A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI

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A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI
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
A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI
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                                  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)
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                             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
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                             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
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 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.
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                                  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
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                                  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 .
A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI
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Remote Sens. 2021,February
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                                                                               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 2Q       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
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                             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
A Modeling Approach for Predicting the Resolution Capability in Terrestrial Laser Scanning - MDPI
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                                       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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