or certain human activities, which may cause

21
http://www.ungiwg.org/ and http://www.unsdi.nl/.
22
http://www.ifrc.org/en/what-we-do/disaster-management/.
 16

loss of life or injury, property damage, social and economic disruption or environmental degradation
(industrial pollution, nuclear activities and radioactivity, toxic waste, dam failures, and transport,
industrial or technological accidents (explosions, fires, spills)).

Geographical distribution of hazards

Natural disasters occur in many parts of the world, but the same types of disaster do not occur everywhere:
the geographical distribution of a number of major hazards, such as earthquakes, volcanoes, tropical storms
and cyclones, varies, as can be seen from hazard maps:
 “Earthquakes occur along active tectonic plate margins, and volcanoes occur along subduction zones
(e.g. around the margins of the Pacific plate, so-called ‘Ring of Fire’).
 Tsunamis occur in the neighbourhood of active plate margins, but also at a considerable distance
from these as tsunami waves can travel over large distances.
 Tropical cyclones (in North America called ‘hurricanes’ and in Asia called ‘typhoons’) occur in
particular zones.
 Landslides occur in hilly and mountainous regions.” (Westen, 2009)

A number of hazard and risk maps available on the Internet provide information on the likely location of
hazards. Examples include Munich RE's Nathan World Map of Natural Hazards23 and the UNISDR Global
Risk Data Platform, the latter offering the possibility of mapping hazards, risks and impact on a country
level.

1.3. Exposure/elements at risk

Once hazards have been identified and mapped, the next step is to assess the exposure of people and assets to
the consequences of an event like an earthquake or flood in a defined geographical area. Impacts of natural
hazards can cause direct economic damage – the reconstruction or replacement value of damaged structures
– as well as indirect damage such as lost income while productive assets are unusable. The location of
physical structures also provides an indication of human exposure. The presence of homes or office buildings
in hazard zones suggests that people are probably at risk of injury or death – either directly, by the hazard
itself, or indirectly, should, for example, a building collapse. (European Union & World Bank, 2011)
Geospatial information can assist in determining which people and assets, such as houses and infrastructure,
are at risk. In the example below, data on the location of houses (elements at risk) are overlain by data on the
area at risk of flooding (hazard). The overlay shows which houses are situated in the risk area. In GIS terms,
the data layer "houses" (building footprint) is overlain by the data layer "hazard" (hazard footprint).

23
http://www.munichre.com/publications/302-05972_en.pdf [registration is required].
 17

Figure 1 - map overlay

1.4. Vulnerability

After the identification of hazards and elements at risk, it is necessary to assess the vulnerability of the
elements at risk. Vulnerability refers to the conditions determined by physical, social, economic and
environmental factors or processes, which increase the susceptibility of a community to the impact of
hazards. It is the susceptibility to suffer damages or the intrinsic fragility of exposed elements, systems or
communities that favours loss when affected by hazard events. It includes also the lack of resilience that
influences the capacity to anticipate, cope with, resist, respond to, and recover from the impact of a physical
event. Vulnerability has different dimensions. Physical, social, economic, environmental, cultural,
institutional, and human factors define vulnerability. Furthermore, vulnerability is dynamic (it changes over
time), is scale-dependent (it can be expressed at different scales from individuals to countries), and site-
specific (each location might need its own approach).24

Vulnerability is not equal for all elements at risk (children and elderly are more vulnerable to floods then
adults, temporary houses are more vulnerable to cyclones then masonry buildings). It is therefore important
to know the geographical distribution of factors that determine vulnerability in order to have insight in the
vulnerability of different parts of the hazard prone areas. This insight will contribute to a more thorough and
specific risk assessment, thus enabling better decision-making and prioritisation.

When mapping vulnerability, it is important to realise that it is hazard-specific. Poorly-constructed buildings

will be more likely to collapse and thus have high vulnerability to earthquakes or floods, for instance.
Inexpensive structures such as huts may be less vulnerable to earthquakes than masonry buildings. However,
huts may not cope with the wind pressure of tropical storms, to which they are therefore more vulnerable
than masonry buildings. (European Union & World Bank, 2011)

Vulnerability is increasing
A number of studies (Westen, 2009) using disaster data show that the number of disasters, and the amount of
damage they cause, are rising. The increase in the number and impact of disasters can be explained by

24
http://cordis.europa.eu/search/index.cfm?fuseaction=result.document&RS_LANG=EN&RS_RCN=13893860&q= visited on
the 1st of May 2012.
 18

greater vulnerability and an increase in the factors leading to the occurrence of hazardous events. The rise in
vulnerability has resulted from the rapid increase in the world's population, in combination with a high
urbanisation rate leading to mega-cities, most of which are located in hazardous regions such as coastal
zones or areas prone to seismic activity. Many mega-cities also contain slums or informal dwellings that are
frequently located in hazardous and less protected areas, such as steep slopes or areas with frequent flooding
or water stagnation. (European Union & World Bank, 2011; Westen, 2009)

Another relevant factor is the increasing dependence of modern societies on highly sensitive technologies
(information technology) and infrastructure (electricity). While identifying and mapping vulnerability,
critical infrastructure (for instance power plants) should be taken into account.

2. Disaster response and recovery

2.1. Importance of geospatial information for disaster response and recovery

For the first disaster response it is crucial to have an overall operational picture based on geospatial
information that indicates where damage was done, with what consequences and what needs should be
immediately addressed.

For the recovery phase the more structural needs of the affective population have to be addressed in the most
efficient and effective way. Geospatial information is used for determining where rehabilitation and
reconstruction activities should take place.

2.2. Use and exchange of geospatial information in disaster situations

The availability of satellite data on disaster-affected areas is supported by the United Nations Office for
Outer Space Affairs (UNOOSA), which implements the UN-SPIDER program, United Nations Platform for
Space-based Information for Disaster Management and Emergency Response. UN-SPIDER was established
to "ensure that all countries and international and regional organizations have access to and develop the
capacity to use all types of space-based information to support the full disaster management cycle". UN-
SPIDER is a platform which advances the use of space-based technologies for disaster management and
emergency response. It serves as:
 a gateway to space information for disaster management support;
 a bridge to connect the disaster management and space communities;
 a facilitator of capacity-building and institutional strengthening. (JB GIS, 2010)25

An important element of the UN-SPIDER program is the International Charter on Space and Major
Disasters26, which aims to provide a unified system of space data acquisition and delivery of value-added
products free of charge for a limited short period to those affected by major disasters.

25
Also see: http://www.un-spider.org/.
26
See the International Charter website: http://www.disasterscharter.org/index_e.html.
 19

2.3. Damage and needs assessment mapping

When a disaster occurs, the first priority lies in obtaining an idea of the damage caused and the immediate
needs of the affected populations. It is also important to know whether the disaster has triggered or could
trigger other hazards. The information that is required in the immediate post-disaster phase should be rapidly
available and as accurate as possible so that effective action can be taken immediately.

Remote sensing data from satellites or aircraft can assist in providing information when damage is
widespread or in a remote or inaccessible area (as occurred with the 2005 Pakistan earthquake and the Indian
Ocean tsunami of 2004). When disasters happen, the International Charter on Space and Major Disasters
ensures that satellites gather information about the disaster-affected area as soon as it is within reach of their
sensors. Application of the Charter has led to the rapid provision of first damage assessments to the
governments of affected countries and to the international humanitarian community engaged on the planning,
coordination and implementation of rescue and relief operations.

Remote sensing data is just one source of data that can be used for damage assessment. Other sources include
administrative or baseline data on population density, infrastructural networks and land use. To obtain
estimates of casualties and damage, administrative and remote sensing data should be combined.

Damage assessment therefore also depends on the quality and availability of baseline data. When the latter
are insufficiently accurate or not directly available, they should be gathered by remote sensing or by taking
measurements on the ground with, for example, GPS devices. In recent years, voluntary geospatial
information has been used to fill gaps in data. This was the case in Haiti in the aftermath of the 2010
earthquake.

2.4. Planning and coordination of response and recovery activities

Aid management systems

To assist developing countries in managing incoming international aid, the United Nations Development
Program (UNDP) and a private commercial partner developed an aid management system known as the
Development Assistance Database (DAD). The DAD was made available to the countries that suffered most
from the Indian Ocean tsunami of 2004, such as Indonesia and Sri Lanka, to assist them in coordinating the
hundreds of aid organisations that flew in to provide aid.

