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Ziyin Wu
Fanlin Yang
Yong Tang
et al.

High-resolution
Seafloor Survey
and Applications
High-resolution Seafloor Survey and Applications
Ziyin Wu • Fanlin Yang • Yong Tang et al.

High-resolution Seafloor
Survey and Applications

123
Ziyin Wu Fanlin Yang
Key Laboratory of Submarine Geosciences College of Geodesy and Geomatics
Second Institute of Oceanography Shandong University of Science and Technology
Ministry of Natural Resources Qingdao, Shandong, China
Hangzhou, Zhejiang, China

Yong Tang
Key Laboratory of Submarine Geosciences
Second Institute of Oceanography
Ministry of Natural Resources
Hangzhou, Zhejiang, China

ISBN 978-981-15-9749-7 ISBN 978-981-15-9750-3 (eBook)

https://doi.org/10.1007/978-981-15-9750-3
Jointly published with Science Press.
The print edition is not for sale in China (Mainland). Customers from China (Mainland) please order the print book
from: Science Press
ISBN of the Co-Publisher’s edition: 978-7-03-066031-2

© Science Press 2021

This work is subject to copyright. All rights are reserved by the Publishers, whether the whole or part of the material is
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Preface

Oceans cover 71% of the earth’s surface area and are rich in natural resources. Historically,
difficult physical conditions have largely prevented humans from large-scale development of the
ocean as they have done on land. However, the first decade of the twenty-first century has seen
humans accelerate the pace of exploring, developing and utilizing marine resources, motivated
by increased economic development, population expansion and shortages of on-land resources.
The most basic parameter for understanding the ocean and making use of the ocean’s resources
is seafloor topography. Nearly all ocean-related activities depend on a knowledge of seafloor
topography, especially in terms of navigational safety. However, accurate determination of
seafloor topography remains an ongoing challenge. This is especially true in the deep sea where
typical mapping resolution is a quarter less than that of the moon. To date, 80% of the world’s
seafloor topography is yet to be mapped using the modern multi-beam sounding technology.
Because the thick layer of intervening ocean inhibits the use of conventional optical and
electromagnetic methods, acoustical techniques remain the principal means for detecting and
developing understandings of seafloor topography. Commonly used acoustical techniques
include multi-beam echo sounders, side-scan sonars and sub-bottom profilers. Multi-beam
echo sounders are typically used for determining ocean depths and developing maps of sea-
floor topography, while side-scan sonars are most commonly used to develop images of the
seafloor. Sub-bottom profilers make use of low-frequency acoustic signals to penetrate strata
tens or even hundreds of meters below the seafloor, to understand the distribution of sediments
and shallow strata. A comprehensive summary and discussion, such as that contained in this
monograph, of the basic principles and methods as well as recent technological developments
related to these techniques can provide practical assistance for marine exploration
practitioners.
Multi-beam echo sounders, side-scan sonars, sub-bottom profilers and other seafloor
detection equipment consist of highly integrated arrays of sensors. With the rapid development
and integration of navigational, acoustical, electronic and computing techniques, seafloor
topographic surveys are characterized by high precision, high density, high resolution data that
allow consideration of multiple error sources. Improvements in technical hardware are
accompanied by rapid improvements in data processing techniques. Research into data pro-
cessing and related applications of these techniques is necessary because raw survey data
contain errors emanating from multiple sources including self-noises, as well as different
parameter settings and marine environments. This monograph contains a summary of relevant
data processing techniques and methods that will contribute to the continued development of
marine information technology.
The data obtained by multi-beam echo sounders, side-scan sonars and sub-bottom profilers
contain abundant marine information. Multi-beam echo sounding includes a variety of
information such as water depth, water column properties and bottom acoustic scattering.
Mining of these data can be used for the seafloor geomorphology research, the acoustic
sediment classification and the target identification in the water column. Side-scan sonar
images reveal the fine-scale features of seafloor micro-geomorphology. Sub-bottom profiles
reveal sedimentary strata within the top tens of meters of the seafloor, which can be used to
detect and identify targets buried below the seafloor including applications in underwater
v
vi Preface

archaeology. Developments in computer science and information technology, including arti-

