Reports and Papers
- Fedra, K. (1998)
-
Integrated Risk Assessment and Management: Overview and State-of-the-Art.
p3-18. In: Ale, B.J.M, Janssen, M.P.M., and Pruppers, M.J.M [eds]
Risk 97 Book of Papers. Proceeding of the International Conference Mapping
Environmental Risks and Risk Comparison, Amsterdam, 21-24 October 1997.
RIVM, Bilthoven.
Published in:
Journal of Hazardous Materials, 61 (1998) 5-22.

Abstract
Risk assessment and management includes both spatially distributed, as
well as dynamic problems. While geographic information systems provide
powerful
tools for spatial analysis, their capabilities for complex, and
dynamic analysis are limited. Traditional simulation models,
on the other hand, are powerful tools for complex and dynamic
situations, but often lack the intuitive visualization and spatial
analysis functions that the GIS offers. Obviously, the integration
of GIS and simulation models, together with the necessary databases
and expert systems, within a common and interactive graphical user
interface should make for more powerful and easy to use - and understand -
risk information systems.
More than ten years ago, starting in 1986, these ideas were first
implemented in a series of projects involving IIASA, Delft Hydraulics,
the JRC, VROM, and the RIVM. The still ongoing XENVIS project (developing
a risk information system for the Netherlands) provides a unique opportunity
to review some basic and emerging concepts of integrated risk assessment.
Based on a dedicated GIS as the central tool and user interface,
databases of hazardous installations and hazardous chemicals are linked in
a hypertext structure. They include tools for spatial risk assessment based
on externally generated risk contours, and links to models describing
accidental and continuous atmospheric releases, spills into surface water
systems, and transportation risk analysis. All the models used are fully
georeferenced and integrated with the underlying GIS layer,
and include an embedded rule-based expert system to help with
model input specification, and the interpretation of model results.
Model results take the form of interactive graphics and animated topical
maps for an intuitive understanding, and a more efficient interactive
analysis.
Introduction
Integrated risk assessment has at least two major roots.
A technological source oriented one, typified by fault trees and event
models,
originating with the process engineering and nuclear communities; and
a receptor oriented one, typified by fate and transport models and
environmental impact assessment, originating with the environmental and
health
disciplines. Somewhere in between are the natural hazards of storms,
floods, avalanches, forest fires and earthquakes, that
are addressing both the probabilities and frequencies of occurrence
and the impacts on man and the environment.
Integrated risk assessment aims at combining more than one approach,
more than one source, and both source and receptor.
For technological risks, this includes both plant and external
safety considerations; aspects of regulatory assessment, planning,
training, and emergency management, but also risk communication
and the integration of physical and chemical criteria with environmental,
human health, and socio-economic considerations.
In addition, it specifically aims at integrating the power of
dynamic simulations models as a major tool of risk assessment
with the capabilities of spatial analysis by geographic information systems.
The European regulatory framework for technological risk is based on
Directive EEC 82/501, its amendments (87/216 EEC, 88/610 EEC)
and its latest version (96/82 EEC).
The directives and their national implementations focus on information about
risk, primarily substance oriented, as the central element of risk
management.
Rather than setting any specific standards on acceptable risk
as is the usual practice with environmental pollution, the directive
establishes a system for the compilation of risk related information,
based on a classification scheme for hazardous installations using threshold
values
of hazardous substances. The Directive also specifies the information
system for
the distribution of risk information, including public access.
The underlying assumption is that a well-organised and informed risk
management leads to both economically efficient and socially acceptable
results.
Risk is also an important component in Environmental Impact Assessment (EIA),
that looks at projects and installations and their normal operations rather
than accidents, and where the source of risk is often in the uncertainty
of cause-effect relations rather than in a probabilistic source term.
Integrated assessment provides a more unified approach to normal operation
and accidental risks [1].
Risk Assessment and Information Technology
Risk assessment and management is information intensive.
Large volumes of technical information have to be gathered, processed,
analyzed, and eventually communicated to a broad range of users
under quite different conditions, ranging from planning and
regulatory activities to emergency management.