The influx of so many organisations posed a huge coordination challenge in the weeks immediately after the
disaster for the United Nations Office for the Recovery Coordinator for Aceh and Nias (UNORC), and
subsequently for the agency that took over responsibility for recovery in Aceh and Nias, the BRR.

Although the DAD was not designed as a geospatial database, it did allow for the inclusion of geospatial data
in the information entered on aid projects. For instance, Indonesia's own DAD contained geospatial data for
certain projects at district or sub-district level (sometimes even at village level), but not for all. Moreover,
these data were not sufficiently specific for planning, coordination and monitoring.

Detailed geographical information can efficiently and effectively match aid provision with needs and thus
support planning and coordination and fill gaps in addressing the needs of affected communities during the
planning and coordination of aid. To ensure a uniform approach, it is important that the same basic
geospatial dataset should be freely accessible and widely used. The dataset should contain a system of
coordinates covering roads, infrastructure, rivers, mountains, administrative boundaries, settlements,
 20

coastline, etc. In Indonesia, the basic geospatial dataset was out-of-date at the time of the tsunami, and the
fact that the Indonesian government agencies used separate datasets further complicated planning and
coordination. Moreover, given the many dialects in use in Aceh, and the lack of a formal agreement on
administrative boundaries, the national, provincial and local authorities employed different village names
and boundaries, so that it was exceedingly difficult to plan and coordinate aid by reference to geographical
locations identified by means of village names. The great advantage of GPS data is that it can be used to
relate data to a location without having to rely on administrative boundaries or village names. Furthermore,
geodetic or physical data, such as information on roads, buildings, rivers and mountains, remain unchanged
over a long period of time.

In recent years many geospatial datasets have become publicly accessible via platforms like Google Earth,
Google Maps, Microsoft Bing Maps, ArcGIS Online, Ushahidi27 and OpenStreetMap. These platforms
provide basemaps containing satellite imagery, data on roads and other infrastructure, rivers and lakes, etc.
Although mountains are visible on satellite imagery, it is not easy to infer elevation from these open sources.
Datasets containing elevations – such as digital terrain models – are publicly available for certain countries
and regions, but not for most developing countries. When a disaster occurs, therefore, this information may
have to be acquired as soon as possible by other means.

Another important dataset for planning and coordination is to be found in land and property rights registers.
These are crucial not only for assessing damage and needs, but also for identifying the rights of the people
affected by a disaster.

OpenStreetMap
The Haitian earthquake was one of the first major disasters where voluntary geospatial information was used
to assess damage and obtain a common operational picture for the planning and coordination of relief and
rescue operations. OpenStreetMap is a community mapping platform that uses voluntary geospatial
information to produce basemaps of countries. It is also dedicated to mapping specific situations, such as the
aftermath of a disaster. Although voluntary, the information in OpenStreetMap is of a high standard and thus
makes a valuable contribution to the geospatial data that are available to the international humanitarian
community and national administrations. OpenStreetMap has mapped earthquake damage on its basemap of
Haiti.28

27
See http://haiti.ushahidi.com/ and for more recent data http://www.noula.ht/.
28
http://haiti.openstreetmap.nl/
 21

Appendix 4: USE OF GEOSPATIAL INFORMATION IN AUDITING DISASTER RISK

REDUCTION

1. Introduction

Due to the increased impact of disasters on human society, governments have become increasingly aware
that action is needed to enhance the resilience of the people under their responsibility. Governments have
also become more aware that the impact of disasters can be managed: although it is not possible to restrain
natural hazards, the vulnerability of the population can be reduced. This awareness was the driving force
behind the UNISDR's Hyogo Framework for Action 2005-201529, a 10-year plan to make the world safer
from natural hazards. Disaster risk reduction (risk assessment, mitigation, prevention and preparedness) has
therefore become a central part of disaster management.

So that they can prevent the negative consequences of hazards materialising into disaster events, national
governments need to know their country's disaster profile: which hazards are likely to occur, where, when
and with what consequences? The conduct of risk assessments is an important step in deciding which
measures to take with a view to disaster mitigation and prevention. It also helps in setting priorities: where is
vulnerability the highest?

This appendix 4 to ISSAI 5540 provides practical guidance on how to use geospatial information in auditing
disaster risk reduction. The appendix will focus on auditing governance issues (chapter 2) and on auditing
risk assessment (chapter 3). In both chapters illustrations are provided.

2. The use of geospatial information in auditing governance issues

2.1. Complexity of governance

Disaster management consists of many activities for which specific expertise is needed, and which therefore
rely on specialised organisations (the police, fire brigades, hospitals and doctors, the military, water boards,
etc.). Disaster management responsibilities are largely organised at different levels of jurisdiction: State,
regional (provinces, districts, counties) and local (cities and municipalities). In practice, therefore, many
organisations with specific expertise, mandates, jurisdiction and means will be compelled to work together in
disaster situations. For most organisations, when a disaster occurs and this cooperation network is activated,
it will not be "business as usual". Managing a real disaster is a highly complex affair.

Sound governance is an important precondition for the correct functioning of all stages of disaster
management. Auditors can make a major contribution by paying attention to the design of the governance of
disaster management when auditing disaster preparedness. Use can be made of evaluations of the handling of
earlier crisis or disaster situations in order to identify any signs that governance is not properly designed.

29
Hyogo Framework for Action 2005-2015: Building the resilience of nations and communities to disasters –
http://www.unisdr.org/we/coordinate/hfa,
 22

Such signs might include the lack of congruence between entities that are compelled to cooperate and share
information by virtue of their disaster management responsibilities. To facilitate analysis and
communication, this incongruence can be shown visually on a map.

Mapping territorial incongruence

There are several ways of mapping territorial incongruence. Firstly, government departments such as
national statistical institutes have online mapping tools that can provide information about the jurisdiction of
various regional entities. Another way is to ask public entities or universities to draw up incongruence maps.
However, the task can also be done by auditors operating alone on the basis of geospatial information on the
jurisdiction (geographical boundaries) of the entities that are to be compared. This information can be
obtained from land administration agencies, national statistical institutes, ministries or Internet platforms
(such as ArcGIS.com or national geospatial data clearinghouses). When a jurisdiction consists of numerous
smaller jurisdictions – e.g. municipalities – a GIS can be used to merge ("dissolve") them into one.

Example from the Netherlands

In the Netherlands, disaster management is organised at State level, regional level (25 Safety Boards) and
local level (municipalities). At the regional level, the Safety Boards cover the entire territory of the
Netherlands and are responsible for medium- and large-scale disaster and crisis management. They have full
formal authority over the fire service, but only limited authority over medical care organisations, the police,
water boards (which are largely responsible for the management of ground and surface water), the military
and regional offices of the Ministry of Infrastructure and Environment. Cooperation between all these
organisations is established through laws, regulations and MoUs.

Given the sheer number of regional entities that are required to cooperate and share information, the situation
is highly complex. It is further exacerbated by the fact that the jurisdiction of all these entities is not
congruent, which generates a need for supplementary coordination mechanisms. A GIS can be used to map
the territorial incongruence between the various entities that have to cooperate regarding disaster
management.

The first step is to acquire a base map of – in this example – the Netherlands. A base map of a country
containing its outside borders can be obtained from various sources. The most important source is the public
entity responsible for land administration, because this entity is most entitled to set the standard base map to
be used by all public entities. Possible other sources are the national statistical agency or ministries like that
of Defence or Infrastructure. There are also a number of open sources, like the database of Global
Administrative Areas (GADM), a spatial database of the location of the world's administrative areas (or
administrative boundaries) for use in GIS and similar software30, and free data provided by GIS software
supplier like ESRI31.

30
http://www.gadm.org/.
31
http://www.esri.com/data/free-data/index.html.
 23

The SAI of the Netherlands obtained its base map of the Netherlands from the land administration agency
(het Kadaster), see below.

Figure 1 - Base map of the Netherlands

Source: Land Administration Agency (Kadaster)

The next step is to acquire the administrative boundaries of the entities that have to cooperate regarding
disaster management. The land administration agency of the Netherlands provided the SAI of the
Netherlands with the administrative boundaries of the 25 Regional Safety Boards. This information was
provided in such a way that it could be imported in a GIS.

The Netherlands Court of Audit obtained information about the administrative boundaries (“Shape Length”
and “Shape Area”) of the 418 municipalities in the Netherlands from the national statistics agency (Centraal
Bureau voor de Statistiek) in the form of a spread sheet that could be imported in a GIS.

Figure 2 - Table showing administrative boundaries of municipalities

Source: NCA based on National Statistics Bureau (CBS)

The table with administrative boundaries could then be mapped in a GIS.