ficial intelligence and machine learning methods, can also be applied for deep data mining and
visualization of seafloor topographic data.
Because they play a fundamental role in revealing the basic characteristics, evolution and
dynamics of seafloor geology, seafloor topography are the most basic starting points for the
submarine geosciences and they provide basic information for exploring and researching
submarine resources. Since the 1980s, China has conducted international surveys of submarine
polymetallic nodules and has successfully applied it to a seafloor mining area of 75 000 km2.
In the 1990s, China additionally conducted investigations and submitted mining applications
for cobalt-rich crusts and seafloor massive sulfide deposits located in international waters. In
the past 10 years, gas hydrate resources have been discovered in the South China Sea. Studies
demonstrate that the formation and occurrence of these submarine resources are closely related
to seafloor topography. The delimitation of the continental shelf in accordance with the United
Nations Convention on the Law of the Sea is an additional matter of great concern to coastal
states. Various demarcation points, such as the foot of the continental slope, are closely related
to seafloor topography. Therefore, an adequate accounting of marine geological resources
requires increased study of seafloor topography, resources and evolution.
Based on the above considerations, this monograph presents detailed research on four
aspects of seafloor topography: detection technology, data processing technology, data mining
and geomorphological research. Professors Wu Ziyin and Yang Fanlin present a detailed
outline of this monograph, with a total of 12 chapters. The Chap. 1 was written by Dr. Wang
Shenping et al., the Chap. 2 was written by Dr. Zhao Dineng et al., the Chap. 3 was written by
Dr. Su Dianpeng et al., the Chap. 4 was written by Prof. Ding Weifeng et al., the Chap. 5 was
written by Dr. Luo Xiaowen et al., the Chap. 6 was written by Dr. Ying Jianyun et al., the
Chap. 7 was written by Prof. Wu Ziyin et al., the Chap. 8 was written by Dr. Jin Shaohua et al.,
the Chap. 9 was written by Prof. Huo Guanying, the Chap. 10 was written by Dr. Shang
Jihong et al., the Chap. 11 was written by Prof. Tang Yong et al., and the Chap. 12 was written
by Dr. Li Huaiming et al. In the process of writing the manuscript, we have benefited greatly
from the input and contributions of Academician Jin Xianglong, Academician Li Jiabiao, Prof.
Wang Xiaobo and Prof. Zheng Yulong. The preface was written by Prof. Wu Ziyin and Prof.
Yang Fanlin, and the monograph was drafted by Prof. Wu Ziyin and Prof. Yang Fanlin.
This monograph has been funded by a series of Chinese research projects supported by several
institutions including the National Natural Science Foundation of China (41830540, 41906069,
41930535, 42006073, 52001189), the Scientific Research Fund of the Second Institute of
Oceanography, MNR (JG2005, SZ2002), the Zhejiang Provincial Natural Science Foundation
(LY21D060002), and the National Key R&D Program of China (2018YFF0212203).
English-version publishing is supported by the China International Book Promotion Program. We
would additionally like to express our sincere gratitude to Wu Dongqiang, Chen Jianbing, Tu
Lunze, Liu Hui, Wang Yubin, Wang Jiachong, Fu Guihe, Tu Zejie, Zhu Zhengren, Wang Min,
Xu Qiyao, Anokey Michael, Feng Chenkai, Xin Mingzhen, Han Bing, Li Donghui, Qu Meng,
Liu Yaming and Sun Yanfei, who have participated in the editing and translation work.
The surveying of seafloor topography is a multi-disciplinary exercise that involves the
integration of information from a variety of technologies. Its theory and methodology are
closely related to the means of acquiring these data, and the relevant technologies continue to
develop in concert with the relevant scientific disciplines. Due to the limitations of the authors,
some omissions and deficiencies in the book are unavoidable. Experts and readers are invited
to criticize and correct these works as they see fit.

Hangzhou, China Ziyin Wu

Qingdao, China Fanlin Yang
September 2019
Author List

Wu Ziyin, Yang Fanlin, Tang Yong, Luo Xiaowen, Zhao Dineng, Huo Guanying, Zhang Kai,
Zhou Jieqiong, Jin Shaohua, Su Dianpeng, Li Xiaohu, Li Huaiming, Wang Shengping,
Cao Zhenyi, Ying Jianyun, Shang Jihong, Ding Weifeng, Xu Xuefeng, Zhu Xinke,
Zhang Weiyan, Gao Jinyao, Yang Kehong, Liang Yuyang, Ma Weilin, Wang Mingwei,
Li Shoujun, Liu Yang, Liu Hongxia, Qi Chao, Liu Zhihao, Zhu Chao, Li He.

