A semi-automatic method to Hydro-flatten LiDAR dataA semi-automatic method to Hydro-flatten LiDAR...
Transcript of A semi-automatic method to Hydro-flatten LiDAR dataA semi-automatic method to Hydro-flatten LiDAR...
A semi-automatic method to Hydro-flatten LiDAR data
Sagar S. Deshpandea, Alper Yilmazb aSurveying Engineering, Ferris State University, [email protected]
bDepartment of Civil, Environmental, and Geodetic Engineering, The Ohio State University, [email protected]
ABSTRACT
Triangulation of LiDAR data can produce unnatural water surface. Therefore, it is necessary to hydro-
flatten LiDAR data. Hydro-flattening is driven primarily by cartographic mapping needs, and can also
help hydrologic analysis, because hydro-flattened surfaces behave naturally; allowing water flow from
upstream to downstream. Detailed hydro-flattening requirements have been stated by USGS, which are
to be used by LiDAR contractors. In this paper, a new method is presented which extracts bank shoreline
of inland water bodies to hydro-flatten LiDAR data. Unclassified LiDAR data acquired over Big Rapids, MI
and a river centerline from the NHD were used as inputs to this method. LiDAR data within a certain
distance of the centerline was processed to create a continuous bare ground surface by removing LiDAR
points over trees and other non-ground features and by adding synthetic bathymetric points in the
water area with sparse LiDAR points. Then cross-sections were placed at regular intervals perpendicular
to the centerline, and the lowest elevation points around every intersection were searched. These
elevations were assumed to be at, or near the actual water surface and assigned to their respective
cross-section. These elevations were checked and revised to have a natural drop in elevation from
upstream to downstream, then raised arbitrarily by 0.5 m so that they were between the minimum and
the bank full elevation of the river at any cross-section. A virtual water surface was created using the
raised elevations, which was then intersected with the conditioned bare earth surface to obtain bank
shoreline polygons. Any voids greater than 200 m2 were filled and the polygons were smoothed using
tools in ArcGIS software for better cartographic appearance. These polygons were then converted to a
3D feature by extracting elevation from the virtual water surface and were used to hydro-flatten the
LiDAR data. The proposed method is also modified to be used for hydro-flatten ponds.
KEYWORDS: LiDAR, Hydro-flattening, bank shoreline, 3D breaklines
1. INTRODUCTION
Digital elevation model (DEM) or triangulated irregular network (TIN) derived from LiDAR data will show
unpleasant and unnatural water surface due to the fact that LiDAR data does not provide natural
breaklines and the elevations of water points is not uniform. Furthermore, hydrologic connectivity in
water surfaces is necessary to ensure that the elevation of water surface decreases from upstream (U/S)
to downstream (D/S). Therefore, the LiDAR data is hydro-flattened so that water bodies such as:
streams, rivers, and long reservoirs show an elevation change along their length, whereas ponds, lakes,
or other cartographically polygonal water surfaces to show a static water surface, consistent with their
natural behavior and the surrounding topography (Heidemann, 2012). Although hydro-flattening could
help in hydraulic and hydrologic modeling, the primary need of hydro-flattening is driven solely by
cartographic mapping needs. It is achieved by using a 3D breakline along the shoreline of a water body,
which establishes elevations of the water surface, and produce an aesthetically acceptable water
surface in the DEM or TIN.
The shoreline of a water body can be defined as the line of contact between land and water (Liu et al.
2009, Shalowitz, 1964) or “ . . . the intersection of the land with the water surface” (Gill and Schultz,
2001). The ordinary high water line is often used to demarcate property boundaries and has legal
significance. The ordinary high water mark or the average high water mark is defined as the high water
mark that can be expected to be produced by a body of water in non-flood conditions (USGS 2015a).
This high water line can be easily identified in aerial photographs as a wet-dry visible line in sandy
beaches (Liu et al. 2009, Shalowitz, 1964). In case of steep banks along river, the bank shoreline can be
represented by a line located between the water surface at the time of data acquisition and the high
water mark, and can be included in LiDAR data as breakline (Heidemann, 2012 and Maune, 2003).