 24

Figure 3 - Map showing administrative boundaries municipalities

Source: Netherlands Court of audit (NCA)

The next step comprised of linking the municipalities in a table with the 25 Regional Safety Boards. This
was done by coding the 25 Regional Safety Boards (“PR_code”) and linking every municipality
(“gem_naam”) with its Regional Safety Board code thus creating one table in which municipalities and
Regional Safety Boards are linked.
 25

Figure 4 - Table showing municipalities linked to Safety Board code

The following step was to dissolve the administrative boundaries of all municipalities into the administrative
boundary of the relevant Regional Safety Board. This was done with the “dissolve” function in the GIS used
by the Netherlands Court of Audit, resulting in the following table (data layer):

Figure 5 - Table showing dissolved administrative boundaries municipalities

Source: NCA
… and map:
 26

Figure 6 - Map of Regional Safety Boards

Source: NCA

Due to the many organisations that are required to cooperate and share information, the situation is highly
complex. This complexity is further enhanced by the fact that the jurisdiction of all these entities is not
congruent, which generates a need for supplementary coordination mechanisms.

The incongruence between the Regional Safety Boards and other entities can also be visualised on a map in a
GIS. The first step is to upload the geographical boundaries of the entities that are to be analysed on
congruence. In order to map the incongruence between the Regional Safety Boards and the Water Boards in
the Netherlands, the SAI of the Netherlands obtained a data layer showing the territorial jurisdiction of the
water boards from the Netherlands Land Registration Agency. The incongruence can be visualised on a map
in a number of ways. The boundaries of the Regional Safety Boards and of the Waterboards can be projected
on a base map of the Netherlands in which case the two sets of boundaries should be made distinct. See
below for a visualisation of the incongruence between the territorial jurisdiction of Safety Boards (indicated
by name and thick boundaries) and water boards (indicated by colour).
 27

Figure 7 - Map showing incongruence territorial jurisdiction Safety Boards and Water Boards

Source: NCA

Owing to the fact that the area covered by each of the 27 water boards does not correspond to that of a Safety
Board, a number of water boards have to conclude agreements with several Safety Boards, and the situation
is also true in reverse.

This incongruous map also could be made by conducting a spatial query regarding the boundaries of the
Safety Boards and of the Water Boards: which boundary falls completely within the boundaries of …?

Allocation of funds and staff

Another precondition for effective disaster management is the allocation of sufficient funds to the necessary
activities. By mapping the distribution of disaster management funds and how those funds have been spent, it
is possible to estimate the risk of insufficient resources or inefficiencies. In the example given below, the
distribution of available fire fighters is mapped for each Safety Region, both in absolute terms (on the left)
and as a figure per 1 000 inhabitants. The data for this map were obtained from the Central Bureau of
Statistics, and the map was created using GIS software by linking data on available fire fighters
(Pers_Brandweer and Pers_Brandweerperinw) to the geographical boundaries of the Regional Safety Boards
(PR_Regionaam).
 28

Figure 8 - Table showing available fire fighters per Regional Safety Board

Source: NCA based on National Statistics bureau (CBS)

Figure 9 - Map showing available fire fighters per Regional Safety Board

Source : NCA

It can be seen that regions with a higher population density (Amsterdam, The Hague, Rotterdam and Utrecht)
have relatively fewer staff than less populated regions like Zeeland. The next step would be to take the audit
 29

further by enquiring into the reason behind these differences. Maps and analyses of this sort are also useful
for comparing the number of incidents or disasters with the number and performance of staff (e.g. the time
taken to arrive at the scene). By factoring the funds available into the analysis, it can be seen whether more
funds also lead to better performance (efficiency and/or effectiveness).

3. The use of geospatial information in auditing disaster risk reduction

3.1. Risk assessment

Disaster risk assessment can be divided into three steps (see ISSAI 5540/4.4): assessing the relevant hazards,
assessing which elements are at risk when a hazard materialises into an event, and how vulnerable those
elements are. Auditors must have an understanding of the degree to which a country or region (where
applicable) is prone to disasters, and where exactly disasters may occur. Equipped with this information, they
can assess whether the competent authorities have made an appropriate risk assessment and whether risk
prevention or mitigation measures are adequate.

Hazard mapping
Auditors can find information about the relevant hazards for the area they are interested in from various
sources, including websites with global hazard maps (Munich RE's Nathan World Map of Natural
Hazards32), UNISDR Global Risk Data Platform33 and national online mapping tools like
www.risicokaart.nl. Other sources are the archives of newspapers, of institutes monitoring meteorological
events (cyclones, heavy rains), earthquakes, floods, etc., and those of bodies like the Humanitarian Early
Warning Service, which provides a calendar of hazards at country level based on historical data34. The
hazards calendar for Peru is shown as an example below.

32
http://www.munichre.com/publications/302-05972_en.pdf [registration is required].
33
http://www.preventionweb.net/english/hyogo/gar/2011/en/what/rdp.html.
34
http://www.hewsweb.org/hazcal/.
 30

Figure 10 - Hazards calendar Peru

Source: Humanitarian Early Warning Service

The table below, in which disasters are classified by main controlling factor 35, may assist auditors in
assessing which hazards are relevant for their country or region.

Figure 11 - Table classification of disaster by main controlling factor

Source: Cees van Westen

35
Cees van Westen ed. (2009), op. cit., p 1-8.
 31

Knowledge about the relevance of hazards is useful not only for audit purposes, but also so that it can be
ascertained whether the public entities that are responsible for disaster management are fully aware of the
situation. When considering hazards it is important to take account of the situation on the ground, but also
above ground and underground. The presence in a country of underground natural resources may induce a
number of hazards, as mining activities may have altered the structure of the subsoil, bringing the risk of
instability or collapse. Gas and oil fields may present a high risk of explosion if mining activities are not
properly managed. In the image below, an online mapping tool has been used to overlay underground oil and
gas fields on a satellite picture of the Netherlands.36 Given that these fields are located in highly urbanised
and industrialised areas, they can be considered a hazard and disaster risk.

Figure 12 - Satellite picture of underground oil and gas fields in the Netherlands

Source: TNO

Elements at risk and vulnerability

Once the nature and location of hazards have been assessed, the next step is to determine whether, in the
hazard-prone areas, there are any elements that would be at risk should a specific hazard materialise into a
disaster event. As stated in paragraph 11.5 (main text of ISSAI 5540), a distinction can be made between
various types of elements at risk from hazards: buildings (residential, commercial, industrial), transportation
networks (roads, railways, public transportation, harbour facilities, airport facilities), lifelines (water,
electricity, communication), essential facilities (emergency shelters, schools, hospitals, fire stations, police
stations), population (distribution in space and time), socio-economic institutions (government, socio-
economic strata, (sub)cultures), economic activities and environmental elements (sensitive areas, forests,
wetlands, protected areas)37.

Auditors could gather information about these elements from open sources (Google Maps, OpenStreetMap,
online risk mapping tools, etc.) or from closed sources to which they have access (information held by land
administration agencies, national statistics institutes, etc.). They could then select elements at risk in order to
assess their vulnerability to the consequences of a hazard event. For example, it could be examined whether
building codes are set to minimise vulnerability and are complied with, especially where vulnerable groups
(children in schools, hospital patients) and essential facilities (emergency operation centres, fire and police
stations) are concerned. In many countries, vulnerability varies by sector of population. As stated earlier, the
urbanisation rate has increased markedly in certain areas of the world, leading to scarcity of land and thus to
large resident populations in hazard-prone areas (such as steep hillsides at risk of landslides). Auditors could
look into the spatial distribution of vulnerability and the measures governments are taking to reduce
vulnerability. Examples are given below in respect of Haiti, Peru and the Netherlands.

Example from Haiti

36
The satellite picture was obtained from the Bing Maps platform and uploaded in ArcGIS; the data on the oil and gas fields
were obtained from the website of TNO, the entity that manages the registration of underground resources in the Netherlands,
and were uploaded and projected in ArcGIS.
37
Cees van Westen ed. (2009), op. cit., p 4-2.
 32

The Netherlands Court of Audit has conducted a field mission in Haiti (Port-au-Prince and Léogâne) to
assess whether Dutch funds for Haiti were being well spent. The pictures below were taken during the visit
to show residential structures that are at risk because they are built on a steep hillside without proper
infrastructure for water drainage. The area in question is at high risk of landslides in the event of an
earthquake or heavy rainfall.

