A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI
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remote sensing Article A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning Sukant Chaudhry * , David Salido-Monzú and Andreas Wieser Institute of Geodesy and Photogrammetry, ETH Zurich, 8093 Zurich, Switzerland; david.salido@geod.baug.ethz.ch (D.S.-M.); andreas.wieser@geod.baug.ethz.ch (A.W.) * Correspondence: sukant.chaudhry@geod.baug.ethz.ch Abstract: The minimum size of objects or geometrical features that can be distinguished within a laser scanning point cloud is called the resolution capability (RC). Herein, we develop a simple analytical expression for predicting the RC in angular direction for phase-based laser scanners. We start from a numerical approximation of the mixed-pixel bias which occurs when the laser beam simultaneously hits surfaces at grossly different distances. In correspondence with previous literature, we view the RC as the minimum angular distance between points on the foreground and points on the background which are not (severely) affected by a mixed-pixel bias. We use an elliptical Gaussian beam for quantifying the effect. We show that the surface reflectivities and the distance step between foreground and background have generally little impact. Subsequently, we derive an approximation of the RC and extend it to include the selected scanning resolution, that is, angular increment. We verify our model by comparison to the resolution capabilities empirically determined by others. Our model requires parameters that can be taken from the data sheet of the scanner or approximated using a simple experiment. We describe this experiment herein and provide the required software on GitHub. Our approach is thus easily accessible, enables the prediction of the resolution capability with little effort and supports assessing the suitability of a specific scanner or of Citation: Chaudhry, S.; specific scanning parameters for a given application. Salido-Monzú, D.; Wieser, A. A Modeling Approach for Predicting Keywords: terrestrial laser scanning; TLS; scanning resolution; resolution capability; mixed pixel; the Resolution Capability in Terrestrial beam diameter; beam characterization Laser Scanning. Remote Sens. 2021, 13, 615. https://doi.org/10.3390/ rs13040615 1. Introduction Academic Editors: Boris Kargoll and Hamza Alkhatib Each distance measurement produced by a laser scanner is a weighted average over the Received: 8 January 2021 footprint, that is, over the surfaces illuminated quasi-simultaneously by the beam. As the Accepted: 5 February 2021 scanner sweeps the beam across the environment to create a 3d point cloud, it unavoidably Published: 9 February 2021 also illuminates surfaces with vastly different distances at some times. The coordinates of the corresponding points may be corrupted by biases well above the precision of the Publisher’s Note: MDPI stays neu- instrument [1]. This so-called mixed pixel effect is often observed near edges in terrestrial tral with regard to jurisdictional clai- laser scanning (TLS) [2–7]. Several researchers have studied the effect and proposed ms in published maps and institutio- algorithms to detect or filter out mixed pixels in point clouds [8–14]. nal affiliations. A practically relevant aspect related to mixed pixels is the resolution capability (RC, RC ) of a scanner. This is the minimum size in angular direction of an object or geometrical feature that can be distinguished within the point cloud [15]. Obviously, the RC depends Copyright: © 2021 by the authors. Li- on the sampling interval (or scanning resolution, RS ), that is, the angular distance between censee MDPI, Basel, Switzerland. neighboring points in the point cloud, because there must be at least one point on its This article is an open access article surface to distinguish an object, and thus RC > RS . Due to the distance averaging distributed under the terms and con- within the footprint RC also depends on the size of the footprint and thus on the beam ditions of the Creative Commons At- parameters [16]. In fact, the object must be big enough such that there is at least one point tribution (CC BY) license (https:// on its surface which is not a mixed pixel. We may expect that the (user selected) scanning creativecommons.org/licenses/by/ resolution dominates RC if it is much larger than the footprint whereas the mixed pixel 4.0/). effect dominates otherwise. Remote Sens. 2021, 13, 615. https://doi.org/10.3390/rs13040615 https://www.mdpi.com/journal/remotesensing
Remote Sens. 2021, 13, 615 2 of 23 The resolution capability of laser scanners has been investigated experimentally by several authors. Reference [17] carried out a general analysis of various indicators of laser scanner accuracy based on data acquired experimentally with commercial scanners on specifically designed targets, including observations of the influence of mixed pixels on effective resolution and edge effects. References [16,18] used optical transfer function analysis to define a unified metric that accounts for the joint impact of scanning resolution and beam size, demonstrating that the effective RC is only reliably defined by the selected scanning resolution when the latter is much larger than the laser footprint. Reference [19] evaluated the interplay between scanning resolution and beam divergence empirically to derive practical insights for the appropriate choice of the scanning resolution and scanning configuration in view of the required level of detail of the resulting point cloud. Following the approach of [17] and using ad-hoc targets [15,20,21] focused on extensive experimental investigations of the RC of specific instruments, providing practical recommendations about the suitability of certain scanners and settings for given requirements in terms of level of geometric details represented by the point cloud. Herein, we complement these investigations by providing an analytical expression for predicting the angular resolution capability as a function of beam properties and additionally relevant parameters, namely distance, distance noise, surface reflectivities and modulation wavelength. We focus on phase-based LiDAR (light detection and ranging) which uses modulated continuous waves. This technology is the backbone of some of the most precise commercially available terrestrial laser scanners for short to medium ranges, requires no algorithmic design choices like signal detection thresholds or full wave-form analysis potentially affecting the RC, and cannot be tuned to separate multiple reflections within the same beam. We derive the analytical expression from a numerical model of the mixed pixel effect and simplify it by focusing on the most influential parameters. Our main contribution with respect to previous investigations on RC lies in providing a simple expression which bounds the RC that can be