Modern information technology provides some of the tools to support
these activities. The integration of data bases, GIS and simulation models,
expert systems and decision support tools leads to powerful operational
systems [2] and their implementation in distributed client-server
architectures that support remote access through Internet protocols
including mobile clients based on Java open new and promising
directions of development. Within an object-oriented design
paradigm (see, for example [3]), a broad range of information resources that
can
support risk assessment and management tasks can be organized to meet even
the most demanding computational and communication requirements for
real-time forecasting and decision support for emergency management.
Multi-media formats and Internet access through PC based browser software
provides efficient access to and publication of up-to-date risk
information to a wide range of users.
Network based groupware can support cooperative information
systems linking industry, regulatory agencies, interest groups, and the
public.
Rapidly evolving information technologies like distributed client-server
systems, hypermedia and virtual reality, HPCN, network computing,
light-weight mobile clients, GPS and GSM to name a few, can be
integrated into powerful yet easy to use information and decision support
systems for better risk management. These developments in information
technology can be expected to increasingly shape the research and practice
of risk assessment and management.
Risk management involves a multitude of actors and stake holders,
including at least the operator of a high-risk installation or process,
the regulatory or competent authority, a number of government bodies and
agencies involved in risk management, various interest groups,
and the general public. For all of them, easy access to risk
related information is essential. Clearly, direct access to such
information through the Internet or the direct communication between
industry and regulatory agencies using the Internet is an obvious trend,
issues of control, security, and confidentiality notwithstanding.
Assessment and Evaluation
Risk assessment has more than a straightforward physical and chemical,
environmental and public health component. The basic requirements of
economic
efficiency and social equity require comparative evaluation.
Assessment implies evaluation, and any valuation requires a value
system and a metric for measurement. A simple approach is to compare
levels of risk with predefined standards, which, however, begs the question
how to measure it, and where the standards come from in the first place.
Standards, where they have been formulated like in the Netherlands where
(loosely paraphrasing the 10-8 to 10-6 fatality
risk levels)
being killed every 100 Million years by a chemical plant is
considered acceptable, suffering the same fate every million years is
not [4], [5] are subject to debate, which again is a cultural problem with
very different attitudes in more litigation oriented societies such
as the United States, or more authoritarian systems like in most European
countries. What is, and what is not acceptable is ultimately a political,
not a scientific problem. In addition, the perception of risk is as
relevant here as is its measurement, so that the social construction of
reality (for example [6]) clearly dominates the positivists ideas of a
single, correct answer. Bias (e.g., [7]) and plural rationalities add to
physical uncertainty.
Economic evaluation is faced with similar problems. Clearly, the cost
of risk management has to be compared with its opportunity costs,
but the monetary evaluation of risks still poses fundamental problems
that appear to have no agreed upon scientific solution either (see,
for example, [8], [9], [10]).
Within the framework of the Seveso II Directive (96/82 EC) on the control
of major-accident hazards involving dangerous substances, a number of
specific classification criteria are defined for the reporting of accidents to
the Commission; in addition to the substances involved, health and
economic criteria, these include explicit spatial criteria such as:
- Permanent or long-term damage to terrestrial habitats:
- 0,5 ha or more of a habitat of environmental or conservation
importance protected by legislation,
- 10 or more hectares of more widespread habitat, including
agricultural land,
- Significant or long-term damage to freshwater and marine habitats
- 10 km or more of river or canal,
- 1 ha or more of a lake or pond,
- 2 ha or more of delta,
- 2 ha or more of a coastline or open sea;
- Significant damage to an aquifer or underground water
These criteria, however, are only used to
classify accidents for reporting.
Risk as a Spatial Problem
As the above example demonstrates, technological and environmental risk has
an obvious spatial dimension. Floods, mudslides and avalanches as much as
toxic spills, or explosions, transportation of dangerous goods or hazardous
waste management all are spatially distributed problems.