Figure 13 - Residential areas at risk on hillsides in Port-au-Prince and Léogâne, Haiti

Source: NCA

Example from Pisco (Peru)

In 2010 the Netherlands SAI conducted a field trip, in cooperation with the Peruvian SAI, to assess the
reconstruction of the city of Pisco, which had been very severely damaged by an earthquake in 2007. During
the trip, newly-constructed buildings were given a GPS location and uploaded to a damage assessment map
obtained from the Peruvian authorities38.

Figure 14 - Mapping newly-constructed buildings on a damage assessment map of Pisco, Peru

38
The map was made available in a format that could be visualised and used in a GIS.
 33

Source: NCA and Peruvian authorities

An extra data layer was added to the map to indicate the level of tsunami risk, and the field observations
were marked by X and Y coordinates. This made it possible to ascertain whether the new buildings were
located in safe zones. As shown by the map below, some of the new buildings were located in an area that
was flooded by tsunami waves in 2007 and would be at similar risk in the future.

Figure 15- Mapping newly-constructed buildings in Tsunami risk zones in Pisco, Peru

Source: NCA and Peruvian authorities

 34

Appendix 5: USING GEOSPATIAL INFORMATION IN AUDITING DISASTER RESPONSE AND

RECOVERY

4. Introducing field studies INTOSAI

In November 2005 the Governing Board of INTOSAI decided to create a Task Force on the Accountability
for and Audit of Disaster-related Aid with the aim to reconstruct an audit trail for the Tsunami-related aid
flows and to learn about how to improve transparency and accountability for these flows. The flow of
disaster-related aid is a geographical movement from source to destination. Furthermore, aid (e.g. funds for
education) is intended to lead to a certain output (i.e. school building and training of teachers) and finally an
outcome (i.e. the education) on a specific location. Geography, therefore, plays an important role in any audit
trail, but is specifically important with regard to disasters.
The INTOSAI Task Force was charged with exploring the possibilities of using geo-information in auditing
disaster-related aid in order to minimize waste, competition, fraud and corruption of the aid funds. The Task
Force's research question was broad: how and under what conditions can the use of geo-information in
auditing help to ensure the regularity, efficiency and effectiveness of disaster-related aid?
The Task Force conducted a field study on auditing housing projects in Aceh, Indonesia to assess the
potential use of geo-information for auditing disaster-related aid. This field study was followed by another
field study carried out in 2010 in Pisco, Peru by the successor of the Task Force, the WG AADA of
INTOSAI. In 2012 the SAI of the Netherlands conducted a field study in Haiti to assess the progress of a
selected number of recovery projects financed with Dutch funds. In this appendix to ISSAI 5540 the results
of these three field studies are presented.

5. Auditing recovery in Aceh, Indonesia

Introduction
On 26 December 2004 a strong earthquake with an epicentre off the west coast of Sumatra, Indonesia
occurred. The earthquake resulted in huge tidal waves (also called a tsunami) hitting fourteen countries and
killing over 230,000 people and inundating coastal communities with waves up to 30 meters high. It was one
of the deadliest natural disasters in recorded history. Indonesia was the hardest-hit country, followed by Sri
Lanka, India, and Thailand. With a magnitude of Mw 9.1–9.3, it is the third largest earthquake ever recorded
on a seismograph. The earthquake had the longest duration of faulting ever observed, between 8.3 and
10 minutes. Below the affected countries (in yellow) are mapped.39

39
http://en.wikipedia.org/wiki/2004_Indian_Ocean_earthquake_and_tsunami.
 35

Figure 1 - Map epicentre earthquake which caused Tsunami of 2004

Source: Wikipedia

The international response to this disaster was enormous: an estimated 14 billion US dollars were gathered
and made available to the affected countries.40

Purpose of field study41

To study the potential role of geo-information in audit of disaster-related aid, the Task Force focussed on the
reconstruction of houses in the Indonesian province of Aceh (Nanggroe Aceh Darussalam, NAD), the most
affected area of the Tsunami-hit countries, where over 150,000 houses were damaged or destroyed. The
interest was not only if new houses were constructed, but also where, so it could be determined if houses
were constructed at the correct location.
Looking at disaster prevention and mitigation, it is also of interest whether newly constructed or
reconstructed houses were built in areas that are not prone to disaster. For example, if houses were built too
close to the coastline, then the risk for destruction at a next Tsunami would be high and so would the risk of
aid funds being wasted. After the 2004 Tsunami, the Government of Indonesia regulated that houses should
be built at least two kilometres from the coastline (in some areas the Tsunami reached two kilometres
inland), therefore reducing potential risk of destruction. Accurately mapping the location of the reconstructed

40
Task Force on the Accountability for and Audit of Disaster-related Aid (2008), Lessons on accountability, transparency and audit
of Tsunami-related aid. See website: http://eca.europa.eu/portal/page/portal/intosai-aada/home
41
The following references are made for further information on this field study: Joint Board of Geospatial Information Societies and
United Nations Office for Outer Space Affairs, Geoinformation for Disaster and Risk management: Examples and Best
Practices, 2 July 2010. http://www.un-spider.org/sites/default/files/JBGIS_UNOOSA_Booklet_0.pdf; Wietske Bijker and
Sanjaya Harthanto (2008), Use of Geographical Information System for Audit of Disaster-Related aid: Final Report (SAADRA
Program – TF 057426).
 36

houses in the province would provide a mechanism to assess compliance with this Governmental
requirement. It would also provide the possibility to benchmark between implementing agencies, like
government agencies (auditees of SAIs) and private entities such as non-governmental organisations
(NGO's). In this respect, situations such as the Indian Ocean Tsunami provided SAIs with the unique
possibility of benchmarking government performance against that of private entities.

Design of the field study

The field study has been set-up as cooperation between the SAI of Indonesia and the SAI of the Netherlands,
with assistance from geospatial experts42 and the Spatial Information and Mapping Centre of the BRR. The
satellite imagery used was provided by the Korean Aerospace and Research Institute (KARI), other data
(geospatial data and project data) used were provided by the Indonesian government with assistance of the
BRR. The field study was funded by the World Bank and the Netherlands Ministry for Development
Cooperation.
The field study consisted of a number of activities:
 Providing auditors of SAI of Indonesia a basic training in geospatial data, GIS and the use of GPS;
 Change detection: detecting newly build houses from comparing available satellite imagery of 2005
(after Tsunami) with imagery provided by KARI of 2007;
 Verify change detection analysis and project information from RANDatabase with field observations
audit team;
 Develop a method for using geospatial data in auditing housing projects.

The field team was trained in using GIS and GPS. For the marking of the position of newly built houses with
GPS specific field observation sheets43 and GPS survey forms44 were distributed. In these forms and
questionnaires additional information was requested in order to assess the accuracy of the GPS-coordinate
taken and to make visual interpretation of the location based on the satellite imagery more easy.

Change detection newly built houses

Combining the 2005 map of building footprints detailing the start of the rehabilitation phase, with that of
2007 showing the current state at the time of case study, provides all the buildings constructed between
clearing the Tsunami debris and the end of the reconstruction period.
For the field study change detection was carried out by a student of ITC 45, she was able to detect new
buildings by comparing imagery of 2005 (image on left side) with that of 2007 (image on right side) as can
be seen below.

42
Wietske Bijker and Hartanto Sanjaya (2008), Use of Geographical Information System for Audit of Disaster-Related aid: Final
Report (SAADRA Program – TF 057426).
43
Example 1 field observation sheet (see end of appendix 5)
44
Example 2 GPS survey form (see end of appendix 5)
45
Du Ye, 2008 Verification of tsunami reconstruction projects by object-oriented buidling extraction from high resolution
satellite imagery. MSc thesis, ITC, Enschede, The Netherlands
 37

Figure 2 - Satellite images of change detection of construction between 2005 (left) and 2007 (right) and
overlay analysis (below)

Source: Yu De, ITC

Overlaying the map of new houses with the map of administrative boundaries provides the number and
locations of new houses per administrative unit. These numbers can be compared with the information on
housing projects available through the Agency for Rehabilitation and Reconstruction of NAD and Nias
(BRR) Recovery Aceh Nias Database (RAND) database and other project information. Based on location
and degree of completion, as detected by comparing the building footprint maps, the Indonesian SAI can
take a stratified random or stratified systematic sample of these projects, for auditing according to its audit
objective. Fraud is likely if there is a large discrepancy between the quantities of houses built according to
the RAND database or project information, and the map of new houses. In such a case, the field teams may
want to take extra field samples to determine the reason for this discrepancy. Visualizing the spatial
distribution of contractors and projects on maps shows the auditors whether there were likely to be any
monopolies of building contractors in certain areas, and focus their audits accordingly. Using the map of new
houses, the audit data of the houses in the sample can be extrapolated for the whole study area.
 38

Field observations audit team

The Indonesian government issued a decree stating that houses destroyed by the Tsunami could be rebuilt
only at locations more than two kilometres behind the coastline. This was to prevent damage and loss of life
should a new Tsunami strike the coast of Aceh. The Agency for the Rehabilitation and Reconstruction of
Aceh and Nias (BRR) had to comply with this decree. Organisations building houses with overseas grants
did not have to.
When the available Topographic Land Map and the housing data from the RAND were combined, it was
possible to map all settlements within two kilometres of the coastline as can be seen below46. Despite the
decree of the Indonesian government a substantial number of settlements has been built within the two
kilometres limit to the coastline.