vii
Technical Issue Group

Zhao Dineng, Zhang Kai, Qi Chao, Zhou Jieqiong, Su Dianpeng, Wu Dongqiang, Wang
Mingwei, Chen Jianbing, Liu Zhihao, Liu Yang, Tu Lunze, Zhu Chao, Liu Hui, Wang Yubin,
Wang Jiachong, Fu Guihe, Tu Zejie, Zhu Zhengren, Wang Min, Xu Qiyao, Anokey Michael,
Feng Chengkai, Xin Mingzhen, Han Bing, Li Donghui, Qu Meng, Liu Yaming, Sun Yanfei.

ix
Contents

1 Overview of Bathymetric Surveying Technology . . . . . . . . . . . . . . . . . . .... 1

1.1 Shipborne Bathymetric Surveying Technology . . . . . . . . . . . . . . . . . .... 1
1.2 Spaceborne and Airborne Geomorphology Detection Technology . . . .... 9
1.3 Underwater Robots and Technology for the Detection of Submarine
Observation Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 13
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 20
2 Multi-beam Bathymetric Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.1 Principle of Multi-beam Sounding Technology . . . . . . . . . . . . . . . . . . . . 21
2.2 Basic Technical Requirements for Multi-beam Survey . . . . . . . . . . . . . . . 30
2.3 Sounding Data Filtering Method Based on CUBE Algorithm . . . . . . . . . . 36
2.4 Sound Velocity Correction for Multi-beam Bathymetry Sounding . . . . . . . 45
2.5 Multi-beam Backscatter and Water Column Data Processing Method . . . . 61
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
3 Airborne Laser Bathymetric Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
3.1 Working Principle of the ALB System . . . . . . . . . . . . . . . . . . . . . . . . . . 77
3.2 Main Technical Parameters of the ALB System . . . . . . . . . . . . . . . . . . . . 83
3.3 Wave Correction Technology Based on the ALB Point Cloud . . . . . . . . . 84
3.4 Refraction Correction Based on Sea Surface Profile and Ray Tracing . . . . 87
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
4 Side-scan Sonar and Sub-bottom Profiler Surveying . . . . . . . . . . . . . ...... 95
4.1 Side-scan Sonar Detection Technology . . . . . . . . . . . . . . . . . . . . ...... 95
4.2 Sub-bottom Profiler Detection Technology . . . . . . . . . . . . . . . . . . ...... 99
4.3 Processing Technology and Method of Side-Scan and Sub-bottom
Profile Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

5 Navigation and Positioning Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

5.1 Development of GNSS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
5.2 Marine Navigation and Positioning Technology . . . . . . . . . . . . . . . . . . . . 126
5.3 Data Format and Correction Model for Error in a GNSS . . . . . . . . . . . . . 134
5.4 GNSS PPP Data Processing Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
5.5 Extended Application of a GNSS in Oceanography . . . . . . . . . . . . . . . . . 136
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
6 Tide Level Measurements and Vertical Datum Conversion . . . . . . . . . . . . . . 143
6.1 Technical Methods of Tide Level Measurements . . . . . . . . . . . . . . . . . . . 143
6.2 Analysis and Forecast of Tide Level Data . . . . . . . . . . . . . . . . . . . . . . . . 147
6.3 Water Level Corrections for Bathymetric Surveys . . . . . . . . . . . . . . . . . . 148
6.4 Vertical Data and Transformation Approaches for Hydrography . . . . . . . . 154
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161