Geographical information systems are tools to capture, manipulate, process,
and display spatial or geo-referenced data. They contain both geometry data
(coordinates and topological information) and attribute data, i.e.,
information describing the properties of geometrical spatial objects such
as points, lines, and areas. In GIS, the basic concept is one of location,
of spatial distribution and relationships; the basic elements are spatial
objects. GIS and its capability to map risks is clearly a powerful
tool for risk assessment. The analytical capabilities of GIS however, are
usually
limited to static analysis of buffers and overlays.
To fully utilize the potential of GIS, and in particular its
communication capabilities, better, and in particular dynamic,
analysis tools are needed.
In modeling physical and environmental or toxicological processes, by
contrast, the basic concept is one of state, expressed in terms of numbers,
mass, or energy, of interaction and dynamics; the basic
elements are species, which may be biological or chemical, and
environmental media such as air, water or sediment and their
evolution over time. The integration of these two approaches and sets
of tools into a new generation of more powerful tools for spatial
analysis is a promising and obvious approach [11], [12], and [13].
Spatial Risk Analysis
Spatial dimensions in risk assessment cover closely related aspects:
the source of risk is located or distributed in space,
like a chemical process plant or a transportation system;
the original phenomenon of an accident or incident is spatially
distributed (like the blast from an explosion or a toxic plume),
and the impacts are spatially distributed due to the interaction
of the original phenomenon and the receiving system affected by it.
We can distinguish:
- Spatial effects (heterogeneities) in the propagation (starting
with the location of the source) of a harmful substance or event;
an example would be a spatially distributed wind field driving
the dispersion of a toxic gas, building structures or orography
affecting an explosion; and
- Spatially distributed impacts, resulting from the spatial
propagation of a harmful substance or process over an area of
varying vulnerability (landuse, population distribution);
a typical example would be population exposure to the
dispersion of a toxic chemical. A number of classical
problems of risk assessment and management are related to these
two basic spatial effects, site selection, and routing of
hazardous transport being two typical examples.
Taking UNEP's APELL Procedure [14] as a general if dated guideline,
spatial aspects, i.e., questions of location appear repeatedly:
Following the checklists for facility emergency management, we find
- Plant Emergency Organization
- Plant Risk Evaluation
- Area Risk Evaluation
- Notification Procedures, Communication
- Emergency Equipment and Facilities
- Procedure for return to normal operations
Plant risk evaluation involves:
- quantities, locations, and storage conditions of hazardous
materials
- properties of materials (MSD sheets)
- location of control equipment such as isolation valves
- fire fighting procedures
- special handling requirements.
In Area Risk Evaluation, again a number of spatial elements are obvious.
They cover:
- hazardous materials at nearby plants
- nearby residences, population centers including schools,
hospitals, nursing homes (evacuation procedures)
- contacts at other sites (names, phone)
- notification procedures
Hazards analysis is explicitly defined as a spatial approach, that evaluates
the vulnerability of a geographical area, its population and environment
to technological risks (e.g., hazardous materials release from process
plants or transportation accidents).
Seveso II (96/82 EC) "called on the Commission to include in
Directive 82/501/EEC provisions concerning controls on land use planning
when new installations are authorised and when urban development takes
place around existing installations", which has a clear spatial dimension.
The directive then makes explicit provisions for landuse planning,
referring to the siting of new establishments, modifications to
existing, and new developments such as transport links, locations
frequented by the public and residential areas in the vicinity of
existing establishments, where the siting or developments are such
as to increase the risk or consequences of a major accident.
GIS for Risk Communication
96/82 EC requires that Member States shall ensure that the safety report
is made available to the public, with possible restrictions for reasons
of industrial, commercial or personal confidentiality, public security or
national defense. It also requires that information on safety measures and
on the requisite behavior in the event of an accident is supplied,
without their having to request it, to persons liable to be affected
by a major accident; It shall also be made permanently available to the
public.
Cearly, some of this information is spatial in nature and thus best
communicated
in the form of maps, that is, with the help of a GIS.
An example is
GRIBS,
a risk management information system for the Kanton and
City of Basel in Switzerland (http://www.ess.co.at/docs/b_top.html).