expected from a certain scanner and scanning scenario, and which requires only parameters that can in most cases be obtained directly from the manufacturer’s specifications or simply approximated. Our models of mixed pixels and RC are based on the assumption of a Gaussian beam [22–24]. If the beam waist diameter and the beam divergence are given in the instrument’s data sheet, the resolution capability can be predicted with practically useful accuracy using only the data sheet and the equations given herein. However, currently the data sheets rarely contain these values or the necessary quantities allowing to calculate them unambiguously. As an additional contribution, we therefore introduce a simple procedure to derive sufficient approximations of the beam parameters experimentally, from scans across an edge between a planar foreground and a planar background. The MATLAB functions for calculating the beam parameters from the scans are provided on GitHub: https://github.com/ChaudhrySukant/BeamProfiling (accessed on 2 February 2021). The paper is structured as follows—Section 2 briefly presents the mathematical model of phase-based LiDAR measurements. In Section 3 we derive an analytical model for the mixed pixel effect at a single edge between parallel planar foreground and background of possibly different reflectivity. We also establish the relation to the resolution capability. In Section 4 we show the experimental setup for a mixed pixel analysis and for determining the relevant beam parameters. We briefly refer to the numerical simulation framework used for validation of the simplified analytical expressions. Section 5 shows experimental results comparing predicted and observed mixed pixel effects. In Section 6 we compare the RC for three scanners and different settings obtained from our analytical model to the results reported by [15,21] who used a specially designed target for an experimental investigation. The conclusions are given in Section 7. 2. Phase-Based LiDAR Phase-based LiDAR systems estimate the distance to the illuminated targets from the accumulated phase of radio-frequency tones modulated onto a continuous-wave (CW)
Remote Sens. 2021, 13, 615 3 of 23 laser [25]. The phase is an indirect observation of the propagation time of the optical probing signal. Assuming that the measurement refers to a single point at the euclidean distance d from the mechanical zero of the instrument, the phase observation φ̂λm at a certain modulation wavelength λm can be written as 4π φ̂m = mod (d − k0 ) + ε , (1) λm where ε represents the measurement error and k0 the systematic distance offset between the internal phase reference of the instrument and its mechanical zero, compensated by calibration. The estimated distance dˆm to the target can be derived from this phase observation as λm λm dˆm = φ̂m + Nm + k0 , (2) 4π 2 where Nm is the (unknown) number of full cycles covered by the modulation wave- length λm . For real LiDAR measurements the beam is actually reflected by a finite patch of sur- face rather than at a single point. The observed phase therefore represents the weighted contributions of the signals reflected across the beam footprint F on the surface. These con- tributions experience different delays and attenuation depending on the surface geometry and reflectance properties across F . Considering the phasor sum of all contributions, the observed phase can be expressed as Îm φ̂m = arctan , (3) Q̂m where the quadra- and in-phase components Q̂m and Îm are actually measured by the instrument [26,27]. They result from mixing the received signal with an attenuated copy of the simultaneously emitted signal and of a delayed version of it, as is for example, also known from GPS carrier phase tracking, see for example, [28]. These components are functions of the distances d(·) and reflected optical powers p(·) within F , such that ZZ 4π Îm = p(α, θ ) · sin [d(α, θ ) − k0 ] dαdθ + ε I (4a) F λm ZZ 4π Q̂m = p(α, θ ) · cos [d(α, θ ) − k0 ] dαdθ + ε Q , (4b) F λ m where ε I and ε Q are the measurement errors, and the footprint is expressed as the subset of angles α and θ (in orthogonal directions) from the beam axis for which the irradiance on the surface is relevant. We will further specify and simplify this general model for the phase observations in the next section by considering only a limited number of reflected contributions in order to derive a model of the mixed-pixels bias. A more detailed explanation of the phase-based LiDAR measurement process can be found in [27]. As is apparent from Equations (1) and (2), the number of full cycles Nm is unknown, making phase-based distance measurements inherently ambiguous for ranges larger than λm /2. This is practically solved by combining two or more modulation wavelengths and thus extending the overall unambiguous range across the complete measurement range of the instrument. We base our analysis herein on an incremental ambiguity resolution approach, that represents the simplest solution for multi-wavelength distance measurement. This approach relies on using a longer wavelength to solve the cycle ambiguity of the (immediately next) shorter wavelength, see for example, [25]. The actually used modulation wavelengths of modern laser scanners are usually not communicated by the manufacturers, but the shortest ones may be expected to be on the order of about 1 m, as established for electronic distance meters, [25] and also indicated by the values reported about an
Remote Sens. 2021, 13, 615 4 of 23 older Faro scanner in [12] (2.4 m). It requires the uncertainty of the measurement at the longer wavelength to be less than the shorter wavelength. Once unambiguous, the final measurement is uniquely defined by the shortest wavelength, which provides the highest resolution and precision. Given a phase observation φ̂l at a modulation wavelength λl > 2dmax where dmax is the maximum possible range of the instrument, and ignoring k0 for simplicity, an unambiguous distance estimate can be directly obtained from λ dˆl = l φ̂l . (5) 4π This measurement is then used to select the number Nm of full cycles of the shorter wavelength λm that provides the highest agreement, that is, λm λm Nm = arg min dˆl − φ̂m + N , (6) N 4π 2 with φ̂m being the observed phase at λm , and λm larger than the uncertainty of dˆl . This enables an absolute distance estimation dˆm based on the smaller wavelength λm , therefore more precise than dˆl under the same measurement conditions. This process can be carried out sequentially with more than two wavelengths. The choice of wavelengths and ambiguity resolution approach by the manufacturer is a trade- off between maximum range, desired distance resolution, and implementation complexity. However, the mixed-pixel behaviour for targets separated by a few cm to dm only—and thus the resolution capability as studied herein—is dominated by the distance bias at the smallest modulation wavelength. In this case, the ambiguity resolution algorithm has virtually no influence on the RC and we therefore use the above simple algorithm without further investigation herein. 