xi
xii Contents

7 Constructing and Mapping a Seabed DTM . . . . . . . . . . . . . . . . . . . . . . . . . . 163

7.1 Three Methods of Constructing a Seabed DTM . . . . . . . . . . . . . . . . . . . . 163
7.2 MN Method for Multi-source Bathymetric Data Fusion . . . . . . . . . . . . . . 166
7.3 Topological Construction Method of a Submarine Topographic
Map Based on the DTM Boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
7.4 Establishing the Topology of a Submarine Geomorphologic Map . . . . . . . 182
7.5 Constructing 3D Submarine Topography Maps . . . . . . . . . . . . . . . . . . . . 186
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
8 Acoustic Seafloor Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
8.1 Development Status of Seafloor Classification Approaches . . . . . . . . . . . . 197
8.2 Properties of Seafloor Sediment and Principles of Acoustic
Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
8.3 Backscatter Data Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
8.4 Acoustic Feature Extraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
8.5 Methods for Acoustic Seafloor Classification . . . . . . . . . . . . . . . . . . . . . . 238
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
9 Intelligent Detection and Recognition of Seabed Targets in Side-Scan
Sonar Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
9.1 Research Progress on Target Detection in Side-Scan Sonar Images . . . . . . 249
9.2 Active Contour Model and Variational Method . . . . . . . . . . . . . . . . . . . . 251
9.3 Region-Scalable Fitting Active Contour Model and Nonlocal
Means-Based Speckle Filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
9.4 Object Segmentation Based on the Nonlocal Means-Based Speckle
Filtering and Edge-Constrained Region-Scalable Fitting Model . . . . . . . . . 259
9.5 Experimental and Comparative Studies . . . . . . . . . . . . . . . . . . . . . . . . . . 262
9.6 Target Detection Software Interface and Description . . . . . . . . . . . . . . . . 272
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
10 Applications of Submarine Geomorphology . . . . . . . . . . . . . . . . . . . . . . . . . . 277
10.1 Sand Ridges on Continental Shelf of the East China Sea . . . . . . . . . . . . . 277
10.2 Sand Wave Migration in Monterey Submarine Canyon, California . . . . . . 285
10.3 Study on Gas Hydrate Geomorphology Identification Marks
on the Northern Slope of the South China Sea . . . . . . . . . . . . . . . . . . . . . 291
10.4 Study on the Morphotectonics of the Manila Subduction Zone . . . . . . . . . 296
10.5 A Morphotectonics Study of the Central Southwest Indian Ridge . . . . . . . 302
10.6 Study of Supporting Techniques for Naming of International Undersea
Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
10.7 Study on the Identification of Submarine Topographic Boundaries
of the Okinawa Trough in the East China Sea . . . . . . . . . . . . . . . . . . . . . 317
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

11 Technology and Practice of Continental Shelf Delimitation . . . . . . . . . . . . . . 329

11.1 United Nations Convention on the Law of the Sea . . . . . . . . . . . . . . . . . . 329
11.2 Continental Shelf Delineation System . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
11.3 Techniques and Methods for Determining the Outer Limit
of the Continental Shelf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
11.4 Delimitation of the Continental Shelf-review and Example . . . . . . . . . . . . 350
Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
Contents xiii

12 Mineral Resources Assessment of the International Seabed . . . . . . . . . . . . . . 371

12.1 Polymetallic Nodules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
12.2 Cobalt Crusts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
12.3 Polymetallic Sulfides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
Contributors List

1. Overview of Bathymetric Surveying Technology

Wang Shengping, Yang Fanlin (E-mail: flyang@sdust.edu.cn), Zhu Xinke and Wang
Mingwei
2. Multi-beam Bathymetric Technology
Zhao Dineng, Yang Fanlin (E-mail: flyang@sdust.edu.cn), Wu Ziyin, Zhu Chao and Liu
Hongxia
3. Airborne Laser Bathymetric Technology
Su Dianpeng, Yang Fanlin (E-mail: flyang@sdust.edu.cn) and Qi Chao
4. Side-scan Sonar and Sub-bottom Profiler Surveying
Ding Weifeng, Zhao Dineng (E-mail: zhaodineng@sio.org.cn), Wang Mingwei and Liu
Zhihao
5. Navigation and Positioning Technology
Luo Xiaowen (E-mail: cdslxw@163.com) and Wang Shengping
6. Tide Level Measurements and Vertical Datum Conversion
Ying Jianyun, Cao Zhenyi (E-mail: zycao@sio.org.cn), Xu Xuefeng, Zhou Jieqiong and
Yang Fanlin
7. Constructing and Mapping a Seabed DTM
Wu Ziyin, Yang Fanlin, Zhou Jieqiong (E-mail: janechou@sio.org.cn), Gao Jinyao, Wang
Mingwei and Liu Yang
8. Acoustic Seafloor Characterization
Jin Shaohua, Zhang Kai (E-mail: zk0773@163.com), Wang Mingwei and Wu Ziyin
9. Intelligent Detection and Recognition of Seabed Targets in Side-scan Sonar Images
Huo Guanying (E-mail: huoguanying@hhu.edu.cn)
10. Applications of Submarine Geomorphology
Shang Jihong, Liang Yuyang, Li Shoujun, Zhang Kai and Wu Ziyin
(E-mail: zywu@sio.org.cn)
11. Technology and Practice of Continental Shelf Delimitation
Tang Yong, Wu Ziyin (E-mail: zywu@sio.org.cn), Zhou Jieqiong and Li He
12. Mineral Resources Assessment of the International Seabed
Li Huaiming, Li Xiaohu (E-mail: xhli@sio.org.cn), Zhang Weiyan, Wu Ziyin, Yang
Kehong and Ma Weilin