In addition to its basic regulatory application, one specific function
of the system is as a source of information for concerned citizens:
the system supports the easy retrieval (in the form of a topical map)
of all risk related information such as installations and substances stored
within a certain radius of a persons home. Up-to-date information on
plant locations and substances stored in the system is also being
made available to those involved in emergency response such as
fire fighters.
GIS in Risk Assessment
Searching on the Internet for examples of integrated risk assessment
systems, and links between GIS and risk assessment in particular, leads to
the usual number of surprises and a few insights.
Searching for various combinations of risk and mapping or
GIS leads primarily to a number of sites concerned with storms, floods,
volcanoes, earthquakes, and forest fires. Numerous collections of web links
related to risk can be found; few of them explicitly address the topic of
spatial risks, and risk mapping.
Looking at some of the more recent GIS literature in recent conference
proceedings
such as the Joint European Conference on Geographical Information
JEC-GI '97 meeting, more than 1,500 pages of proceedings include very few
risk related applications ([15], [16], [17]). The risk community,
however, seems more interested in GIS than the other way round:
proceedings from a meeting on Computer Supported Risk Management [18]
contain a number of GIS applications ([19], [20], [21], and [22].
GIS and Risk is discussed by [23] as a culture problem in the policy arena,
with the different paradigms and views of scientists, policy makers,
and the public coming together. GIS for emergency management is discussed
in [24].
Wadge et al. [25] look at GIS for Natural Hazards Assessment, and similar
applications and approaches use risk indices for ecological risk [26],
Superfund site remediation [27] or overlay analysis for groundwater
vulnerability studies [28], [29], and their extension to human exposure
[30].
Similar approaches are used for geological hazards [31], [32].
All these examples primarily use static approaches to characterise risks,
which lend themselves to overlay analysis with standard GIS tools.
Spatial Risk Modeling
To map risks, they first have to be computed. Much what one can find under
the heading of risk mapping includes rather simplistic maps with simple
symbols for potential sources such as chemical installations,
storage locations, or hazardous waste dump sites, possibly with a
circle drawn around them, or overlay analysis of static data layers.
Important issues of scale, resolution, and uncertainty are rarely addressed
([33], [34]).
Risk mapping is a powerful concept: since the underlying map looks familiar
and precise, the risk overlay is more easily accepted - it looks real too.
In two specialized conferences on GIS and environmental modeling ([12], [13]),
applications to technological or environmental risk are again comparatively
rare, and the examples cover risk and GIS rather than risk and dynamic modeling.
An overview of the integration of spatial environmental modeling and GIS
is given in [11],[35], and the spatial modeling of hazardous
substances is discussed in [36].
When comparing a number of existing software systems for emergency
planning and management, as well as a series of ongoing EU
sponsored R&D projects, they all provide at least some basic
functionality to graphically display, and map, their model results and
thus exposure and risk (Table 1; see also [37], [38] for recent compilations
of risk related computer codes). The main bias introduced in Table 1
is that it is restricted to systems and projects with at least some presence
on the Internet.
| SYSTEM |
reference or URL |
| ARTEMIS |
http://apollo.cordis.lu/cordis/GLOBALsearch.html,
cfdu@orfeas.chemeng.ntua.gr |
| CAMEO, ALOHA |
http://www.nsc.org/ehc/cameo.html |
| CHARADE |
fmarcoz@media.lt.alenia.it |
| CHARM |
http://www.radian.com |
| DEDICS |
http://apollo.cordis.lu/cordis/GLOBALsearch.html |
| GEMS |
http://www.fema.gov |
| GRIBS |
http://www.ess.co.at/docs/basel.html
|
| HERMES |
http://skyler.arc.ab.ca/pami_info/Projects/ACEproj-HERMES.html |
| ENVISYS |
http://www.et.westwind.be/envisys.htm |
| IEMIS |
http://www.ndc.noaa.gov/seg/hazard/resource/emergenc.html |
| MIDAS |
http://www.plg-ec.com/riskman.htm |
| SAFETI |
http://www.dnv.com/technica |
| XENVIS |
http://www.ess.co.at/XENVIS/ |
Detailed information on ongoing research and development projects funded
under the Fourth Framework Programme by the European Union can be
found on the CORDIS server, http://apollo.cordis.lu, and on
the respective homepages of the various programmes such as ESPRIT,
TELEMATICS.