3. Mixed Pixel and Resolution Capability Models Based on a simple but representative situation, we develop an analytical model of the mixed-pixel bias in this section. We then use this model to derive an approximation of the RC which accounts for the impact of both scanning resolution and footprint spatial averag- ing. The validation of the mixed-pixel model by direct comparison with our laser scanning numerical simulation framework [27] is presented in Section 5.1. The RC approximation is validated in Section 6 by comparison to previously published experimental results. 3.1. Mixed Pixel Bias We assume an elliptical Gaussian measurement beam [24,29] illuminating simultane- ously two perfectly planar and homogeneous targets parallel to each other and oriented normally to the beam axis. The transition between both targets is assumed to be a perfectly straight edge within the footprint dimensions. Figure 1 shows front (a) and top (b) view diagrams of this situation depicting both targets. The targets are defined by their respective spatially invariant reflectances R1 and R2 , and are placed at distances d1 and d2 = d1 + ∆d from the instrument, respectively, where we assume that ∆d
Version February 2, 2021 submitted to Remote Sens. 5 of 23 Remote Sens. 2021, 13, 615 5 of 23 132 While the figure represents a transition between targets along a vertical edge and the following 133 derivations are therefore specified for the horizontal beam dimension η, the analysis resulting therefrom analysis resulting therefrom is equally valid for the vertical dimension ξ when the beam 134 is equally valid for the vertical dimension ξ when the beam transits across a horizontal edge. transits across a horizontal edge. Background Background Background Foreground Foreground Foreground Background Background Background Foreground Foreground Foreground Background Background Background Foreground Foreground Foreground Beam axis Beam axis Beam axis (a) (a) (a) (b) (b) (b) (c)(c) (c) (a) (b) (c) Figure 1. Modeled mixed pixel scenario with Gaussian footprint of 1/e2 horizontal radius 2σb covering a vertical transition Figure 1. Modeled planarmixed pixel scenario with Gaussian targetsfootprint of 1/eR2 horizontal radius 2σ covering between orthogonal foreground and background of reflectance 1 and R2 at distancesb d1 and d1 + ∆d , a vertical transition between orthogonal planar foreground and respectively. (a) Front view, (b) top view, and (c) beam irradiance profile. background targets of reflectance R1 and R2 at distances d1 and d1 + ∆d , respectively. For distances much larger than the footprint diameter, as is the case for terrestrial For distances much larger laser than the scanning (with footprint diameter,ofasseveral typical distances is the case m or for terrestrial more, laserbeam and typical scanning diameters (with typical distances of several m or more, and typical beam diameters at the mm- to cm-level) except the at the mm- to cm-level) except at close range and with extremely flat beam incidence, at close range and with distance variations extremely flat beamwithin the footprint incidence, portion on the distance each planar variations targetthe within can be neglected footprint and the measurement process can be approximated as a portion on each planar target can be neglected and the measurement process can be approximatedweighted average of twoassingle- point measurements where each reflecting surface is represented by a single distance. a weighted average of two single-point measurements where each reflecting surface is represented Considering the quasi-normal incidence on both targets, the distances can be approximated by a single distance. as Considering d1 and d1 + ∆the quasi-normal incidence on both targets, the distances can d , respectively. The weights W1 and W2 , on the other hand, are proportional be approximated as d1toand d1 + ∆signal the optical d , respectively. The from power received weights W1 andand foreground , on the other W2background, hand, arewhere respectively, proportional to the optical we may signal assume power equalreceived attenuationfromdueforeground andatmosphere to distance and background, for respectively, both. The weights where we may assumecan thusattenuation equal be calculated as the due integral of to distance andtheatmosphere irradiance over the respective for both. The weightsportion canof the footprint, scaled with the surface reflectance. Since we assumed that thus be calculated as the integral of the irradiance over the respective portion of the footprint, scaledthe separation between the targets is much smaller than the distance to the front target, the beam divergence with the surface reflectance. Since we assumed that the separation between the targets is much smaller between the targets can be neglected, and the integration can be carried out over the than the distance to the front target, irradiance at thethe beam divergence foreground between distance, that is, the targets can be neglected, and the integration can be carried out over the irradiance at the foreground distance, i.e. Z +∞ Z +∞ W1 = R1 E(η, d1 )dη (7a) ηe W1 = R1 E (η, d1 ) Zdηηe (7a) ηe Z ηe W2 = R2 E(η, d1 )dη, (7b) −∞ W2 = R2 E (η, d1 ) dη (7b) −∞edge on the η-axis. where ηe is the location of the As discussed in Section 2, the estimated distance dˆm is derived from the phase ob- 135 where ηe is the location of the edge on the η-axis. servation φ̂m at the shortest modulation wavelength λm , and the ambiguity is resolved As discussed in Section 2, the estimated distance dˆm is using larger wavelengths. Considering derived from the phase observation φ̂ the derivation of the phase observation frommthe I- at the shortest modulation wavelength λmand and Q-components, , and therespective their ambiguity is resolved definition using to according larger wavelengths. Equation (4), the phase Considering the derivation of the phase observation observation for the from the I- shortest wavelength is and Q-components, and their respective definition according to eq. (4), the phase observation for the shortest wavelength is d1 4π (d1 +∆d )4π φ̂ = arctan W1 sin λm + W2 sin λm . (8) m 1 + ∆d )4π d(1d4π W1 sin dλ1 4π + W W 2 1 sin cos λ+ W 2 cos (d1 +∆d )4π φ̂m = arctan m λ m m λ m . (8) (d1 +∆d )4π W1 cos dλ1 4π + W2 cos The distance dˆm is then calculated from this phase according to Equation (2), where m λm the number Nm of full cycles is resolved from an additional measurement using a longer 136 The distance dˆm is then calculated wavelength, asfrom this in discussed phase according Section 2. to eq. (2), where the number Nm of 137 full cycles is resolved from an additional measurement using a longer wavelength, as discussed in 138 Section 2.