Figure 3 - Settlements within two kilometres off the coastline Aceh, Indonesia

Source: BRR

A limited number of villages on the east and west coasts of Aceh were selected as inspection sites, where it
was possible to collect field data including the use of a handheld Global Positioning System (GPS) to ensure
positional accuracy. The map below shows an area of the west coast based on a satellite image combined
with data on Tsunami impact, roads, villages, etc.47

46
Source data RANDatabase, map was created by Spatial Information and Mapping Center of BRR for INTOSAI.
47
Source data KARI and RANDatabase, map was created by Spatial Information and Mapping Center of BRR for INTOSAI.
 39

Figure 4 - Map of impact Tsunami on west coast Aceh

Source: BRR

To be able to provide a benchmark, inspection sites were selected from various implementing agencies. To
ascertain if newly constructed houses complied with government regulations, the field teams went into the
field and took GPS coordinates of a number of newly constructed houses. Additional information was also
recorded, for example: are the houses finished, are they occupied and is drinking water and sanitation
available? The field observations were uploaded in a GIS and plotted on the available satellite imagery of the
area. The results can be seen on the map below. The numbers on the map indicate GPS coordinates of newly
constructed houses.
 40

Figure 5 - Map of field observations newly constructed buildings in village on East coast Aceh

Source: BRR and INTOSAI Task Force

The field observations also showed that houses built by NGOs were located closer to the coastline than those
built by the BRR.

Figure 6 - Map comparing location constructed buildings for three implementing agencies on
East coast Aceh

Source: BRR and INTOSAI

Methodology for auditing housing projects with geospatial information
The basic idea behind the method is to use two maps of the objects of interest: one at the start and one at the
end of the audit period and to detect the changes by applying overlay-techniques. Use of decision rules for
 41

change detection limits the result to provide only the changes of interest. These changes of interest can be
sorted by administrative unit when combined with an administrative map and compared to the information
supplied by the institution which is being audited. Field sampling assesses the accuracy of the change
detection and provides further detail on the nature and origin of the changes and the objects under study.
Depending upon the required spatial resolution (i.e. sufficient to accurately locate and measure the object of
interest) the maps would usually be derived from satellite images or orthorectified aerial photographs
(orthophotos). This generic approach could be applied for all spatial objects under audit, such as forests,
houses, agricultural fields, and for environmental impact assessment.

Figure 7 - Methodology for auditing housing projects with geospatial information

Source: ITC
 42

6. Auditing recovery in Pisco, Peru

Introducing the field study

On 15 August 2007 Peru was hit by an earthquake of 8.0 on the Richter scale. The earthquake also triggered
tsunami waves. The consequences of the earthquake and tsunami were the death of more than 600 persons,
more than 30.000 houses were destroyed affecting 656.965 people directly and severe damages were done to
government buildings, houses, schools, water and sanitation infrastructure, roads and bridges.48

Figure 8 - Map epicentre and impact earthquake 2007 Pisco, Peru

The WG AADA wanted to conduct a field study with the aim to assess whether open source and voluntary
geospatial information would add value to auditing recovery activities.

The fields study focused on auditing rehabilitation and reconstruction of buildings (houses, schools and
hospitals). The field study was cooperation between the SAI of the Netherlands and the SAI of Peru, assisted
by various public entities of the State of Peru and of local authorities. Furthermore, assistance was obtained
from the Faculty of Civil Engineering of the National University of Engineering in Lima. These entities
assisted in providing geospatial information with regard to damage assessment and information on recovery
efforts.

48
Samir Elhawary and Gerardo Castillo (2008), The role of the affected state: A case study on the Peruvian earthquake response,
see: http://www.odi.org.uk/resources/docs/1838.pdf
 43

Next to the geospatial information obtained from public entities, also voluntary geospatial information was
obtained from Google Earth and Google maps including satellite imagery and uploaded (and geo-tagged)
pictures taken from the ground just after the disaster happened.

Selecting sites with open source and voluntary geospatial information

Before obtaining damage assessment maps and information on recovery projects, the field study team
obtained information from the Google Earth and Google maps platform. The Google Earth platforms
provides the possibility to look at images from different moments in time – when available - from the same
area. This function is called historical images and can be found under View in the Google Earth menu. When
this function is activated, it will be possible to go back (and forward) in time to visually assess the changes in
a specific timeframe. An example of the village Tambo de Mora (close to Pisco and in the affected area) is
provided below, with the image above being taken at 20 February 2004 and the image below taken at 14
October 2009. It can be clearly seen that on a rural area new houses have been constructed in a more
structured way than the urban area on the left of the image.

Figure 9 - Change detection constructed buildings before and after earthquake 2007 Pisco, Peru

Source: NCA using Google Earth

In the field study we have visited this area and could confirm that houses were constructed in that area based
on pictures (see examples below) and interviews with residents. The match with the Google Earth image and
the ground situation was made by marking the area with a GPS-device.
 44

Figure 10- Picture of newly constructed area after earthquake 2007 Pisco, Peru

Source: NCA and SAI of Peru

A number of pictures were taken after the disaster happened providing an overview of the situation on the
ground. Below is an image from Google Earth showing a school in February 2004 (before the earthquake
and tsunami occurred).

Figure 11 - Image of school before earthquake 2007 Pisco, Peru

Source: NCA using Google Earth

Via Google Earth it was also possible to view the same area after the disaster happened in December 2007,
in red encircled temporary education facilities can be seen and in blue an uploaded picture.
 45

Figure 12 - Image of school after earthquake 2007 Pisco, Peru

Source: NCA using Google Earth

Although this picture was not very accurately geo-tagged, still it could provide an insight in what damage
was done and thus provide a benchmark for assessing the progress of recovery activities during the field
study.

Figure 13 - Picture of a school damaged by earthquake 2007 Pisco, Peru

Source: NCA using layer Panoramio pictures in Google Earth

Based on the analysis of solely Google Earth images and voluntary geospatial information a number of sites
were selected for the field study. The school of the example above looked like below in July 2010.
 46

Figure 14 - Picture of reconstructed school in Pisco, Peru

Source: NCA

Field observations
The field study team inspected the selected sites. Pictures were taken of the situation on the ground, people
were interviewed and parcels or buildings were marked with GPS. These markings with GPS were uploaded
in a damage assessment map provided by Peruvian public entities (red dots), indicating the severity of
damage per zone (green = no damage, red = very severe damage). See the map below, in which observations
were made regarding the construction of new housing projects and of a new hospital, and regarding areas
were the earthquake and or tsunami caused damage.

Figure 15 - Damage assessment map earthquake 2007 Pisco, Peru

Source: Peruvian authorities

Field observations mapped in Google Map Maker

Google maps provides a tool in which information can be added to a map of a certain area: Google Map
Maker. For this field study some of the field observations were added to the map of Pisco. This added
 47

information will be checked by moderators belonging to the Google network before it is officially published
on Google maps. An example is provided below of a newly constructed housing project (250 houses are
planned here). At satellite imagery of 2007 this project cannot be seen, in July 2010 the project was
inspected by the field study team. The construction plan of the project was obtained from the organisation
responsible for the recovery of Pisco (ForSur).

Figure 16 - Construction plan MAPFRE housing project

Source: ForSur

The field study team marked the corners of the foundation of the project, that was being laid during the field
study period. With the tracking function in the GPS activated, the outside boundaries of the project could be
mapped in Google Earth.

Figure 17 - Mapping boundaries of MAPFRE housing project

Source: NCA using GPS and Google Earth

The field observations could be used for mapping the area of the newly constructed housing project in
Google Map Maker as can be seen below.