Considering the total length of rivers, manual digitization of shorelines from aerial images would be
highly time-consuming. In addition, images alone cannot be used to determine shoreline in vegetated
areas. On the other hand, LiDAR data lacks feature information as it only records intensity and elevation
at discrete points and the presence of trees along the shore makes it difficult to identify the shoreline of
water bodies.
In this paper, a new method is presented to hydro-flatten LiDAR data. The main objective of this paper is
to develop a semi-automated method to minimize human interpretation and to increase time efficiency
and accuracy of hydro-flattening. The background information and the literature review are described in
Section 2. Section 3 describes the data used to test the proposed method. Section 4 describes the
methodology developed for hydro-flattening. The results are discussed in Section 5 followed by
conclusion in Section 6.
2. BACKGROUND REVIEW
With the improvements in the sensor technology over the past decade, there has been a significant
increase in the resolution and decrease in the cost of acquisition of LiDAR data (Chen, 2007 and
Deshpande, 2013). The basic principle of a LiDAR survey is based on laser distance measurement using a
scanning mirror mechanism. At a sampling rate of 30 kHz or higher, a LiDAR system can produce spatial
elevation data with an average horizontal spacing of 1 m or less (Liu et al., 2009); thus providing very
dense elevation data. LiDAR data can also measure ground elevation in vegetated areas, resulting in
increased details when compared to an aerial survey (Sasaki et al., 2008). This ability provides more
accurate topography along a river or stream in vegetated areas. Therefore, LiDAR is becoming
increasingly popular and is being used in different fields such as floodplain mapping, canopy mapping,
building extraction, etc.
In the USA, the 3D Elevation Program (3DEP) initiative is being developed by USGS in respond to the
growing needs for high-quality topographic data by collecting enhanced elevation data systematically in
the form of high-quality LiDAR data (USGS 2015b). It is anticipated that this program will provide
benefits to a range of Federal, State, and local government applications, and private industry
applications. Federal Emergency Management Agency (FEMA) is among the first to utilize LiDAR for
automated hydrologic and hydraulic (H&H) modeling and is the first federal agency to publish LiDAR
guidelines and specifications (Maune, 2003). Similarly, the USGS–NGP program provides leadership for
coordination, production, and service activities. USGS–NGP’s objective is to produce topographic DEMs
that resemble DEMs derived from traditional photogrammetric methods that are free of unnatural
triangulation effects over water surface (Heidemann, 2012). Some of the hydro-flattening requirements
which shall be achieved by the contractors are summarized below:
a) Inland ponds or lakes: Water bodies of 8,000 m2 (2 acres) or greater surface area at the time of
collection shall be flattened to have a single elevation for every shoreline vertex defining the
water body’s perimeter and that this elevation should be at or lower than the immediately
surrounding terrain.
b) Inland streams and rivers: Streams and rivers of a 30-m (100-ft) nominal width shall be flattened
to present a flat and level water surface bank-to-bank having a gradient downhill water surface,
following the immediately surrounding terrain. The entire water-surface edge shall be at or
below the immediately surrounding terrain.
In summary, the goal of hydro-flattening is to create an artificial water surface over water bodies which
will possess basic surface characteristics of natural water. Figure 1 shows the issues encountered while
identifying bank shorelines.
Figure 1: Schematic diagram showing interaction of LiDAR with ground features
Most airborne topographic LiDAR systems operate within the near-infrared spectrum, resulting in
reduced point density or void regions over water bodies (Figure 1) caused due to the absorption of laser
pulses by water (Worstell et al., 2014). The intensity value of these points is generally very low because
it is affected by factors such as velocity, turbulence, depth of the water, and poor reflectance
(Antonarakis et al., 2008). Both the intensity values and the point density of LiDAR over water bodies are
not consistent resulting in higher density and/or a wide range of intensity values. Further, several points
could be obstructed by overhanging trees or the presence of steep shore could also result in few or no
LiDAR points along banks (Liu et al. 2009, Maune, 2003), resulting in low point density. All the
aforementioned issues make identification of river or pond bank shoreline a challenging task.
