1. Introduction
In recent years, earthquake disasters have become more frequent around the world. The earthquake is one of the most dangerous natural disasters for human beings, and tens of billions of dollars in property loss are caused by earthquakes every year. Unfortunately, earthquakes cannot be predicted accurately at the current scientific level. Rapid and accurate damage assessment can help to reduce the disaster loss and can provide decision support for the rescue and reconstruction efforts. Buildings are the places where people live, and most of the casualties and economic losses in an earthquake are caused by the damage to buildings [
1]. Therefore, building damage assessment is one of the most important parts of earthquake damage assessment.
The earthquake damage information obtained from a ground survey is the most accurate, but this process is inefficient and takes a long period of time. Remote sensing, which is characterized by wide coverage and speediness, is very suitable for areas with poor transport infrastructure and where there is a risk of secondary disasters. Optical remote sensing images allow easy interpretation, but they are susceptible to illumination variation [
2]. Radar, with its strong penetrating ability, can operate day and night, independent of weather conditions. As a result, radar has become an important means of disaster assessment [
3,
4,
5,
6], but most of the studies of disaster assessment are based on multi-source [
7,
8] or multi-temporal data [
9,
10,
11,
12]. However, obtaining the matched pre-earthquake data is difficult in some situations, and the registration of the pre- and post-earthquake data is tricky and time-consuming. Therefore, it is quicker and more convenient to undertake earthquake damage assessment using only post-event single-temporal data.
Balz [
13], Dell’Acqua
et al. [
14], and Polli
et al. [
15] have all evaluated building earthquake damage using only post-earthquake single-polarization synthetic aperture radar (SAR) data. Nevertheless, PolSAR (fully-polarimetric SAR) data record the scattering amplitude and phase of the HH (horizontal/horizontal polarization), HV(horizontal/vertical polarization), VH(vertical/horizontal polarization), and VV(vertical/vertical polarization)polarizations four ways for ground objects, and can better assist with the understanding of scattering mechanisms [
16] than single-polarization SAR imagery. As a result, building damage assessment using PolSAR imagery is more accurate and more reliable. Guo
et al. [
17] and Li
et al. [
18] introduced the parameter of
ρ (circular polarization correlation coefficient) and proposed the
H-α-ρ method to extract the spatial distribution of collapsed buildings in the Yushu urban area by using only a single post-earthquake SAR image. Subsequently, Zhao
et al. [
19] improved the
H-α-ρ method and replaced the parameter of
ρ with the normalized circular-pol correlation coefficient (NCCC), and, at the same time, the
homogeneity texture feature was employed to solve the problem of collapsed buildings and buildings divergent to satellite flight pass being mixed with each other. Shen
et al. [
20] extracted collapsed buildings based on feature template matching, using 13 polarimetric features. On account of the present research into building earthquake damage information extraction being rather limited, this work aims to undertake some new research in this area.
A new scheme for earthquake damage assessment using only a single post-earthquake PolSAR image is proposed in this study. This work explores the potential of using polarimetric information to estimate earthquake damage for urban regions. In full PolSAR imagery, the scattering power of collapsed buildings characterized by volume scattering is weak, and the undamaged buildings are mainly characterized by double-bounce scattering, for which the scattering power is strong. However, the buildings divergent to satellite flight pass, which are not parallel to the flight pass, with significant cross-polarization backscattering, are similar to the collapsed buildings. This ambiguity between the building types commonly results in overestimation of collapsed buildings in damage assessment.
The buildings divergent to satellite flight pass, rather than the buildings parallel to satellite flight pass, rotate the polarization basis and induce a polarization orientation angle (POA) shift from zero [
21]. Therefore, we first implement POA compensation for the original PolSAR data in order to solve the scattering mechanism ambiguity between collapsed buildings and buildings divergent to satellite flight pass. Wishart supervised classification is then performed on the PolSAR data after POA compensation to extract the initial earthquake damage information. The parameters of the normalized difference of the dihedral component (NDDC) and the HH-HV correlation coefficient (
ρHHHV) are then introduced to extract the buildings divergent to satellite flight pass, which are added to the undamaged buildings generated from the Wishart supervised classification. The
ρHHHV parameter is also used to improve the vegetation classification result of the Wishart supervised classification. When the undamaged buildings and collapsed buildings are acquired, the building collapse rate is quantized at the block level by the building block collapse rate (BBCR). Finally, a map with three building damage levels for the whole urban region is drawn according to the threshold value of the BBCR at the block scale.
2. Methodology
2.1. The Damage Assessment Procedures
There are five key procedures in the process flow of the damage estimation framework proposed in this study, as shown in
Figure 1. Firstly, according to
Section 2.2, the method of POA compensation is performed using the PolSAR data after preprocessing, and the new [T3] matrix after POA compensation is obtained.
Secondly, the Wishart supervised classification is performed on the PolSAR data after POA compensation, and this procedure classifies the ground objects into the four classes of undamaged buildings, collapsed buildings, vegetation, and bare areas.