Remote Sens. 2021, 13, 615 6 of 23 The impact of mixed pixels on phase-based LiDAR is twofold and depends in particu- lar on the range of distances involved. If the separation ∆d between the targets is smaller than λm /4, the mixed pixel situation has no impact on the ambiguity resolution and only the phase of the smallest wavelength is affected. This case is modeled by Equation (8). The error introduced in this case results in a distance estimate somewhere between the true distances of both targets. Assuming a footprint that slides gradually across the edge, the distance changes smoothly between both true values and the distance error depends on the relative weights. When larger relative distances are involved, the ambiguity resolution algorithm yields different values for Nm with the beam center in the vicinity of the edge, depending on the actual distances, on the measurement noise and on the relative weights. This introduces an apparent quantization and produces estimated distances only near integer multiples of λm /2 in the region affected by mixed-pixels. When visualizing a point cloud this phenomenon appears as a set of equidistant, noisy replicas of the foreground contour towards the background. However, also in this case the resolution capability is affected by spatial averaging within the footprint and is fundamentally limited by the mixed pixel biases. This contribution to RC is therefore the focus of the model derived next. Considering the foreground distance to be the true distance, the mixed-pixel bias for a specific edge between foreground and background (with specific reflectances and at specific distances) depends on the distance of the beam center from the edge. From a practical perspective, there will be no (significant) mixed-pixel bias if the beam center is far enough from the edge. We now aim at deriving an equation which predicts how close to the edge—or possibly even beyond it—the beam center can be such that the mixed-pixel bias is negligible. This will allow us to draw conclusions about the location and width of the regions around the target edges that are prone to significant errors. We define these errors as significant when they are larger than a threshold τ which we link to the expected noise level σn of the LiDAR sensor as τ = 0.5σn . Taking the front target as a reference and thus assuming that d1 is the true distance, we determine the critical (minimum) ratio QW min between the weights W and W for which 2 1 the distance error exceeds the threshold: min W2 QW = . (9) W1 dˆm =d1 +τ It can be calculated from (2) and (8) as tan (d1 + τ ) λ4πm cos d1 λ4πm − sin d1 λ4πm min . QW = (10) sin (d1 + ∆d ) λ4πm − tan (d1 + τ ) λ4πm cos (d1 + ∆d ) λ4πm The weights can be related to the beam properties by calculating the normalized power P1 in the foreground target through integrating the Gaussian irradiance profile, defined by its shape parameter σb at d1 , along the dimension η perpendicular to the edge. This yields 1 ηe P1 = 1 + erf √ , (11) 2 σb 2 where erf(·) is the Gauss error function as resulting from integrating the probability density function of a normal distribution. Considering that the normalized power in the background is (1 − P1 ), we obtain W2 R (1 − P1 ) = 2 . (12) W1 R1 P1
Remote Sens. 2021, 13, 615 7 of 23 Plugging this and Equation (11) into (9), rearranging to express the position ηe of the edge within the footprint, and denoting this particular position (where the ratio of W2 and W1 is exactly the critical ratio) η0 , we obtain: −1 ! √ min R1 η0 = σb 2 · inverf QW · +1 −1 , (13) 2R2 with inverf(·) being the inverse Gauss error function. Since there exists no closed form rep- resentation of this function, the above expression needs to be evaluated using a numerical approximation of inverf. From the perspective of the scanning process, this derivation provides a solution for calculating the critical distances η0 around the edge of certain targets within which the impact of mixed pixels may become visible over the noise background. Results from the evaluation of this expression and a validation are presented and discussed in Section 5.1. 3.2. Resolution Capability The mixed pixel model derived above can easily be extended to compute the width of the transition region between two targets where measurements cannot be resolved independently for one of the targets, thus indicating the resolution capability as limited by footprint spatial averaging. For this purpose, we need to complement the above η0 by the critical value η00 that conceptually corresponds to η0 but denotes the position of the edge within the footprint where the mixed pixel bias first exceeds the threshold when moving the beam towards the edge from the background side and considering the background distance as the true distance. This edge position is obtained by replacing QW min in Equation (13) with max W2 QW = . (14) W1 dˆm =d1 +∆d −τ The resolution capability RC can then be calculated as the width of the region between the limits η0 and η00 where measurements do not correspond reliably to any of the targets as RC = η0 − η00 . (15) To analyze the impact of the separation and reflectances of foreground and background targets on RC , the derived resolution capability model has been computed for certain arbitrary but realistic instrument parameters. The resulting values for ∆d between 0 and λm /4, and reflectance ratios R2 /R1 between 0.1 and 10 are depicted in Figure 2, where the absolute maximum (largest value of RC ) is indicated with a black dot. Equivalently to the mixed pixel biases, as modeled in Section 3.1, the resolution capability shows a periodicity of λm /4 with the target separation ∆d . For such target separations the contributions of foreground and background to the overall phase at λm are almost in phase or in phase opposition and thus the mixed pixel situation primarily affects the total signal power while the distance measurement changes from foreground to background nearly suddenly as the beam sweeps across the edge. However, this situation is not practically relevant because of the impact of measurement noise. Furthermore, we restrict the RC analysis herein to small target separations, that is, ∆d < λm /4, as mentioned above. As can be seen in Figure 2a, the (practically relevant) maximum value of RC occurs at λm /8. Figure 2b shows RC as a function of the reflectance ratio for this particular target separation. This shows more clearly than Figure 2a that the resolution capability depends slightly on the ratio of the reflectances and is largest when R1 = R2 .