Figure 18 - Mapping boundaries of MAPFRE housing project

 48

Source: NCA using GPS and Google Earth

Field observations analysed in a GIS

For a new housing project, the corners of a number of houses were marked with GPS. These field
observations were uploaded in a GIS to be analysed. With the measure function in the GIS the surface of the
houses could be calculated to assess whether the surface was according plan. This measurement is shown
below.

Figure 19 - Measuring surface of newly constructed house in a GIS

Source: NCA
The field observations were also used to assess whether new housing projects were constructed at the right
place (not in a high risk zone). One of the new housing projects was constructed close to the sea. On the
basis of field observations and geospatial data (risk zones) the following map could be made indicating that
this housing project was constructed in a high to medium tsunami risk zone.
 49

Figure 20 - Mapping newly constructed buildings in Tsunami risk zones in Pisco, Peru

Source: NCA and Peruvian authorities

7. Auditing recovery in Haiti

Introduction
On Tuesday, 12 January 2010 a devastating magnitude 7.0 on the Richter scale earthquake occurred in Haiti.
The epicentre was approximately 25 km (16 miles) west of Port-au-Prince, Haiti's capital, near Léogâne. The
Haitian Government reports that between 217,000 and 230,000 people have died, an estimated 300,000 were
injured, and an estimated 1,000,000 made homeless. Post Disaster Needs Assessment (PDNA) findings
reveal that the total value of damage and losses is estimated at US$7.8 billion: US$4.3 billion represents
physical damage and US$3.5 billion are economic losses. As of February, an estimated 250,000 residences
and 30,000 commercial buildings had collapsed or were severely damaged.49
Also this major disaster – like that of the Indian Ocean Tsunami of 2004 – led to a strong response from the
international community that made approximately 1.3 billion US dollar available in 2010 and 2011.50
The Dutch aid flows for Haiti reached a total of € 112 million of which the Dutch government provided €
41,7 million.

49
Joint Board of Geospatial Information Societies and United Nations Office for Outer Space Affairs, Geoinformation for
Disaster and Risk management: Examples and Best Practices, 2 July 2010. http://www.un-
spider.org/sites/default/files/JBGIS_UNOOSA_Booklet_0.pdf.
50
http://haiti.humanitarianresponse.info.
 50

Purpose of field study

The SAI of the Netherlands decided to continue stimulating transparency, accountability and audit of
disaster-related aid after its study report with regard to the Dutch funds for the Tsunami affected countries51.
That is way the SAI of the Netherlands agreed with the Ministry of Foreign Affairs and the umbrella
organisation for humanitarian organisation, the Samenwerkende Hulporganisaties (SHO), to contribute to the
accountability and audit arrangement of the Dutch funds for Haiti.
Furthermore, the SAI of the Netherlands will audit the spending of the Dutch funds for Haiti until the
foreseen end of the reconstruction phase in 2015. The audits of the SAI of the Netherlands will cover all the
Dutch funds that were gathered and spend by the SHO, because the funds provided by the Dutch government
– for which the SAI of the Netherlands has an audit mandate – cannot be separated from the funds of other
sources.

51
Netherlands Court of Audit (2008), Lessons on accountability, transparency and audit of Tsunami-related aid: country report
of the Netherlands; see: http://www.courtofaudit.nl/english/Publications/Audits/Introductions/2008/12/Lessons on
accountability
 51

In March 2012 an audit mission was conducted in Haiti to assess the

progress of a selected number of recovery projects funded with
Dutch Haiti funds. Although the audit mission was not solely
focused on the use of geospatial information, geospatial information
was used to prepare and conduct the audit mission.

Results audit mission

In contrast with the situation in Aceh, Indonesia after the Indian Ocean Tsunami there is no aid management
system providing aid information that is publicly available. It is therefore less easy to find out at what exact
locations aid organisations are planning and implementing their projects. UN OCHA provides maps (Who,
What, Where) on where aid organisations are active, but this information is on the level of community
(Leogane, Port-au-Prince, etc.): see the map and the list below.

Figure 21 - Map and list Who, What, Where in West Department, Haiti

Source: UN OCHA
 52

The locations of where aid organisations are active on a district or community level can also be found on
websites of humanitarian organisations as can be seen below52.

Figure 22 - Map shelter and housing projects NGOs

Source: NGO aid Haiti

52
http://haiti.ngoaidmap.org/sectors/12.
 53

More precise information about the location of aid projects can be found via websites of individual
humanitarian organisation (maps, blogs, reports).53 This information makes it easier to prepare maps via
Google Earth for field observations as can be seen below.

Figure 23 - Map location Cordaid projects (left) and image same area (right)
Website NGO Same area in Google Earth

Source: Cordaid and Google Earth

These maps above makes it easier to focus on a specific area, but still more specific information is needed to
be able to verify whether promised houses are truly constructed. Some humanitarian organisations are
making steps in using geospatial information for registration and monitoring of the projects they have
realised. An NGO in Haiti is for example geo-coding every house that is realised for registration, but also for
future monitoring purposes (is the house still standing in a number of years?). These geo-codes provided by
GPS-devices are uploaded and displayed in Google Earth.

This information makes it easier for auditors to assess whether houses have been finished and are inhabited
and thus if aid funds have been spent well. This assessment has to be done in the field. One of the
disadvantages of satellite or aerial imagery is the fact that it is taken from a sensor above the object. This
means that in case a house has a roof, but is not finished or inhabited yet, this cannot be seen on the imagery.
Field inspections remain necessary to verify if a house or building is finished and in use, see the example
below of two houses with a finished roof but where the left house is finished and the right house is still under
construction.

53
http://cordaidhaiti.org/on-the-map/.
 54

Figure 2 - Newly constructed house Haiti

Source: NCA

Satellite imagery and maps can assist in selecting areas for conducting field inspections as was illustrated in
paragraph Appendix 5, paragraph 2.

Preparing field inspections:

First step to prepare a field inspection is to assess what geospatial and project information is publicly
available on platforms like Google Earth and Maps, Bing Maps, Ushahidi, OpenStreetMap, ArcGIS.com, on
websites dedicated to disaster information like reliefweb, websites of universities and public entities.
Based on this publicly available information select areas and prepare maps with Google Earth and or Maps,
so to facilitate easier navigation on the ground.
Next, is determining if a GPS-device (for example in a mobile phone or tablet) will be used. If so, it is
important to set the device in such a way that the most accurate field observations are made possible and that
an easy upload into Google Earth or a GIS is facilitated. For setting up a GPS-device and using a GPS-device
for mapping reference is made to chapter 2 of the field guide of Mapaction54. This guide aims at helping aid
organisations to use geospatial tools and methods in their work in emergencies.
Furthermore, it is advised to prepare thoroughly the way in which field observations will be registered. This
can be done in various ways, like in a mobile GIS (ArcPad), but also in more traditional ways like using field
observation sheets and GPS survey forms. Examples of these are provided in Examples 1 and 2 hereafter. It
is best to bring a sufficient number of these forms and sheets.

54

http://www.mapaction.org/images/stories/publicdocs/mapaction%20field%20guide%20to%20humanitarian%20mapping%20fi
rst%20edn%20low-res.pdf.
 55

Last but not least make the necessary preparations in case of a long trip (sufficient batteries), trips in heavy
terrain and or weather (plastic covers for forms and sheets).

Taking field observations

When starting a field trip, make sure the GPS-device has been set up correctly and that it is calibrated in the
area where the observations will be taken. It also advised to activate the tracking function of the GPS-device,
so the travelled path can be reconstructed on the map. This will help locating and verifying the upload of
field observations on a map and can also assist in measuring polygons (area between various GPS marking
points).
When taking field observations it is advised to thoroughly fill in the GPS survey form and the field
observation sheet thoroughly. This investment pays off during the analysis of the field observations in a GIS
for example. Be as complete as possible with regard to providing information on the area of the field
observations. It is advised to sketch the situation, indicate where points were marked with a GPS and take
photos at these marking points to register the environment. If the camera has no function of directly geo-
tagging the picture, then register the number of the photos on the sketch map so it will be easier to organise
all the gathered information.
 56

Example 1 - Field Observation Sheet

Location information
Nr. Waypoint
Coordinates
Height
Compass
Neighbourhood
Address

Grid cell Google Earth

Description of area (use sketch map)
Date and time

Project information
Funding organisation
Implementer
Contractor
Project target
Project start
Project end
Cost per unit

Object information
Structure finished y/n
Type of structure

Surface structure

Roof material

Condition of roof
Color roof
Shape of roof

Wall material
Quality of services (water, electr.)