xv
About the Authors

Ziyin Wu, Ph.D. second-grade professor of Marine Geology

and Geophysics. He is the director of the Key Laboratory of
Submarine Geosciences (KLSG) at the Second Institute of
Oceanography, Ministry of Natural Resources, Hangzhou,
China. He has been engaged in high-resolution submarine
geomorphology since 1995. His research focuses on the
processing theories and applications of multi-beam echo
sounder (MBES), and the studies of high-resolution geomor-
phic features and evolution based on MBES’s data. So far,
Prof. Wu has made a series of scientific achievements,
including 2 monographs as editor-in-chief, 10 co-authored
books, 107 journal papers, 37 authorized China and US
patents, and 14 science and technology awards. He has also
supervised 4 postdoctoral fellows, 6 Ph.D. students, and more
than 10 master students. E-mail: zywu@sio.org.cn.

Fanlin Yang, Ph.D. professor of Marine Geodesy. He is the

dean of College of Geodesy and Geomatics, Shandong
University of Science and Technology, Qingdao, China. His
research focuses on the marine geodesy and navigation. More
specifically, his research topics include data processing and
applications of multi-beam echo sounder system and airborne
LiDAR bathymetry system, and technologies of marine navi-
gation and positioning. So far, Prof. Yang is the (co-)author of
50 papers in refereed scientific journals (Web of Science), (co-)
inventor of 22 China and US patents, (co-)winner of 7 science
and technology awards in China, and 3 standards as
editor-in-chief. He has also supervised 2 postdoctoral fellows,
55 Ph.D. and master students. E-mail: flyang@sdust.edu.cn.