Version Remote Sens. 2021,February 13, 615 2, 2021 submitted to Remote Sens. 8 of8 of 2323 20 18 16 14 12 10 10-2 10-1 100 101 102 (a) (b) Figure 2. Resolution capability computed for a beam diameter (1/e2 of 12.8 mm, range noise σn = 1 mm and fine 2. Resolution 2 of 12.8 mm, range noise σ = 1 mm Figure modulation wavelength λm =capability computed 1 m: (a) as forofatarget a function beam separation diameter (1/e ∆d and reflectance ratio R2 /R1 nand, (b) as a and fine modulation wavelength function of reflectance ratio for fixed ∆d = λm /8. λ m = 1 m: (a) as a function of target separation ∆d and reflectance ratio R2 /R1 and, (b) as a function of reflectance ratio for fixed ∆d = λm /8. Aiming at providing a simple expression that enables computing the resolution capa- bility with little information on the scanner and scene properties, we have simplified the where inverf (·) is theabove inverse Gauss model error by only function, focusing on the worst case described above, that is, a target separation ∆d = λm /8 and equal reflectances (R1= R2 ) of the foreground and background planes. This results in min 4π QW = tan τ (17a) " λm# ! √ min − 1 max −1 QW π+ 1 4π QW RC = σb 2Q max inverf = tan − τ − 1 − inverf +1 − 1 , (17b) (16) W 2 2 λ 2 m and the beam shape parameter where inverf atisthe σb(·) themeasurement inverse Gauss distance d1 can be calculated from the nominal error function, or measured beam parameters following the Gaussian beam model [21–23] as min 4π s QW = tan τ (17a) λ m w0 ) π2 4π Θ (d1 − f 0 σb ≈ 1+ Q max = tan , τ − (18) (17b) 2 W w 0 2 λm 186 with Θ being the beam and the beam shape divergence parameter half-angle, σb at1/e w0 the the2 measurement distanceand beam waist radius, d1 can f 0 be thecalculated beam waistfrom the nominal or measured beam parameters following the Gaussian beam model [22–24] as 187 distance from the mechanical zero of the instrument. s Laser scanners typically realize the vertical beam deflection by means of a fast continuously w0 Θ ( d1 − f 0 ) 2 rotating mirror. Additionally, phase-based LiDARb sensorsσ ≈ 1internally + , accumulate the I and Q samples (18) 2 w0 as of eq. (4) over some time (integration time, herein) to collect enough signal power for a potentially Θ being with and 2 beam waist radius, and f the high signal-to-noise ratio thusthe beam high divergence half-angle, measurement precision.w0Ifthethe1/e integration time during each 0 beam waist distance from the mechanical zero of the instrument. measurement is not much smaller than the time between subsequent vertical measurements, the Laser scanners typically realize the vertical beam deflection by means of a fast contin- beam displacement during the integration introduces an effective elongation of the beam vertical uously rotating mirror. Additionally, phase-based LiDAR sensors internally accumulate dimension. The model thecan I and beQextended samples astoofaccount Equationfor (4)this overeffect when some time specifically (integration time,calculating the herein) to collect vertical resolution capability enough by modifying signal power for thea nominal potentiallybeam highparameters signal-to-noise to calculate ratio andathus specific highvertical measure- beam shape parameter ment . Approximating σb,vtprecision. σb,vt as the If the integration timesum of the during each nominal measurementbeam is shape parameter not much smaller σb (corresponding to than the time a static between beam) subsequent and the apparent vertical beammeasurements, the beam displacement elongation resulting during from the vertical the integration introduces an effective elongation of the beam displacement of the beam during the integration time (during which the beam constantly illuminates vertical dimension. The model can be extended to account for this effect when specifically calculating the vertical the surface but movesresolution vertically), we obtain capability by modifying the nominal beam parameters to calculate a specific vertical beam shape s parameter σb,vt . Approximating σb,vt as the sum of the nominal beam Θ (d1 − f 0 ) to2a static w0 σb (corresponding shape parameter 1 beam) and the apparent beam elongation σb,vt ≈ 1+ + Kint · d1 · ωRS , (19) 2 w0 4 188 where ωRS = RS /d1 is the angular scanning resolution of the instrument as chosen by the user, 189 Kint ∈ (0, 1] represents the ratio between the measurement integration time and the time between
Remote Sens. 2021, 13, 615 9 of 23 resulting from the vertical displacement of the beam during the integration time (during which the beam constantly illuminates the surface but moves vertically), we obtain s 2 w Θ ( d1 − f 0 ) 1 σb,vt ≈ 0 1+ + Kint · d1 · ωRS , (19) 2 w0 4 where ωRS = RS /d1 is the angular scanning resolution of the instrument as chosen by the user, Kint ∈ (0, 1] represents the ratio between the measurement integration time and the time between subsequent measurement points (Kint = 1 would indicate integration across the complete transition between subsequent points), and the coefficient 1/4 intro- duces the ratio between the beam shape parameter and the 1/e2 beam diameter. This extension is useful to provide a more realistic estimation of the vertical degradation of the resolution capability depending on the chosen scanning resolution and quality setting (longer integration time for higher quality). However, it requires Kint to be estimated beforehand; the actual integration times for different scanner settings are usually not given in the specifications or manuals. The simplified expressions in (16) to (19) provide a worst case estimation of the resolution capability that represents a useful indicator of the overall expected performance while only requiring knowledge of the distance to the targets of interest and the basic beam properties (divergence, waist radius and waist position), noise level and fine modulation wavelength of the instrument. Unlike beam properties and range noise, typically provided in the instruments’ specifications, the modulation wavelengths implemented in laser scanners are not usually disclosed by the manufacturers. Nevertheless, since range noise levels are in any case much smaller than the fine modulation wavelength, uncertainties in the value used for the above equations do not have a large impact on the computed resolution capability. For example, under realistic instrument parameters a deviation of 50% on the applied wavelength introduces deviations below 7% on the computed value of RC . In case no information at all is available regarding modulation wavelength, a value of 1 m is a reasonable choice considering current bandwidth limits in the hundreds of MHz range for commercially available modulators. Aiming at providing an integral indicator of the expected resolution capability, the derived model for mixed-pixel limited resolution capability RC should be extended to account also for the influence of scanning resolution. Although the interplay between mixed pixels and scanning resolution may require a more specific investigation and is beyond the scope of this paper, we define a simple approximation for the total resolution capability RC 0 by adding the angular scanning resolution ω RS such that RC0 = RC + d1 · ωRS . (20) As opposed to Equation (19) which introduces an effective beam elongation only in the vertical direction (the integration time has virtually no influence on the horizontal beam shape), Equation (20) holds for both, horizontal and vertical RC. It takes into account that an object can only be resolved if it is wider than both the mixed-pixel zone and the distance between neighboring points in the point cloud. 4. Practical Approach for Mixed Pixel Analysis In this section, we present the experimental measurement setup and the simulation framework used for the quantitative analysis of mixed pixel effects and for the validation of the equations derived above. Ideally, the experiments would yield measurements for different positions of the footprint center with respect to an edge and allow the footprint to be shifted in small increments from the beam being fully on the background to being fully on the foreground. This can be achieved easily with the numerical simulations (see Section 4.2). However, it is virtually impossible to achieve this movement of the footprint across an edge experimentally using a commercial terrestrial laser scanner which