Used y/n
Further info:
- why was this location selected and by whom?
- what has been done to assess whether location is suitable or
to stimulate suitability?
- what kind of geospatial information has been used in
selecting and assessing location?

For a more detailed field survey sheet (waypoint recording sheet), reference is made to Mapaction’s Field
Guide to Humanitarian Mapping
 57

Example 2 – GPS survey form

58
 59

Appendix 6: ABBREVIATIONS AND GLOSSARY OF TERMINOLOGY

Accuracy & Precision Accuracy is defined as the degree of conformity to truth or to a standard or
model while Precision is defined as the degree of refinement with which an
operation is performed or a measurement stated.
Band The distribution of energy emitted by a radiant source arranged in order of
wavelengths
BRR Agency for the rehabilitation and reconstruction of Aceh and Nias
DAD Development Assistance Database
DEM Digital Elevation Model is a digital model or 3-D representation of a terrain's
surface created from terrain elevation data
Disaster A serious disruption of the functioning of a community or a society involving
widespread human, material, economic or environmental losses and impacts,
which exceeds the ability of the affected community or society to cope using its
own resources
Disaster management Disaster management can be defined as the organization and management of
resources and responsibilities for dealing with all humanitarian aspects of
emergencies, in particular preparedness, response and recovery in order to
lessen the impact of disasters
Disaster-related aid Aid in cash or in-kind provided by national and or international sources for the
response, rehabilitation and reconstruction of a disaster affected area
Display Display – the visual depiction of an image. Generally a 2D array of pixels in
which the brightness of each pixel represents the magnitude of the physical
quantity in one or more bands at a specific spatial location.
DMIS Disaster Management Information System
DRR Disaster Risk Reduction is the concept and practice of reducing disaster risks
through systematic efforts to analyse and manage the causal factors of
disasters, including through reduced exposure to hazards, lessened vulnerability
of people and property, wise management of land and the environment, and
improved preparedness for adverse events
EWS Early Warning System is the set of capacities needed to generate and
disseminate timely and meaningful warning information to enable individuals,
communities and organizations threatened by a hazard to prepare and to act
appropriately and in sufficient time to reduce the possibility of harm or loss
Elements-at-risk Population, properties, economic activities, including public services, or any
other defined values exposed to hazards in a given area. Also referred to as
“assets”. The amount of elements-at-risk can be quantified either in numbers
(of buildings, people etc.), in monetary value (replacement costs, market costs
etc), area or perception (importance of elements-at-risk).
EM-DAT Emergency Events Database, the international database on natural hazards,
maintained by CRED
Exposure Exposure indicates the degree to which the elements-at-risk are exposed to a
particular hazard. The spatial interaction between the elements-at-risk and the
hazard footprints are depicted in a GIS by simple map overlaying of the hazard
map with the elements-at-risk map
GDACS Global Disaster Alert and Coordination System, by Joint Research Center
 60

(JRC) of the European Commission

GIS Geographical Information System, is a computerised system that facilitates data
entry, storage, analysis and presentation especially for spatial (geo-referenced)
data
GPS Global Positioning Systems is a space-based global navigation satellite system
(GNSS) that provides location and time information in all weather, anywhere
on or near the Earth, where there is an unobstructed line of sight to four or
more GPS satellites
Hazard Dangerous phenomenon, substance, human activity or condition that may cause
loss of life, injury or other health impacts, property damage, loss of livelihoods
and services, social and economic disruption, or environmental damage
IFRC International Federation of Red Cross and Red Crescent societies
Image An optically formed reproduction of an object
INSPIRE European Union's INSPIRE Directive aims to establish an Infrastructure for
Spatial Information in the European Community to support Community
environmental policies, and policies or activities which may have an impact on
the environment
International Charter International Charter on Space and Major Disasters, which aims to provide a
unified system of space data acquisition and delivery of value-added products
free of charge for a limited short period to those affected by major disasters
INTOSAI International Organisation of Supreme Audit Institutions
ISSAI International Standard for Supreme Audit Institutions
KARI Korean Aerospace Research Institute
Natural hazard Potentially damaging physical event, phenomenon or human activity that may
cause loss of life or injury, property damage, social and economic disruption or
environmental degradation. This event has a probability of occurrence within a
specified period of time and within a given area, and has a given intensity
PDNA Post Disaster Needs Assessment
Pixel A pixel is the smallest single component of a digital image
Platform The vehicle on which a sensor is carried, generally either an aircraft or a
satellite
Preparedness Knowledge and capacities developed by governments, professional response
and recovery organizations, communities and individuals to effectively
anticipate, respond to, and recover from, the impacts of likely, imminent or
current hazard events or conditions
Prevention Avoidance of adverse impacts of hazards and related disasters
Probability Measure of the degree of certainty. This measure has a value between zero
(impossibility) and 1.0 (certainty). It is an estimate of the likelihood of the
magnitude of the uncertain quantity, or the likelihood of the occurrence of the
uncertain future event
Raster data Objects or geographical phenomena represented by cells/pixels in a raster
Reconstruction See Recovery
Recovery The restoration, and improvement where appropriate, of facilities, livelihoods
and living conditions of disaster-affected communities, including efforts to
reduce disaster risk factors
Rehabilitation See Recovery
Relief See Response
 61

Remote sensing Acquisition of information about an object or phenomenon without making

physical contact with the object. In modern usage, the term generally refers to
the use of aerial sensor technologies to detect and classify objects on Earth
(both on the surface, and in the atmosphere and oceans) by means of
propagated signals (e.g. electromagnetic radiation emitted from aircraft or
satellites)
Resilience Ability of a system, community or society exposed to hazards to resist, absorb,
accommodate to and recover from the effects of a hazard in a timely and
efficient manner, including through the preservation and restoration of its
essential basic structures and functions
Response The provision of emergency services and public assistance during or
immediately after a disaster in order to save lives, reduce health impacts,
ensure public safety and meet the basic subsistence needs of the people
affected.
Risk Probability of harmful consequences, or expected losses (deaths, injuries,
property, livelihoods, economic activity disrupted or environment damaged)
resulting from interactions between (natural, human-induced or man-made)
hazards and vulnerable conditions in a given area and time period
Risk analysis Use of available information to estimate the risk to individuals or populations,
property, or the environment, from hazards. Risk analysis generally contains
the following steps: hazard identification, hazard assessment, elements-at-
risk/exposure analysis, vulnerability assessment and risk estimation
Risk assessment Process of risk analysis and risks evaluation
Risk transfer Process of formally or informally shifting the financial consequences of
particular risks from one party to another whereby a household, community,
enterprise or state authority will obtain resources from the other party after a
disaster occurs, in exchange for ongoing or compensatory social or financial
benefits provided to that other party
SAI Supreme Audit Institution
Satellite Platform in orbit around Earth, generally not powered. Motion dictated by
Kepler’s Laws of orbital motion
SDI Spatial Data Infrastructure is a framework of spatial data, metadata, users and
tools that are interactively connected in order to use spatial data in an efficient
and flexible way
Sensor Device used to measure the energy radiated, emitted or reflected from a target.
A webcam is an example of a passive sensor that relies on an external energy
source (e.g. a lamp). A radar gun is an example of an active sensor that emits
its own energy source (radar waves). A digital camera with a flash can be used
as either an active sensor (with the flash) or a passive sensor (without).
Technological hazard Hazard originating from technological or industrial conditions, including
accidents, dangerous procedures, infrastructure failures or specific human
activities, that may cause loss of life, injury, illness or other health impacts,
property damage, loss of livelihoods and services, social and economic
disruption, or environmental damage
UNGIWG United Nations Geographical Information Working Group
UNISDR United Nations International Strategy for Disaster Reduction
UNDP United Nations Development Program
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UNOOSA United Nations Office for Outer Space Affairs

UNORC United Nations Office for the Recovery Coordinator for Aceh and Nias
UN-SPIDER United Nations Platform for Space-based Information for Disaster Management
and Emergency Response
Ushahidi Free open-source software for co-ordinating citizen reports on a national crisis
Vector data Objects or geographical phenomena represented by single or multiple points
Vulnerability Vulnerability refers to the conditions determined by physical, social, economic
and environmental factors or processes, which increase the susceptibility of a
community to the impact of hazards
WG AADA Working Group on the Accountability for and Audit of Disaster-related Aid
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Appendix 7: INTERESTING LINKS AND REFERENCES