Thirdly, Yamaguchi four-component decomposition is performed on the PolSAR data before and after POA compensation, respectively. At the same time, the two dihedral components are respectively extracted to compute the NDDC, as described in
Section 2.4. Next, the
ρHHHV parameter described in
Section 2.4 is computed. The buildings divergent to satellite flight pass are then extracted using the two parameters of the NDDC and
ρHHHV. The data items of buildings divergent to satellite flight pass are added to the undamaged buildings generated from the Wishart supervised classification, and they become the total undamaged buildings.
According to the third step, the undamaged buildings are extracted. The collapsed buildings are extracted in the fourth step. The vegetation class generated from the Wishart supervised classification is corrected by meeting the condition of NDDC < ε. The final output of the class of bare areas is the same as the classification result of the Wishart supervised classification. After the three classes of undamaged buildings, vegetation, and bare areas are determined, the remaining data items are the collapsed buildings.
Finally, the building collapse rate of each block is derived from the BBCR index described in
Section 2.6, and the damage levels of all the blocks are divided into three levels according to the threshold values of the BBCR index. The earthquake damage assessment with three damage levels is then mapped out for the whole urban region. The methodology and parameters are introduced in detail in the next section.
2.2. Polarization Orientation Angle (POA) Compensation
For enhancing the contrast between buildings divergent to satellite flight pass and collapsed buildings, the scheme of POA compensation can be used to increase the double-bounce scattering power of buildings divergent to satellite flight pass.
The buildings divergent to satellite flight pass patch can induce the POA shift
θ, which can be estimated by Equation (1) based on the circular polarization method [
21,
22]:
where
According to Lee [
21], the data compensation of the orientation angle of
θ can be achieved by:
where the superscript
T denotes the matrix transpose, and the rotation matrix
R(θ) is given by:
2.3. Wishart Supervised Classification
The scattering power of PolSAR imagery can be greatly increased using the method of POA compensation. Therefore, in order to extract the undamaged buildings as completely as possible, Wishart supervised classification based on the complex Wishart distribution of the polarimetric coherency matrix [
23] is performed on the PolSAR data after POA compensation. The classification algorithm proposed in [
24] for polarimetric SAR images is the recommended method for supervised classification. Details of the Wishart supervised classification algorithm can be found in [
23]. The ground objects are classified into four categories using the Wishart supervised classification: undamaged buildings, collapsed buildings, vegetation, and bare areas. Among the classification results, the buildings divergent to satellite flight pass will be mixed in both the collapsed buildings and vegetation classes, so the two classes obtained from the Wishart supervised classification will be inaccurate. The undamaged buildings class still lack some of the buildings divergent to satellite flight pass whose scattering power is not strong enough. However, the bare areas class has a high reliability. Therefore, the results of the Wishart supervised classification are considered as the initial classification results for extracting the building damage information. The initial extraction results are then improved using the following two indicators.
2.4. Building Divergent to Satellite Flight Extraction
Because the results of the Wishart supervised classification are not very accurate, the two parameters of the NDDC and ρHHHV are proposed to correct the initial classification results. The buildings divergent to satellite flight pass are extracted using the two parameters of the NDDC and ρHHHV, which are introduced in the following.
The indicator of the difference of the dihedral component (DDC) is defined as the difference between the dihedral component obtained from the Yamaguchi four-component decomposition [
25,
26] before and after POA compensation. It can be expressed as: the DDC equals the dihedral component after POA compensation minus the dihedral component before POA compensation. The DDC is normalized to a positive value range, which is named the normalized difference of the dihedral component, or the NDDC for short.
The scattering power of the buildings divergent to satellite flight pass is greatly increased after the POA compensation. Meanwhile, the scattering intensity of the dihedral component generated from the Yamaguchi four-component decomposition is also increased. The NDDC can measure the change in the double-bounce scattering power after the POA compensation. The double-bounce scattering power of the buildings divergent to satellite flight pass changes a great deal after the POA compensation, while that of the targets with reflection symmetry changes little. That is, the NDDC values of the buildings divergent to satellite flight pass are high and those of the targets with reflection symmetry are low. Hence, the NDDC can be introduced in the process of earthquake damage assessment to find the buildings divergent to satellite flight pass, which can be used to correct the classification result of the undamaged buildings generated from the Wishart supervised classification. The scattering intensity of some buildings divergent to satellite flight pass is not increased to as strong as the buildings parallel to satellite flight pass using the method of POA compensation. Therefore, the class of undamaged buildings obtained from the Wishart supervised classification is not complete. The main missing undamaged buildings are the buildings divergent to satellite flight pass whose scattering intensity is not significantly increased. The data items with high NDDC values correspond to the buildings divergent to satellite flight pass, which can be added to the undamaged buildings. The threshold value
ε of the NDDC is set to distinguish the buildings divergent to satellite flight pass from the other ground objects:
The
ρHHHV parameter is computed using the following equation:
where the superscript * denotes the complex conjugate.