Remote Sens. 2021, 13, 615 10 of 23 yields measurements at fixed, user-selected angular increments ωRS . We solve this problem in Section 4.1 by proposing a special target configuration for the scans. 4.1. Experimental Investigation In order to obtain a sufficient number of mixed pixels and a large variety of relative footprint positions with respect to the edge from a normal scan, we use a square foreground plane which is slightly rotated such that neighboring points along vertical or horizontal profiles in the point cloud are associated with different footprint fractions on the foreground and background, see Figure 3 and explanations below. For practical reasons we have mounted the targets on a trolley which can be moved along a linear bench and enabled easily scanning the targets from different distances using a laser scanner set up at one end of the bench. The relative distance between the foreground and background planes can be changed manually between 3 and 23 cm. This range covers approximately the region where predicting the mixed pixel effects does not require assumptions regarding the ambiguity resolution algorithm (see Section 2). Additionally, we mounted a diffuse reflectance standard above the background target, see Figure 3, to enable estimation of the foreground and background reflectances from the scanner’s intensity data. Knowing the reflectances is not necessary for predicting the RC using our analytical model (see Equations (16) to (19)), but it allowed simulating exactly the real measurement situation later on. For all our own experiments reported herein, we used a Z&F Imager 5016 scanner, foreground and background plates with the same reflectance (73%), and a setup where the Version February 2,scanner is upright 2021 submitted and to Remote Sens.approximately at the same height as the target center such 10 of 23 that the beam hits the targets almost orthogonally across the entire target surface. 10° 10° 30 cm 60 cm 30 cm 60 cm (a) (b) Figure 3. Target configuration of the experimental set-up. (a) Motorized trolley equipped with Figure 3. Target configuration of the experimental set-up. a) Motorized trolley equipped with foreground plate, background plate and Spectralon reference target. (b) Dimensions and placing of foreground plate, background plate and Spectralon reference target. b) Dimensions and placing the target components. of the target components. Analyzing the mixed pixel effects requires a quantification of the relative portion of 230 along a linear bench and enabled the footprint easily on each scanning of the theThis targets. targets from different is possible distancesthe by calculating using a laser ∆η and differences 231 scanner set up at one end of the bench. The relative distance between the foreground and background ∆ξ of the foreground-background edge position within the footprint (see Section 3.1 for the 232 planes can be changed manually definition of η andbetween ξ) from3 the anddifferences 23 cm. This∆θrange andcovers ∆α of approximately the region the polar coordinates of points in 233 where predicting the mixed pixel effects does not require assumptions regarding the ambiguity the point cloud. The relevant parameters of this transformation for the quasi-vertical and 234 resolution algorithm (see Section 2). Additionally, the quasi-horizontal we mounted edge are depicted a diffuse in Figure 4. reflectance standard above the 235 background target, see Figure 3, to enable estimation of the foreground and background reflectances 236 from the scanner’s intensity data. Knowing the reflectances is not necessary for predicting the RC using 237 our analytical model (see eqs. (16) to (19)), but it allowed simulating exactly the real measurement 238 situation later on. For all our own experiments reported herein, we used a Z&F Imager 5016 scanner, 239 foreground and background plates with the same reflectance (73%), and a setup where the scanner is 240 upright and approximately at the same height as the target center such that the beam hits the targets 241 almost orthogonally across the entire target surface. 242 Analyzing the mixed pixel effects requires a quantification of the relative portion of the 243 footprint on each of the targets. This is possible by calculating the differences ∆η and ∆ξ of the 244 foreground-background edge position within the footprint (see Section 3.1 for the definition of η and 245 ξ) from the differences ∆θ and ∆α of the polar coordinates of points in the point cloud. The relevant
Remote Sens. 2021, 13, 615 11 of 23 Version February 2, 2021 submitted to Remote Sens. 11 of 23 (a) Quasi-vertical edge (b) Quasi-horizontal edge Figure 4. Parameters involved in the transformation between scanner coordinate system and footprint Parameterssystem. Figure 4.coordinate involved in the transformation between scanner coordinate system and footprint coordinate system. The vertical movement of the footprint is depicted in Figure 4a which shows two 250 points near the edge, assumed to be approximately onefor equal of both which we arbitrarily points, i.e. d1 ≈picked fromγ, di . Except theallpoint cloud can quantities as reference be 251 point for this analysis and denoted with the index extracted directly from the measured coordinates output by the scanner.1, the other one arbitrarily assumed to be the ith picked The transformation for thepoint. η1 and footprint ηi are the along displacement positions of the(see the ξ-axis edge relative Figure 4b) to the respective is achieved footprint center along the η-axis. The relative change ∆η of the footprint center equivalently, where we assume the same tilt angle γ as above, now as the1,iangle between the scanner’s position with horizontal axis andrespect to the edge when moving from point 1 to point i is the edge: ∆ξ 1,i = ∆v1,i − ∆α1,i · di , (23) ∆η1,i = ∆h1,i + ∆θ1,i · di , (21) with where ∆v1,i = tan(γ) · ∆θ1,i · di . (24) ∆h1,i = tan(γ) · ∆α1,i · di (22) 252 These transformations are applied to the sections of the point clouds used for the mixed pixel 253 is the shift analysis obtained from resulting from the measurements. the experimental tilt angle γ between the edge andmeasurements The transformed the scanner’s vertical enable axis, 254 ∆θ 1,i and ∆α 1,i are the differences of the horizontal and vertical angles of the two points, representing the estimated distances uniquely as a function of the relative displacement of the footprint 255 and d is the 3d distance assumed to be approximately equal for both points, center with respecti to the edge independently of the actual scanning process. Although still lackingthat is, d1 ≈ di . 