Traditionally, two-dimensional breaklines derived photogrammetrically have been used to hydro-flatten
LiDAR data because it could be difficult to determine the shoreline location using LiDAR data due to
sparse points between the top and bottom of stream banks (Maune, 2003). Compared to
Photogrammetry, LiDAR laser pulse can pass through trees to measure the ground underneath, resulting
in more ground points beneath the trees. Although sparse, such points could help in locating the bank
shoreline.
Literature review
Worstell et al. (2014) have utilized the property of sparse point to identify voids in LiDAR data and
classified them as water. Results from this study indicated that a 5-meter radius moving window over a
1 m raster LiDAR grid with fewer than 23 returns (28 percent of the moving window) was sufficient for
delineating void regions. In their study, the average elevation minus 1 sigma was used to model the
elevation of lakes/ponds. Elongated features were classified as rivers and a least square approach was
implemented to assign elevation from downstream to upstream. Approach based on LiDAR point
density and average elevation was also used in Korzeniowska (2012) to locate water bodies. Tascano et
al. (2014) proposed a non-linear heuristic method to detect and delineate water bodies and generate
breaklines primarily in a rural area, using both LiDAR elevation and intensity data. The breaklines
generated using this method matched closely with the break lines drawn in a semi-automated way.
Smeeckaert et al. (2013) presented an automatic, efficient, and versatile workflow for land/water
classification of airborne topographic LiDAR points, using the Support Vector Machine (SVM) method to
classify points along the banks. Area along approximate bank shoreline was used to produce training
sample for the SVM classification. Poppenga et al. (2010) presented an approach to remove artificial
dams that are created by bridges, culverts, or other structures across rivers. Selective draining methods
that modify the elevation surface to drain a depression through an obstruction are presented. This
method is important in producing a complete hydro-flatten LiDAR surface. Höfle et al., (2009) presented
a new method for water surface mapping using the geometrical and intensity information of the LiDAR
points. Their method included two essential preprocessing steps; the correction of the signal intensity
and the modeling of laser shot dropouts. Vegetation which cover water bodies were removed using a
height threshold and the points were classified as water and land by codes 0 and 1, respectively. Then
the 0.5 contour, which would be between the coded points, was assumed as the breakline. A
plannimetric accuracy of 0.45 m was achieved by this method. In Antonarakis et al. (2008), the authors
classified open water by checking elevation information within 0.5 m from an approximate bare earth
and intensity value less than 55. In addition to LiDAR, authors have used SPOT satellite image to identify
water due to missing response over water body. Lin et al. (2008) proposed an algorithm with profile
factor as the kernel circle is proposed for automatic recognition of river using image unification, edge
extraction and skeleton generation. The LiDAR and remote sensing images were used to extract rivers.
Most of the above methods are based on the intensity and/or point density of LiDAR data, but both of
these properties are not consistent over water bodies. The intensity values lack calibration information
thus resulting in significant variation, whereas dense points can also be found at many locations over
water bodies. In addition, almost all the above methods convert the LiDAR point data to raster format.
Unlike a raster format, a TIN accurately maintains the exact features of the LiDAR data and is preferable
to a DEM when it is critical to preserve the precise location of narrow or small surface features such as
levees or narrow stream channels (Maune, 2001). The mapping accuracy of the TIN surface created by
using LIDAR data is much more accurate than alternative mapping accuracies on an interpolated 2 ft
contour surface, a 10 ft contour surface, or an NED 1 arc second DEM surface (Cohen, 2007).
In this paper, we present a new method which is based on the elevation of LiDAR point data. This
method was implemented directly on TIN surfaces, thereby avoiding errors introduced by conversion to
raster. The bank shoreline is expected to be located between the high and low bankline location as
shown in Figure 1. Use of such shoreline can be sufficient in hydro-flattening the LiDAR data
(Heidemann, 2012 and Maune 2003). We have tested the proposed method on the data discussed in the
next section.