In our experiments, we found that the distributions in the complex plane of the
ρHHHV parameter for the buildings divergent to satellite flight pass and collapsed buildings are different. The
ρHHHV parameter for the collapsed buildings is mainly distributed in the third quadrant of the complex plane, while the
ρHHHV parameter for the buildings divergent to satellite flight pass is mainly distributed in the other areas of the complex plane. Therefore, the buildings divergent to satellite flight pass can be extracted using the
ρHHHV parameter by the expression:
where
x is the data sample of the PolSAR imagery; “Re” and “Im” denote the real part and imaginary part of the complex number, respectively; and
ε1 and
ε2 are the two threshold values of the real part and imaginary part of
ρHHHV, respectively.
The ρHHHV parameter is computed using the PolSAR data without POA compensation, which can better distinguish collapsed buildings from buildings divergent to satellite flight pass than using the PolSAR data after POA compensation, based on experiments.
In this work, the parameters of
ρHHHV and the NDDC together determine the buildings divergent to satellite flight pass. The buildings divergent to satellite flight pass extracted using the NDDC include some collapsed buildings with the walls divergent to satellite flight, but the buildings divergent to satellite flight pass extracted by the
ρHHHV parameter contain a few collapsed buildings with the walls divergent to satellite flight. Therefore, the data items simultaneously satisfying the two conditions of
ρHHHV and the NDDC are determined as the buildings divergent to satellite flight pass, which can result in a higher extraction accuracy for the buildings divergent to satellite flight pass. Using the parameters of
ρHHHV and the NDDC to extract the buildings divergent to satellite flight pass can be expressed as:
The buildings divergent to satellite flight pass extracted by the parameters of ρHHHV and the NDDC, together with the undamaged buildings generated from the Wishart supervised classification, are the final output undamaged buildings.
2.5. Collapsed Building Extraction
The vegetation class generated from the Wishart supervised classification still needs to be corrected. The NDDC values of vegetation items with reflection symmetry are low, and this property can be used to correct the classification result of the Wishart supervised classification for the vegetation class. Therefore, the data items of the vegetation generated from the Wishart supervised classification should simultaneously satisfy the condition of NDDC < ε, and can be determined as the final output of the vegetation class. The buildings divergent to satellite flight pass are determined according to
Section 2.4, and the bare areas are obtained through the Wishart supervised classification. By excluding the data items of the above three classes, the remaining data items can be classified as the collapsed buildings.
2.6. Building Collapse Rate Calculation
The building collapse rate is calculated at the block scale, and is defined as the ratio of the collapsed building samples to the total number of building samples in one block. The damage level of one block can be indexed by the building collapse rate of the block. The building collapse rate of blocks is introduced to handle the damage assessment at the block scale, and it is termed the building block collapse rate (BBCR). The blocks separated by roads are regarded as individual areas of similar built-up patch structure [
19]. Each block is assigned a BBCR to assess the damage level of the block. The BBCR is expressed as:
where
BBCRj is the BBCR of the
jth block;
Cij indicates whether pixel
i in the
jth block belongs to a collapsed building or not, with values of 0 or 1; and
Uij indicates whether pixel
i in the
jth block belongs to a undamaged building or not, with values of 0 or 1.
4. Conclusions
Collapsed buildings caused by an earthquake are one of the main causes of casualties, so rapid acquisition of the collapsed building information after the earthquake can play an extremely important role in saving lives. The use of only a single post-earthquake PolSAR image to extract the collapse information can meet the needs of rapid and accurate disaster information acquisition, and can assist with a rapid and effective emergency rescue operation. In this study of earthquake damage assessment, the two parameters of the NDDC and ρHHHV were used to improve the classification results of Wishart supervised classification performed on the PolSAR data after POA compensation, with the aim of obtaining non-buildings, undamaged buildings (including the buildings parallel to satellite flight pass and the buildings divergent to satellite flight pass), and collapsed buildings.
This feasibility study was performed on the airborne PolSAR imagery acquired one day after the Yushu earthquake. The buildings divergent to satellite flight pass were extracted based on the conditions of NDDC > 190 and ρHHHV not being in the third quadrant of the complex plane, and were included in the undamaged buildings. These operations improved the accuracy of the undamaged building extraction. Using the condition of NDDC < 190 to restrict the vegetation generated from the Wishart supervised classification improved the non-building extraction accuracy and reduced the numbers of collapsed buildings divergent to satellite flight pass mixed with the vegetation class. At the same time, the above operations excluded the non-buildings and undamaged buildings as much as possible, and also improved the extraction accuracy of the collapsed buildings. Finally, the earthquake damage assessment map of the Yushu urban region with three damage levels at the block scale was obtained according to the value of the BBCR index for each block. The damage assessment at the block scale can not only be flexibly applied to multiple-resolution radar images and can avoid some of the errors of damage assessment at the single-building scale, but could also be more effective in assisting with making comprehensive arrangements in the process of emergency rescue.
All in all, the method proposed in this study can greatly improve the accuracy of earthquake damage assessment. Nevertheless, some undamaged buildings divergent to satellite flight still cannot be extracted, and some remaining parts of collapsed buildings are easily misidentified as undamaged buildings, which is the main reason for the errors in the building earthquake damage information extraction. In our future work, state-of-the-art filtering methods [
29] and multi-classifier fusion [
30,
31] will be considered to improve the current results.