A considerable number of useful web links that each lead to one
or more interesting collections of risk related URLs can be found in
a few hours of web search, and with the usual level of missing links
and frustration.
As web links tend to expire, rather listing them here at
the risk of being obsolete soon, yet another web site was created
that compiles these links for further perusal:
http://www.ess.co.at/HITERM/risklinks.
In parallel, a bibliography on integrated risk assessment and risk and
GIS is available under
http://www.ess.co.at/HITERM/REGULATIONS/bibliography.html.
In summary, it appears that the use of GIS and spatial display of
the results of model based risk assessment is common practice, or at
least as much as the use of simulation models is common practice.
However, the majority of examples are restricted either to the
post-processing use of GIS functionality, i.e., to generate and
display topical risk maps, or to the basic analytical functionality
of overlay and buffer analysis that GIS provides.
Few if any example of complex and dynamic spatial analysis can
be found, based on a tight integration of simulation modeling and GIS.
Systems Integration
Integration in risk management information systems means bringing together
several aspects of risk assessment and management:
it should be applicable to internal and external safety analysis;
it should consider physical and chemical, toxicological and
public health, material damage, and environmental aspects.
It should address both probabilistic approaches for risk planning,
but also real-time applications for risk management.
It has to support the practical implementation of relevant EU
and national regulations, and it should provide the required information
to the public. Analysis tools should be fast, efficient and reliable,
scientifically rigorous and at the same time operate under the
often severe data constraints of an emergency.
Obviously, these are multiple, and conflicting objectives and criteria.
A general architecture of how a state-of-the-art risk information system
could look like would not only include models, data bases, and GIS,
but equally include other emerging and important elements of IT,
and in particular, distributed computing and Internet based access:
Application Examples
Since there are numerous possible examples of integrated risk assessment
systems that merge GIS functionality with the traditional tools of
data bases and models, and drawing on all of them is impossible
in this context, the examples chosen are not surprisingly,
from the authors own work, and include an application,
again not surprisingly, to the Netherlands.
Starting with a project in collaboration with the JRC in Ispra
to develop a Risk Management Information System combining databases
(hazardous installations, hazardous materials, and accidents)
with simulations models for various accident scenarios [39].
This has lead to a continuing development project with VROM and RIVM in
the Netherlands for a national scale system.
XENVIS began in 1986 as a study of interactive risk assessment of
transportation of chlorine in the Netherlands.
Since then it has been extended repeatedly, evolving into an
interactive environmental information and decision support system
that can be applied to a wide range of problems in
the Netherlands associated with industrial risk and the management
of hazardous operations and substances [40].
XENVIS integrates a national level geographic information system (Figure 1)
with several interlinked databases, in particular on hazardous
substances and hazardous industrial installations (Figure 2).
GIS and databases for industrial installations and hazardous chemicals are
linked to simulation models for industrial air pollution, toxic spills
to surface water, i.e., the Rhine-Maas system, and rail and road
transportation problems. The graphical user interface incorporates a
context sensitive hypertext help- and explain system, and
embedded expert system components that can assist users
in scenario specification, parameter estimation, and the interpretation
and further analysis of model results or plant specific safety data
including safety audits.


XENVIS also serves as a pre- and post-processor for a major
fault- and event tree risk assessment package, incorporating
its results, e.g., as risk contours around a plant,
in the data bases and displaying them at the GIS level (Figure 3).
Spatial analysis in XENVIS is performed either as an integrated
function of the spatial models (Figure 4) or in a post-processing step.
For example, for externally computed risk contours as part of a safety
report, XENVIS performs the overlay analysis by computing distances and
numbers of houses within the various risk levels (Figure 3).
An extension to the embedded GIS functions allows to further analyse sets
of cell grids representing input data such as population density,
gridded risk contours, or model generated concentration distributions
(for single events or probabilistic inputs) with a map calculator
that evaluates arbitrary algebraic expressions and first order logic
rules in the combination of map layers. Transportation risk
analysis includes a path generator as a pre-processor for the
computation of risk corridors (Figure 5), and the simulation
of individual accidents (Figure 6).