xvii
xviii About the Authors

Yong Tang, Ph.D. professor of Marine Geology and Geo-

physics. He works in the Key Laboratory of Submarine Geo-
sciences (KLSG) at the Second Institute of Oceanography,
Ministry of Natural Resources, Hangzhou, China. He is also a
member of the Commission on the Limits of the Continental
Shelf, United Nations. Professor Tang has been involved in the
work on the delimitation of continental shelf over the past 15
years. As the chief scientist and project leader in China-Nigeria,
China-Mozambique, China-Seychelles joint cruise and research
project, he has contributed himself to the international cooper-
ation on marine geophysics and delimitation of continental
shelf. He is also the project leader in the National Key R&D
Program, National Natural Science Foundation and National
High Technology R&D Program of China. So far, Prof. Tang
has published more than 30 scientific papers, 3 monographs and
3 patents. He also has supervised 2 Ph.D. students, 8 master
students, 4 bachelor students and 2 international scholars.
E-mail: tangyong@sio.org.cn.
 Overview of Bathymetric Surveying
Technology
Bathymetric surveying technology can be divided into four
types according to the measurement platform: shipborne
measurement (conventional vessels and unmanned vehicles),
airborne and spaceborne measurement, underwater autono-
mous navigation measurement and seafloor in situ observa-
tions. This chapter presents an overview of underwater
geomorphology detection and imaging instruments and
technologies to give readers a comprehensive understanding
of the relevant developments in this field. In the following
chapters, several widely-used detection technologies are
described in detail, including the multi-beam echo sounder
(MBES) system, airborne light detection and ranging
(LiDAR) bathymetry (ALB) system, side-scan sonar
(SSS) system and sub-bottom profile (SBP) system. This
information can provide an important reference for
researchers and workers in the relevant areas.
1.1 Shipborne Bathymetric Surveying
Technology
Bathymetry is the core work of shipborne seafloor mapping
and it is the most direct way of bathymetric surveying. Light
and electromagnetic waves decay rapidly in water, while
sound waves can travel long distances. Shipborne acoustic
detection is still one of the main methods of bathymetric
surveying. The Global Navigation Satellite System (GNSS)
is an accurate and efficient positioning technology used for
navigation at sea. The widely-used “GNSS plus detector”
bathymetry method is based on the principle of acquiring the
ship’s coordinates via GNSS navigation and simultaneously
obtaining depth data, reflection intensity or submarine ima-
ges using detection equipment.
© Science Press 2021
Z. Wu et al., High-resolution Seafloor Survey and Applications,
https://doi.org/10.1007/978-981-15-9750-3_1
1
1.1.1 Shipborne Detection Technology
Early bathymetry was done by the lead line and was inefficient.
In 1913, the Canadian scientist Reginald Aubrey Fessenden
invented the echo sounder which had a detection range of
3.7 km. In 1918, French physicist Paul Langevin created
modern hydroacoustics and invented the sonar which utilized
a sandwich-type transducer to detect underwater long-distance
targets, receiving the echo of a submarine for the first time. In
the 1960s, the MBES emerged with the introduction of com-
puter technology; modern MBESs with high-precision,
high-efficiency, automation and digitization were developed.
The data collection mode changed from a single point to a
continuous line and finally to a 3D surface (Li 1999).
The main detection instruments used in the bathymetric
surveying are the single-beam echo sounder (SBES), MBES,
phase-measuring bathymetric side-scan (PMBS) sonar, 3D
laser scanning system, dual-frequency identification sonar,
synthetic aperture sonar (SAS) and 3D panoramic sonar.
1.1.1.1 Early Bathymetry Methods
The bamboo pole was the first bathymetry tool, and later it
developed into a rope thrown into the water with a heavy
object at one end. In the mid-15th century, Nikola Coussa
invented a simple hydraulic sounder that estimated the water
depth based on the amount of water pressure. The
Bruker-type sounder was developed around 1851, and later
the Siegsby-type sounder and the popular Kelvin sounder
appeared. In 1891, British Telecom launched the Lucas-type
sounder which was inefficient and could only work in one
point or line.
1.1.1.2 Single-Beam Echo Sounder
A significant improvement in marine survey work was the
invention of the SBES in the 1920s. Its emergence was a
leap in ocean bathymetry technology, with its high speed
and continuous recording. Single-beam echoes bathymetry
records continuously along a line, thus producing a terrain
1
2 1 Overview of Bathymetric Surveying Technology
Fig. 1.1 HY1601 single-beam echo sounder
section line. SBES can operate in either single-frequency or
dual-frequency mode. The single-frequency sounder is light
and emits only one frequency band (low or high), while the
dual-frequency sounder emits both high- and low-frequency
signals. Bying utilizing these characteristics, the thickness of
the sludge layer on the ocean bottom can be acquired by
measuring the difference between the distances from the
water surface to the bottom surface and the hard stratum
surface. The traditional SBES has two shortcomings: firstly,
only the points along the survey line are sampled, which
represents only a small part of the survey area; secondly, the
beam is wide, which can lead to a large depth error when
measuring the complex terrain. The SBES is widely used in
rivers and shallow sea surveys for its low cost and conve-
nient operation. Figure 1.1 shows an HY1601 SBES.
Fig. 1.2 Dual-frequency MBES,
Elac Bottom Chart 1180/1050D
1.1.1.3 Multi-beam Echo Sounder
The MBES that emerged in the 1970s was a new concept
that profoundly changed ocean surveying methods and the
quality of the final results. A MBES can produce a 3D map
of the seafloor. It can measure the size, shape and height of
the underwater target accurately and efficiently within a
certain width (3–12 times the water depth). The MBES
records thousands of depth points in a plane perpendicular to
the track of the surveying vessel at one time (Zhao et al.
2007). Unlike the single-beam echo sounder, the MBES
needs to operate with auxiliary equipment, including an
attitude indicator, gyro, surface sonic velocimeter, sound
velocity profiler and GNSS receiver. This combination of
instruments can provide instantaneous position, altitude,
heading, speed of sound and other information.
The development of the MBES originated in military
research projects funded by the US Naval Research Agency
in the 1960s (Li 1999). In 1976, digital computer processing
and control hardware was applied to the MBES, resulting in
the first MBES system-SeaBeam, which had 16 beams; the
lateral measurement range of SeaBeam was about 0.8 times
the water depth. During the 1980s and 1990s, various
shallow, medium-depth and deep-water MBESs were pro-
duced. Figure 1.2 shows the German dual-frequency MBES
—the Elac Bottom Chart 1180/1050D, for shallow and
medium-depth seafloor mapping. With the widespread use of
electronics, computers, new materials and new processes,
MBES technology has improved in accuracy, resolution,
integration and modular technology, resulting in smaller
instruments and more accurate results. See Chap. 2 for a
detailed description of multi-beam echo sounding
technology.
1.1 Shipborne Bathymetric Surveying Technology 3