3. DATA USED
The LiDAR data used in this study, was obtained from the GIS department of Mecosta County, MI. This
data was acquired by the Sanborn Mapping Co. on December 6, 2014 using Leica ALS70 system from a
flying height of 2500m. The vertical accuracy of 0.046 m RMSE was reported by the vendor. Attributes
such as ground class number, intensity, elevation, and return number were provided, but, only the
elevation attribute was used in this study. There were about 2 million points with a tile of 0.58 km2 area,
resulting in an average point density of 3.4 points/m2. In addition to the LiDAR, the NHD river centerline
was used as the approximate location of the river and orthoimages were used for result evaluation. The
orthoimages were acquired in 2010 at a spatial resolution of 0.3048 m and had a horizontal accuracy of
0.96 m. These images were also obtained from the GIS department of Mecosta County, MI.
4. METHODOLOGY
The entire workflow, as shown in Figure 2, can be divided into five steps: data preparation, virtual water
surface (VWS) creation, continuous bare ground surface (CBGS) creation, bank shoreline determination
and refinement, and hydro-flattening the LiDAR data using the refined bank shoreline. These steps are
described below in detail.
Step 1: Data preparation
The raw LiDAR data, the NHD river centerline, and the orthoimages were used as input data sources. The
centerline was compared manually to the orthoimages to verify that it was within the visible width (W)
of the river. To avoid processing over the entire extent, LiDAR data up to a distance of 1.5 ×𝑊 on either
side of the revised centerline was clipped and was used in the following processes. Here, W stands for
the average width of the river, estimated by visual inspection.
Step 2: Virtual water surface creation
A VWS is created commonly during hydraulic modeling of a river by connecting cross-sections which are
placed perpendicular to the river’s centerline. In this study, a similar VWS was created which had near-
water surface elevation that was gradually decreasing from upstream to downstream. In case of lakes,
the VWS had a constant elevation. This procedure is described below.
Figure 2: Steps to hydro-flatten LiDAR data
Cross-sections were placed perpendicular to the NHD river centerline at regular intervals (Figure 3a). To
obtain water surface elevation, it was assumed that the lowest elevation point around every cross-
section will be at, or near the actual water surface. Therefore, LiDAR data within a radius distance of R
from the intersection of river centerline and the cross-section was searched to find the lowest elevation.
Figure 3b shows the points within the search radius and the minimum point location. Due to varying
width of the river, 𝑅 = 1.5 ×𝑊 was adopted so that all the points between the banks can be searched.
Similarly, minimum elevation points around every intersection of the cross-sections and the river
centerline (Figure 3c) was identified and the minimum value was assigned to the respective cross-
sections.
a. Intersection of cross-
sections with centerline
b. Minimum LiDAR point within search
radius. Green points show the
location of the intersection of cross-
section and centerline
c. Minimum LiDAR point
searched around every
intersection
Figure 3: Process of searching minimum elevation LiDAR point
Figure 4 shows the elevation of the minimum elevation at every cross-section for a river reach of 7km.
Ideally, these elevations (shown as triangles) should have gradually increased from downstream to
upstream, but due to the random nature of the LiDAR point and the sparse point density over water, the
minimum elevation was not always the water surface elevation. Additionally, two low outliers were
observed at the intersections #18 and #63. To fulfill the requirement of hydro-flattening by maintaining
the hydrologic connectivity which ensures flow of water from upstream to downstream, elevations were
checked and modified prior to further processing.
Figure 4: Elevations assigned at the intersection of cross-sections and centerline
262
263
264
265
266
267
1 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81
Wat
er S
urf
ace
Elev
atio
n (
m)
Intersection of Cross-sections and centerline
Minimum Revised Intersection
The revised elevations are shown in the Figure 4 and were used at the respective cross-sections to
create a TIN surface. This surface is referred as Base-Virtual Water Surface (B-VWS) in the remainder of
the paper. As explained earlier, LiDAR points over the water surface are sparse and can produce some
vestige due to overhanging trees. From Figure 1, it can also be noted that there could be areas between
banks without any LiDAR points. These issues could create artificial islands between the banks if the B-
VWS is intersected with the bare ground surface because the B-VWS is too close to the actual water
surface. Thus, it was necessary to raise the B-VWS so that it is higher than the actual water surface but
lower than the bank-full elevation. Assuming that the elevation difference between the B-VWS and the
bank-full elevation at any location along the river is at least 0.5 m, a second VWS was created by adding
0.5 m to the B-VWS. This second surface is called as intersection-VWS (I-VWS) in the remainder of the
paper.