Other dynamic models describe toxic spills into the
Rhine-Maas system (Figure 7), or the atmospheric dispersion
from industrial or transportation accidents. Depending on
the available data, this can either use a multiple
event Gaussian puff model, a dynamic finite element model
based on a diagnostic wind field model (Figure 8), or a Lagrangian model.


Another model of integration is GRIBS, developed for the
KCGU, the chemical safety, toxics, and environment inspectorate
for the city of Basel, Switzerland. GRIBS is based on a tight
integration of databases on industrial sites that store hazardous
chemicals, a hazardous chemicals database, and an embedded GIS.
The primary purpose is to perform a number of queries on
installations and substances for a given location and its
neighborhood as part of a public risk information system.
The risk information is primarily based on a qualitative
classification of substances. In addition, output from
external impact simulation model systems like PHAST can
also be integrated and visualized as a GIS layer.
In addition to hazardous chemicals, GRIBS also includes
databases for biological hazards and radioactive substances,
adding another dimension of integration.
Object-oriented design: spatial risk objects
XENVIS is designed in terms of risk objects.
They include elements such as process plants, storage
facilities, trucks and railway cars, loading docks,
marshalling yards, pipelines, etc. Each object is characterized
by a set of properties that are updated depending on the
context by a set of methods. These methods include data base retrieval
and search, logical inference by expert systems, or
model applications. The state of a risk object, from a
regulatory point of view (within the framework of a safety
report) may then be summarized as in compliance
with a set of regulations.
Object oriented design brings all the advantages of inheritance
and encapsulation, but also simplifies coupling with
the GIS layers. Every risk object is georeferenced, and
has a location and possibly extent. The risk objects are
linked to geographic or geometric objects in the GIS such as
reference locations or polygons. Objects are accessible
by properties, or location.
Client-server architecture: HPCN and Internet access
Taking the integration approach one step further, we now would
like to link the risk objects to additional information
resources: distributed databases, monitoring and high
performance computing. At the same time, these new features
should be available to a larger set of distributed clients,
including mobile field units. Data availability is clearly
always a major constraint at least for emergency management.
Access to monitoring systems in real time to obtain
current meteorological data, traffic information, and
possibly, data from chemical sensor can be of great
values for accident simulation. For planning and training uses,
high-performance computing can support detailed analysis
with complex three-dimensional dynamic models, including
probabilistic simulation, sensitivity and robustness
analysis, and extensive scenario analysis for multi-criteria
decision support applications. These concepts are currently
being tested in HITERM
for a number of test cases of
atmospheric dispersion of toxics, fire and explosion,
spills into river and estuarine systems, and groundwater
contamination.
HITERM
(http://www.ess.co.at/HITERM), a project under
ESPRIT's High-Performance and Networking, Decision
Support Applications, aims at using high-performance
computing based on parallel machines and workstation clusters
to obtain better-than-real time solutions to complex
simulation models of accidental spills of hazardous materials,
as well as integrating sensitivity and uncertainty
analysis explicitly into the assessment and decision
support process.
Conclusions
Technological risk is an inherent part of industrial societies.
Risk assessment and management needs to find strategies and mechanism
that make the control of this risk economically efficient,
and socially acceptable. This may be conflicting objectives,
and additional criteria like equity and sustainability have to
be considered. The integration of complex dynamic models of
risk assessment and GIS is a recent development.
GIS is quickly developing into a common technology.
Early GIS applications are often based on static
georeferenced data and simple overlay and buffer
analysis, but more powerful and more affordable
computers and more flexible GIS software support
more demanding applications including dynamic and 3D models.
In addition to GIS, the fast growing Internet with Java as
an emerging language for client-server applications, and
the multi-media formats they support are powerful tools
to access and disseminate complex information.
At the same time, the regulatory framework for
risk assessment puts more emphasis on information
exchange and public access to risk information.
These developments promise exiting opportunities and a growing
demand for better integrated risk information systems.
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