1.1.1.4 Side-Scan Sonar 1.1.1.5 Phase-Measuring Bathymetric Side-Scan

The appearance of SSS technology can be traced back to
near the end of World War II, but it was not used until the
late 1950s. In the early 1960s, SSS was developed for
commercial use and was adopted for use around the world in
the late 1960s. It is based on the echo-sounding principle for
underwater target detection where an array of transducers
mounted on the bottom of the ship’s hull emits the scanning
beams which are wide in the downward direction and narrow
in the horizontal direction at a certain tilt angle and trans-
mission frequency. After the sound wave propagates to the
seafloor or the target, it is reflected and scattered back to the
receiving array of the transducer, then processed and stored
in the processing unit.
The working frequency of the SSS determines the max-
imum scanning range and the pulse width directly affects the
resolution (Table 1.1). In general, the smaller the width, the
higher the resolution. The horizontal beam angle directly
affects the horizontal resolution. The angle of the downward
beam affects the width of the area covered by the side-scan
sonar. The larger the angle, the larger the coverage and the
smaller the blind area directly below the sonar.
Sonar
In 1960, the British Marine Science Institute developed the
first SSS for submarine geological surveys. In the mid-1960s,
the SSS technology was improved in resolution and image
quality. The transducers were mounted on a “tow fish” and
towed at depth behind the ship on a cable. In the 1970s, SSSs
adapted for specific uses were developed. In the 1990s, the
British company Submetrix launched the ISI100 PMBS
sonar system for high-density, high-precision measurement
of submarine geomorphology. The PMBS sonar measured
the seabed depth and produced a 3D map of the surveyed
area, an isobath map and a side-scan sonar image (Liu 2001).
This type of device has three characteristics, as follows.
(1) High-density data is collected, generally 2 000–6 000
echo bands (echo angles) on each side of the emission
pulse, which is equivalent to a water depth of 7.55 mm
on the seafloor.
(2) The transducer array covers a wide area, and the
effective width of the surveyed area can reach 10–15
times the water depth.

Table 1.1 Commonly-used SSSs and their performance parameters

Model Frequency/kHz Horizontal The longest Unilateral Tow fish size Tow fish Operating
wave beam cable range/m diameter weight/kg depth/m
angle/(°) length/m length/cm
Sonar Beam 100 1.2 / 1 000 11.2
1 360 32 <300
S-150D 400 0.3 300
Klein 3 900 445 0.21 / 150 8.9
122 29 25–1 000
900 50
Klien 3 000 100 0.70 / 600 8.9
122 29 25–1 000
500 0.21 150
EdgeTech4100P 100 1.2 1 500 500 11.4
140 12 1 000
500 0.5 200
Edge HDM 100 0.64 6 000 500 / / 2 000
Tech model 400 0.30 150
4200-MP
HSM 100 1.26 500
model 400 0.40 150
SeaProbe D-S 100/400 0.80 6 000 50-400 26
29
140 24 Standard
2 500
CS-1 100 1.00 500 500 / / 3 00
500 0.4 100
Benthos C3D 200 5 concurrent 10 000 25–300 / / 2 000
angles
Jwfishers 100 1.50 / 450 10.2
140 27 152.4
600 60
4 1 Overview of Bathymetric Surveying Technology

(3) Swath bathymetry and SSS can collect more seafloor
geomorphic information. Compared with the traditional
SSS, it can provide the precise coordinates of each pixel,
which improves the processing and analysis of the data.
Interferometric sonar is suitable for bathymetry scanning
of ports and waterways, so it can replace the sounder and
SSS. The main models are the Klein 3500 and GeoSwath
Plus (Fig. 1.3, Table 1.2). However, in water depths beyond
200 m, the accuracy of the interferometric sonar is not as
good as that of traditional MBES, especially in turbid estu-
aries and in channels.
1.1.1.6 Dual-Frequency Identification Sonar
The high-resolution dual-frequency identification sonar uses
an audio “lens” to produce high-quality images in dark and
turbid water, where optical cameras are unusable. The
high-resolution dual-frequency identification sonar emits
sound waves of two frequencies underwater. When the
sound wave encounters an object, it is reflected back and
received by the system. After processing of the acoustic
image signal, the image of the object is displayed on the
display screen. The acoustic imaging system consists of
three acoustic lenses and an array transducer. The array
transducer has a spatial resolution which can recombine the
image based on the strength and time-delay of the reflected
signals. Common high-resolution dual-frequency identifica-
tion sonars include the ARIS and DIDSON models devel-
oped by the University of Washington. Figure 1.4 shows the
underwater image produced by the DIDSON sonar, and
Table 1.3 compares the basic performance of the two models
of the DIDSON dual frequency identification sonar.
1.1.1.7 Underwater 3D Panoramic Scanning Sonar
The 3D imaging sonar is similar to a 3D laser scanner. The sonar
head emits a sound wave of a fixed frequency. The beam
propagates through the water to reach the surface of the object
and is reflected back to the sonar head, which converts the signal
into an electrical signal. This electric signal is then transmitted to
the sonar control unit. The information of the scanned surface is
displayed in the form of an image using the operation software of
the sonar. Each time the sonar probe emits an acoustic pulse, a