256 Except γ, all quantities can be extracted directly from the measured coordinates information on the actual position of the edge—which is not known beforehand but will be derived output by 257 the scanner. from the measured points as part of the further analysis—the resulting data allows analyzing the The transformation for the footprint displacement along the ξ-axis (see Figure 4b) is 258 mixed pixel effect as the footprint slides across the edge between foreground and background, see achieved equivalently, where we assume the same tilt angle γ as above, now as the angle 259 Section 5.1. between the scanner’s horizontal axis and the edge: 260 4.2. Numerical simulation ∆ξ 1,i = ∆v1,i − ∆α1,i · di , (23) 261 The numerical simulation framework, presented in [27], refers to phase-based LiDAR 262 measurements with(Section 2). The simulations are extended to a 3D scanning process by deflecting 263 the measurement beam at incremental angular ∆v 1,i = tanThe directions. ∆θ1,i · di . use a ray tracing approach (24) (γ) ·simulations 264 to account for the energy distribution within the discretized laser footprint, surface geometry, and These transformations are applied to the sections of the point clouds used for the 265 reflectivity of the surface material. The surfaces are geometrically represented as triangular irregular mixed pixel analysis obtained from the experimental measurements. The transformed 266 networks (TIN). The reflectivity properties are associated with the individual triangles via a Lambertian measurements enable representing the estimated distances uniquely as a function of the 267 scattering model [32,33]. relative displacement of the footprint center with respect to the edge independently of the 268 The simulation framework actual scanning operates process. on a Gaussian Although irradiance still lacking beam profile information [22,23] on the assumption, actual position of the 269 and allows to configure beam divergence, beam width and optical wavelength, edge—which is not known beforehand but will be derived from the measured as well as the set of points as 270 modulation wavelengths used for the phase estimation. For the present paper, we use the framework part of the further analysis—the resulting data allows analyzing the mixed pixel effect as 271 to simulate measurements like the the footprint slides onesthe across described in sec. foreground edge between 4 but with aand larger number ofsee background, different Section 5.1. 272 configurations than in the real experiments. The beam parameters are taken from the specifications 273 of the scanner4.2.used the experimental investigation. The beam divergence Θ is 0.3 mrad duringSimulation Numerical 274 (half-angle), which The numerical to corresponds a beam waist simulation radius ofpresented framework, about 1.6 in mm. The [27], optical refers wavelength of to phase-based LiDAR measurements (Section 2). The simulations are extended to a 3D scanning process by deflecting the measurement beam at incremental angular directions. The simulations use a ray tracing approach to account for the energy distribution within the discretized
Remote Sens. 2021, 13, 615 12 of 23 laser footprint, surface geometry, and reflectivity of the surface material. The surfaces are geometrically represented as triangular irregular networks (TIN). The reflectivity properties are associated with the individual triangles via a Lambertian scattering model [32,33]. The simulation framework operates on a Gaussian irradiance beam profile [23,24] assumption, and allows to configure beam divergence, beam width and optical wavelength, as well as the set of modulation wavelengths used for the phase estimation. For the present paper, we use the framework to simulate measurements like the ones described in Section 4 but with a larger number of different configurations than in the real experiments. The beam parameters are taken from the specifications of the scanner used during the experimental investigation. The beam divergence Θ is 0.3 mrad (half-angle), which corresponds to a beam waist radius of about 1.6 mm. The optical wavelength of the laser is 1500 nm, reported in [21,34]. There is no information about the implemented modulation wavelengths in the specifications. Judging from replicas produced in mixed pixel experiments with large separation between foreground and background, we assume that the shortest modulation wavelength λm is around 1.26 m and use this value herein. A longer modulation wavelength is only needed for ambiguity resolution. Since the impact of the latter is not investigated herein and we restrict to an analysis with short foreground-background separation where the ambiguity resolution does not affect the mixed pixel bias, the choice of the longer wavelength(s) is not critical. We arbitrarily chose 100 × λm , that is, 126 m, as the single longer modulation wavelength for the simulations. 5. Experimental Results This section contains the mixed pixels analysis using the numerical simulation frame- work and the analytical model, in Section 5.1. Furthermore, in Section 5.2, it shows the experimental results of the beam parameter estimation of the Z&F Imager 5016 laser scanner using real measurements according to the procedure proposed in Section 4.1. 5.1. Mixed Pixels We now study the mixed pixel effect numerically for a set-up equivalent to the one defined in Section 3. In particular, we use the numerical simulation framework with the beam parameters specified in Section 4.2 to predict the distances expected when measuring vertical profiles with negligibly small angular increments across a horizontal edge and we quantify how close to the edge the beam center can get at either side before the distance bias becomes significant. At this stage we assume a circular Gaussian beam. Therefore, the analysis of a horizontal measurement profile across a vertical edge would yield the same results. Figure 5 shows instructive examples of the results. The plots depict the estimated distance as a function of the footprint center position along the profile for certain combina- tions of parameters. The values significantly affected by mixed pixel biases are shown in red. They have been identified as those deviating from the geometrical distance along the beam center by more than τ = 1.25 mm. This threshold has been chosen for demonstration purposes only. Following the criteria given in Section 3, the threshold should be chosen smaller than the expected standard deviation of the distances in a real-world application.
Remote Sens. 2021, 13, 615 Version February 2, 2021 submitted to Remote Sens. 13 of13 23of 23 R = 4% R = 90% bg bg mixed pixels mixed pixels Rfg = 90% Rfg = 4% (a) (b) R = 4% Rbg = 4% bg mixed pixels mixed pixels Rfg = 90% Rfg = 90% (c) (d) Figure 5. The transition width of the measurements (blue points) effected by the mixed pixels (red points) computed using 5. The transition Figure simulation the numeric frameworkwidth of the (Section measurements 4.2) (blue points) for different combinations of effected foreground byand the background mixed pixels (red reflectances points) [(a,c,d): Rfg =computed 90%, Rbg = using the 4%; (b): numeric Rfg = 4%, Rbgsimulation framework = 90%], different (Section foreground 4.2) for[(a,b): distances different combinations d1 = 15 m; (c,d): d1 =of 45 m], foreground and background reflectances and different relative distances [(a–c): ∆ d = 6.5 cm; (Rfg and (d): ∆ d = Rbg ), different foreground distances, and different 23 cm]. relative distances. Figure 5a shows a scenario with a bright foreground at 15 m and a dark background 6.5 cm farther away. The results were obtained using the beam parameters stated in 318 To see how this transition Section 4.2. zone is affected The beam by the divergence distance, half-angle we of 0.3 alsoresults mrad simulated in a 1/escenarios with 2 footprint diameter 319 different distances. Figure 5c shows the results of such a calculation for a setup and beam parameters the of 9.6 mm at this distance. When measurements are taken as the footprint moves across 320 background exactly as before (see Figure surface and 5a) except the transits distance beyond which theisedge nowof45themforeground target, relevant to the