Step 3: Continuous bare ground surface (CBGS) creation
There are several methods of creating bare ground surface from LiDAR data (Sithole and Vosselman,
2004). In this paper, a simple approach proposed in Antonarakis et al. (2008) was adapted to create a
bare ground surface (Figure 2). A raster surface of 3 m grid size was created and the lowest elevation of
LiDAR points within each grid was used as the grid value by assuming that it belonged to the ground
surface. All LiDAR points within 0.5 m of this raster surface were classified as bare ground points,
whereas the rest were classified as non-ground points. We observed that several grids over the water
surface were without any point due to sparseness of LiDAR. These grids were labelled as “no elevation
grid.” Similarly, several other grids had very few points. Upon close inspection of such grids, it was found
that these points either belonged to the water surface, shallow underwater ground surface, or
overhanging trees. Therefore, grids with less than 3 points were identified and labelled as “no elevation
grid” and the points over these grids were classified as non-ground. At this stage, LiDAR data was
classified to have bare ground points, non-ground points, and no elevation grid. During further
inspection of the bare ground points, it was noticed that at several locations there were no points
between banks. A TIN surface created using the bare ground points could be entirely or partially above
the I-VWS, thus no intersection could take place between the two surfaces (Figure 5). It was necessary
to lower the elevation over no elevation grids so that the two surfaces could intersect.
Figure 5: Schematic diagram of a cross-section profile
Since the “no elevation grid” belonged to water area, points with significantly low elevation compared
to LiDAR data were placed at these grid locations to add synthetic bathymetry points. In this study, the
lowest elevation along the profile was 263m, so an elevation of 10 m was arbitrarily assigned to the
bathymetry points. This process was similar to river burning (Koltun, 2006) but was extended to a larger
area. Then a continuous bare ground surface (CBGS) was created by triangulating the bathymetry points
and the bare ground points.
Step 4: Bank shoreline extraction
In the bank shoreline extraction stage the CBGS was intersected with the I-VWS to obtain polygons of
the area below, equal, or above the I-VWS. The bank shoreline was identified using the polygons that
were below or equal to the I-VWS. Close inspection of these polygons revealed that few high points
were present within the banks resulting in small voids in the polygon. A smoothing and filtering process
was implemented to fill voids smaller than 200 m2 and to smooth the boundary using PAEK method with
a threshold value of 30.48 m (100 ft). This smoothed 2D bank shoreline was converted to 3D, using the
elevation from the B-VWS because this surface was near the actual water surface compared to the I-
VWS.
Step 5: Hydro-flattening
The last stage was to hydro-flatten the bare ground LiDAR data using the 3D bank shoreline polygon
obtained in the above process. The bare ground points within the smooth bank shoreline polygon were
classified as water points and those within 0.5m from the bank shoreline were classified as Ignored
ground (class value of 10) (Heidemann, 2012). Both the water points and the Ignored ground points
were not included in the triangulation process. All the remaining bare ground points were triangulated
using the 3D bank shoreline as a hardline.
Pond/Lake shoreline determination
The process explained above for a river was modified to hydro-flatten static water bodies such as ponds
or lakes. Instead of using a centerline, approximate pond boundary was buffered to process the points
within 10 m from the pond boundary. These points were processed to create the CBGS by following the
same procedure used for rivers. The B-VWS was created by using the minimum elevation within the
buffered points. In this case, the minimum elevation point was checked manually so that it is not a low
outlier. After obtaining the CBGS and VWS, the rest of the procedure remained the same as shown in
the Figure 2.
5. IMPLEMENTATION AND RESULTS
The above method was implemented on two different rivers: Muskegon River and Ryan creek having the
properties listed in Table 1. The shoreline derived by the proposed method and the vendor provided
shoreline are compared with the orthoimage in Figure 6. Figure 7a, c, and d show zoomed areas of
Muskegon River, whereas Figure 7b shows Ryan creek. These two shorelines were compared visually in
2D and also in 3D. It was observed that for most of the length both shorelines appear similar with
smaller variations. At several locations the proposed method shoreline appears to be landwards on
either bank compared to the vendor provided shoreline. This could be attributed to the fact that the I-
VWS was 0.5 m higher than the B-VWS, causing a landward intersection. At certain location in Figure 7a,
the proposed method shoreline was able to connected smaller adjacent water bodies which were
connected to the Muskegon River. The elevations along the shoreline was found to be gradually
decreasing from upstream to downstream Figure 7f.