Disaster database
Asian Disaster Reduction Center (ADRC), disaster database Glidenumber: www.glidenumber.net

Centre for Research on the Epidemiology of Disasters (CRED) maintains the Emergency Events Database
EM-DAT: http://www.emdat.be/

Early warning and hazard (disaster risk) mapping

Famine Early warning Systems Network (FEWS NET): http://www.fews.net/Pages/default.aspx

FAO, Global Information and Early Warning System on Food and Agriculture (GIEWS):
http://www.fao.org/giews/english/index.htm. FAO also has an early warning system for desert locust:
http://www.fao.org/ag/locusts/en/info/info/index.html

Global Disaster Alert and Coordination System: http://www.gdacs.org/

Humanitarian Early Warning Service (HEWS) of the Inter-Agency Standing Committee:

http://www.hewsweb.org/hp/
HEWS also provides a calendar of hazards at country level based on historical data:
http://www.hewsweb.org/hazcal/

Megacities Disaster Risk Management Knowledge Base for sharing and understanding disaster risk
management sound practices and systems in place in many of the world's most disaster-prone urban
environments: http://www.pdc.org/emi/

Munich RE's Nathan World Map of Natural Hazards: http://www.munichre.com/publications/302-

05972_en.pdf [registration is required].

NASA Earth Observatory: http://earthobservatory.nasa.gov/

National Association of Radio Distress-Signalling and Infocommunications

Emergency and Disaster Information Service (RSOE EDIS), Disaster and Emergency AlertMap:
http://hisz.rsoe.hu/alertmap/

Prevention Web: http://www.preventionweb.net/english/

ReliefWeb: http://www.reliefweb.int/

UNISDR Global Risk Data Platform:

http://www.preventionweb.net/english/hyogo/gar/2011/en/what/rdp.htm

United States government's National Hurricane Centre: http://www.nhc.noaa.gov/nhc_storms.shtml

USDA Foreign Agricultural Service: http://www.fas.usda.gov/countryinfo.asp

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European Union
European Union, project for the assessment of vulnerability to natural hazards in Europe
http://cordis.europa.eu/search/index.cfm?fuseaction=result.document&RS_LANG=EN&RS_RCN=1389386
0&q=

European Union’s strive to establish an infrastructure for spatial information in Europe

http://inspire.jrc.ec.europa.eu/ and http://inspire-geoportal.ec.europa.eu/

Earth observation satellites

An overview of active earth observation satellites:
http://en.wikipedia.org/wiki/List_of_Earth_observation_satellites

International Charter
For more information on the International Charter on Space and Major Disasters
http://www.disasterscharter.org/home

Haiti: mapping of damage and recovery efforts

There are many open source platforms that provide information on the damage assessment of the 2010
earthquake in Haiti and the progress of the recovery efforts: http://haiti.ushahidi.com/
http://www.noula.ht/
http://haiti.openstreetmap.nl/

Humanitarian organisations
International Federation of Red Cross and Red Crescent societies (IFRC), information on the Disaster
Management Information System (DMIS): http://www.ifrc.org/en/what-we-do/disaster-management/

INTOSAI
WG AADA, all publications are made available on: http://eca.europa.eu/portal/page/portal/intosai-
aada/home.

WG EA, Auditing Forests: Guidance for Supreme Audit Institutions, appendix 2: Using GIS and GPS in
Forests Audits: http://www.environmental-
auditing.org/Home/WGEAPublications/StudiesGuidelines/tabid/128/Default.aspx

Open government data

www.data.gov.uk.
http://www.recovery.gov/Pages/default.aspx

Open source GIS-software overview

http://opensourcegis.org/

Open source mapping platforms

http://www.google.com/intl/en/earth/download/ge/
http://maps.google.com/.
http://www.bing.com/maps/.
http://ushahidi.com/.
http://www.openstreetmap.org/.
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http://www.arcgis.com/home/webmap/viewer.html.

United Nations
United Nations Geographical Information Working Group (UNGIWG):
http://www.ungiwg.org/ and http://www.unsdi.nl/

UN International Strategy for Disaster Reduction: “UNISDR terminology on disaster risk reduction (2009)”,
http://www.unisdr.org/eng/terminology/terminology-2009-eng.html

Hyogo Framework for Action 2005-2015: Building the resilience of nations and communities to disasters –
http://www.unisdr.org/we/coordinate/hfa
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Appendix 8: BIBLIOGRAPHY

Buiten, H.J. and J.G.P.W. Clevers (1993). Land observation by remote sensing: Theory and applications, vol.
3 of Current topics in Remote Sensing. Gordon & Breach 1993. This reference is derived from Wietske
Bijker and Harthanto Sanjaya ( 2008). Use of Geographical Information System for Audit of Disaster-
Related Aid. Final Report (SAADRA Program – TF 057426), ITC, Enschede.

European Union and World Bank (2011), Using high resolution satellite data for the identification of urban
natural disaster risk. Washington: Global Facility for Disaster Reduction and Recovery.

Gorum, T., Fan, X. M., van Westen, C. J., Huang, R. Q., Xu, Q., Tang, C., Wang, G. H., Distribution pattern
of earthquake-induced landslides triggered by the 12 May 2008 Wenchuan earthquake. Geomorphology,
2011, 133(3-4), 152-167; Dai, F. C., Xu, C., Yao, X., Xu, L., Tu, X. B., Gong, Q. M., Spatial distribution of
landslides triggered by the 2008 Ms 8.0 Wenchuan earthquake, China. Journal of Asian Earth Sciences,
2011, 40(4): 883-895.

Joint Board of Geospatial Information Societies and United Nations Office for Outer Space Affairs (2010) ,
Geoinformation for Disaster and Risk Management. Copenhagen: JB GIS, http://www.un-
spider.org/sites/default/files/JBGIS_UNOOSA_Booklet_0.pdf

Government of the Republic of Haiti (2010), Haiti Earthquake PDNA: Assessment of damage, losses,
general and sectoral needs. Annex to the Action Plan for National Recovery and Development of Haiti,
http://siteresources.worldbank.org/INTLAC/Resources/PDNA_Haiti-2010_Working_Document_EN.pdf

INTOSAI Task Force on the Accountability for and Audit of Disaster-related Aid (2008), Lessons on
accountability, transparency and audit of Tsunami-related aid. The Hague: Netherlands Court of Audit,
http://eca.europa.eu/portal/page/portal/intosai-aada/home

INTOSAI Working Group on the Accountability for and Audit of Disaster-related Aid (2010), Transparency
and accountability of disaster-related aid for Haiti starts now! The Hague: Netherlands Court of Audit,
http://eca.europa.eu/portal/pls/portal/docs/1/3688723.PDF

INTOSAI Working Group Environmental Auditing (2010), Auditing Forests: Guidance for Supreme Audit
Institutions, appendix 2: Using GIS and GPS in Forests Audits, http://www.environmental-
auditing.org/Home/WGEAPublications/StudiesGuidelines/tabid/128/Default.aspx

ITC, Faculty of Geo-Information Science and Earth Observation (2004), Principles of Geographic
Information Systems, educational textbook series 1. Enschede: ITC.

London Institute of Space Policy and Law (ISPL) (2012), Evidence from space: use of space-derived earth
observation information as evidence in judicial and administrative proceedings. London: ISPL
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Mapaction. (2011). Field Guide to Humanitarian Mapping, 2nd edition July 2011. Buckinghamshire:
Mapaction,
http://www.mapaction.org/?option=com_mapcat&view=mapdetail&id=2426

Alfred Stein, Wenzhong Shi, Wietske Bijker (editors) (2009), Quality aspects in spatial data mining, Boca
Raton: CRC Press

UN International Strategy for Disaster Reduction (2005), Hyogo Framework for Action 2005-2015:
Building the resilience of nations and communities to disasters – http://www.unisdr.org/we/coordinate/hfa,
August 2012

UN International Strategy for Disaster Reduction, “UNISDR terminology on disaster risk reduction (2009)”,
http://www.unisdr.org/eng/terminology/terminology-2009-eng.html, August 2012

U.S. Department of Justice, National Institute of Justice (2005), Mapping Crime: Understanding Hot Spots,
John E. Eck, Spencer Chainey, James G. Cameron, Michael Leitner,
and Ronald E. Wilson.

Westen, Cees. v. (2009). Multi-hazard risk assessment. Distance education course. Guide book. Enschede:
United Nations University – ITC School on Disaster Geo-information Management