foreground. Aserrors a occur if the beam center is closer than 8 mm to the edge. If instead the footprint approaches 321 consequence of the larger distance, the footprint diameter is also bigger (now approximately 27.2 mm). the edge from the foreground side significant errors occur only when the beam center is 322 The width of the zone affected by mixed closer than 0.9 mm pixels is 24.2 to the edge. Somm wide, in this casei.e. the scales region roughly around the proportionally edge affected by with mixed 323 distance and like the footprint pixels isalthough about 8.9not mmexactly. wide (approximately corresponding to the footprint diameter), 324 Figure 5d, corresponding to asymmetric but it is not scenario likeaboutthetheprevious one but edge because with of the an difference large increasedofdistance foregroundstepand 325 background reflectances. between foreground and background (note different scaling of distance axis), finally shows that the Actually, and in correspondence with the derivations given in Section 3.2, the numeri- 326 impact of a larger relative distance between the two targets is comparably small; the transition zone is cal simulations showed that the width of the mixed pixel zone is practically independent of 327 only slightly wider thanthe before (26.2 mm), reflectances, but theand the relative critical distanceslocation from theof thatbeyond edge zone about which the edgeis does the bias relevant, 328 not change as compared to 5c. Also these results are in agreement with the theoretical strongly depend on the ratio of the reflectances. This is corroborated by Figure 5b where findings in the 329 Section 3.2. entire measurement setup is equal to the one of Figure 5a except the reflectances which are 330 Using the numerical interchanged. simulationThe of width of the affected process, the measurement zone is equal to the actually we have previous one (9 mm) but calculated thethis 331 critical distances η0 to the target edge for a variety of combinations of reflectances (4, 20, 50, 70 andside. zone now extends from 1.7 mm on the background side to 7.3 mm on the foreground To see how this transition zone is affected by the distance, we also simulated scenarios 332 90%), distance steps (3, 6.5, 11, 19 and 23 cm), all lying within one quarter of λm ,aand with different distances. Figure 5c shows the results of such for both distances calculation for a setup and 333 (15 and 45 m). The resultsbeamare shown as parameters blackasdots exactly in (see before Figure 6. The Figure semitransparent 5a) except surfaces the distance which also45 m is now 334 shown in this figure were to instead obtained the foreground. Asfor a dense gridofofthe a consequence reflectances and distance larger distance, steps the footprint using the diameter is also 335 analytical approximation eq. (13) derived in Section 3. The results agree at the sub-mm level which 336 shows that the analytical approximation can be used to predict the critical distances and the width of 337 the zone affected by mixed pixels.
Remote Sens. 2021, 13, 615 14 of 23 bigger (now approximately 27.2 mm). The width of the zone affected by mixed pixels is 24.2 mm wide, that is, scales roughly proportionally with distance and like the footprint although not exactly. Figure 5d, corresponding to a scenario like the previous one but with an increased distance step between foreground and background (note different scaling of distance axis), finally shows that the impact of a larger relative distance between the two targets is comparably small; the transition zone is only slightly wider than before (26.2 mm), and the relative location of that zone about the edge does not change as compared to Figure 5c. Also these results are in agreement with the theoretical findings in Section 3.2. Using the numerical simulation of the measurement process, we have actually calcu- lated the critical distances η0 to the target edge for a variety of combinations of reflectances (4, 20, 50, 70 and 90%), distance steps (3, 6.5, 11, 19 and 23 cm), all lying within one quarter of λm , and for both distances (15 and 45 m). The results are shown as black dots in Figure 6. The semitransparent surfaces also shown in this figure were instead obtained for a dense grid of reflectances and distance steps using the analytical approximation Equation (13) Version February 2, 2021 submitted derivedto Remote Sens.3. The results agree at the sub-mm level which shows that the14 in Section of 23 analytical approximation can be used to predict the critical distances and the width of the zone affected by mixed pixels. (a) Foreground distance d1 = 15 m (b) Foreground distance d1 = 45 m Figure 6. Critical distances calculated for a variety of configurations and the beam parameters stated in Section 4.2: 6. Critical Figuresimulation numerical distances (dots), calculated analytical for a variety approximation of configurations (Equation (13)) (surfaces). and the beam parameters stated in Section 4.2: numerical simulation (dots), analytical approximation (eq. (13)) (surfaces). After this valdiation, we now use the analytical approximation to investigate the sensitivity of the mixed pixel effect further with respect to the reflectances and the relative 338 After this valdiation, we now We distances. usealready the analytical saw above approximation that the errorsto are investigate the sensitivity highly sensitive of the to the reflectance 339 mixed pixel effect further with ratios andrespect hardlyto the reflectances sensitive and the to the separation relativethe between distances. We closer surfaces. For already saw inspection, 340 above that the errors arethe highly sensitive section to the reflectance of the surfaces in Figure 6ratios and hardly corresponding to ∆sensitive d = 15 cm toisthe separation shown in slightly 2 341 between the surfaces. For closer inspection, the section of the surfaces in Figure 6 corresponding to1/e modified form in Figure 7. The critical distances are normalized to the respective 342 ∆d = 15 cm is shown in beam diameter and the reflectance ratio is plotted on a logarithmic scale from about 0.01 slightly modified form in Figure 7. The critical distances are normalized to the to 30. While the values of η0 seemed different for the 15 m and 45 m case before, they 343 respective 1/e2 beam diameter and overlap almost the reflectance perfectly in thisratio is plotted display, on a logarithmic thus indicating scale that, in the from simple about mixed pixel 344 0.01 to 30. While the values of η seemed scenario depicted 0 different for the 15 m and 45 m case before, they overlap in Figure 1 and used to develop the analytical model, the critical value 345 almost perfectly in thisscales display, thus indicating proportionally that, inThis to the footprint. the overlap simplealso mixed holdspixel for allscenario depicted other relative distances 346 between 3 and 23 cm which we analyzed. Moreover, the dependence in Figure 1 and used to develop the analytical model, the critical value scales proportionally to the on the reflectance 347 footprint. This overlapratio alsosuggests holds for that when the foreground and background reflectances are equal, the critical all other relative distances between 3 and 23 cm which we distance is about 55% of the beam diameter and thus the width of the zone affected by 348 analyzed. Moreover, themixeddependence on the10% pixels is about reflectance larger than ratio the suggests that when the foreground and 1/e2 footprint. 349 background reflectances are equal, the critical distance is about 55% of the beam diameter and thus the 350 width of the zone affected by mixed pixels is about 10% larger than the 1/e2 footprint.
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