Table 1: Properties of river reaches
Characteristics Muskegon river Ryan creek
Length processed 7.6 km (two reaches combined) 0.6 km
Visible width range 55 to 75 m 8-13 m (Not clearly visible)
Average width used (W) 61 m (200 ft) 11 m (50 feet)
Lowest elevation 262.9 m 263.7 m
Highest elevation 266.0 m 267.8 m
Average slope (V/H) 1/2100 1/150
The shorelines were also compared to GPS-RTK survey, conducted on February 22, 2016 at 41 locations along a 0.5 km reach of the Muskegon River using a Leica Viva GS14 receiver. The plannimetric location of the bank shoreline was measured during the survey. The horizontal precision of the survey was ±0.04 m. Statistics of the shortest distances from the GPS points to the two shorelines are shown in Table 2.
Table 2: Accuracy comparison of shorelines using GPS survey
GPS survey v/s vendor’s method GPS survey v/s proposed method
Minimum difference 0.03 m 0.02 m
Maximum difference 2.5 m 2.67 m
Mean difference 1.20 m 0.69 m
Standard deviation 0.60 m 0.57 m
The results showed that the mean deviation of the shoreline derived by the proposed method was 0.6m and the vendor provided shoreline was 1.20m. All other parameters were almost the same. It should be noted that the LiDAR was acquired in the month of December when the water level is typically lower than that in the month of February. The I-VWS, which was intersected with the CBGS, was created by adding 0.5 m to the B-VWS. Therefore, the lower mean difference of the proposed shoreline could be due to the water level in February being higher than that in December and closer to I-VWS.
Figure 6: Overview of the two rivers showing the shorelines
River reach of Ryan creek was also hydro-flattened using the same procedure. This creek is significantly
smaller and steeper compared to Muskegon River. The proposed method with the search radius and the
cross-section spacing of 1.5 ×𝑊 was able to extract bank shoreline effectively. After hydro-flattening,
the elevations along both rivers gradually drop from upstream to downstream, thus follow the
requirements stated by USGS.
The shoreline derived for the pond Figure 7e, also appears to be landwards compared to vendor
provided shoreline. The pond water surface elevation also fulfils the USGS requirements.
a. Zoom 1
b. Zoom 2
c. Zoom 3
d. Zoom 4
e. Shoreline of a pond
f. Hydro-flatten surface and
elevations drop from D/S to U/S Figure 7: Zoomed areas showing the comparison of the two shorelines
6. CONCLUSION
This paper has presented a new method to extract bank shoreline and perform hydro-flattening of
LiDAR data using the advantage of LiDAR that it can see through vegetation. The method is based on
intersection of CBGS and I-VWS to extract bank shorelines, which are then smoothened to use as
breaklines. The close inspection of the results in 2D and 3D visualization showed that this method is
capable of extracting bank shoreline closer to the actual bank shoreline location compared similar to
vendor provided shoreline. Further, the search radius and the cross-section spacing of 1.5 ×𝑊 was able
to extract bank shoreline effectively for both rivers despite the fact that they differ significantly in slope
and width. The B-VWS, which is used to extract height information, showed a gradual drop in elevation
conforming to the USGS requirement of Hydro-flattening. Similarly, the B-VWS of ponds showed even
elevation from bank to bank. Comparison with a field GPS survey showed that the proposed method
was able to achieve a higher accuracy of 0.69m compared to 1.20m for the vendor provided shoreline.
Finally, it was observed that despite all automation, a manual check (and correction if required) is
necessary because LiDAR points are not available at several highly vegetated locations.
Acknowledgements
We would like to thank the GIS department at Mecosta County, MI, State of Michigan – DTMB, and the
Sanborn Mapping Company for providing the LiDAR data and undergraduate students, Michelle Thebo,
Marshall Wixom, and Oliver Fom Kom for their help during the study.
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