Fig. 1.3 The GeoSwath Plus

bathymetry SSS system

Table 1.2 Commonly-used Model Weight Operating Wave Horizontal Vertical Operating
bathymetry SSSs and their in frequency/kHz length/lm opening opening depth/m
performance parameters air/kg angle/(°) angle/(°)
Klein 3500 29 100/500 25–400 0.7 40 <2 000
GeoSwath Plus 24 125 128–896 0.85 120 <200
ATLAS 30 200 60–350 1.3 161 250–600
FANSWEEP20
1.1 Shipborne Bathymetric Surveying Technology 5

Fig. 1.4 Underwater imaging recorded by the dual-frequency identification sonar DIDSON

Table 1.3 Performance of the DIDSON dual frequency identification sonar

Item Standard dual frequency recognition sonar Remote dual frequency identification sonar
Low frequency High frequency Low frequency High frequency
Operating frequency/MHz 1.1 1.8 0.7 1.2
Beam width (two-way)/(°) Horizontal 0.4 Horizontal 0.3 Horizontal 0.8 Horizontal 0.5
Vertical 14 Vertical 14 Vertical 14 Vertical 14
Wave beam 48 96 48 48
Starting distance/m 0.75–23.25 0.38–11.63 0.75–23.25 0.38–11.63
Interval/m 0.75 0.38 0.75 0.38
Detection distance/m 4.5, 9, 18, 36 1.13, 2.25, 4.5, 9 9, 18, 36, 72 2.25, 4.5, 9, 18
Sampling interval in distance/mm 8, 17, 35, 70 2.2, 4.4, 9, 18 17, 35, 70, 140 4.4, 9, 18, 36
Pulse width/ls 16, 32, 64, 128 4, 8, 16, 32 23, 46, 92, 184 7, 13, 27, 54
-1
Frame rate/s 4–21 2–10
Horizontal viewing angle/(°) 29 29
Power consumption/W 30 (AC115V or DC14–18V)
Control Ethernet
Output form Ethernet and NTSC
Size/cm length 30.7; height 20.6; width 17.1
Air weight/kg 7
Water weight/kg 0.6

scanning sector is formed, and the coordinates of the measuring
points can be obtained. The pan and tilt mechanism can scan in a
wide range: 360° in the horizontal plane and 130° in the vertical
plane. The scanning depth can reach 300 m, with an error of less
than 4 cm at a 30-cm range, and an angle error of 1°. The most
common 3D scanning sonars currently in use are the
BV5000-1350 and BV5000-2250, developed by BlueView
Corporation, US (Fig. 1.5, Table 1.4).
1.1.1.8 Synthetic Aperture Sonar
The synthetic aperture line array sonar performs
time-sampling of signals reflected from the target as the
receiving array is towed above the target, and then processes
the data to form a spatial image of the target. The key
technologies of SAS imaging include attitude control of the
towed array, real-time time-delay correction, inverse scat-
tering image reconstruction, and processing techniques for
6 1 Overview of Bathymetric Surveying Technology

Fig. 1.5 Images of deep sea drilling platform and flange recorded by 3D scanning sonar BV5000-1350; insert shows flange diagram

Table 1.4 3D scanning sonar Model BV5000-1350 BV5000-2250

BV5000 performance parameters
Sonar
Maximum range/m 30 10
Optimum range/m 1–20 0.5–7
Beam width 1°
1° 1°
1°
Beam spacing 0.18° 0.18°
Working frequency/MHz 1.35 2.25
Interface
Supply voltage 120–240 VAC 24 VDC 120–240 VAC 24 VDC
Power consumption Maximum power consumption 45 W
Data interface Ethernet/USB Ethernet/RS485 Ethernet/USB Cthernet/RS485
Mechanical properties
Weight in air/kg 22.2 12 20.7 10.5
Weight in water/kg 9.6 4.5 8.4 3.3
Maximum depth/m 300 3 000 300 3 000

acoustic signal fluctuation caused by temporal and spatial

changes of the ocean medium. SAS achieves the resolution
of a large aperture array with a small aperture array. It has
the typical advantage of “constant resolution”, which means
the resolution of the SAS image does not diminish as the
distance increases. Representative products include the SASs
developed by the United States DARPA and CEROS, the
European Union’s Synthetic Aperture Mapping and Imaging
(SAMI) sonar, and France’s IMBAT3000 SAS. With the
support of the National High Technology Research and
Development Program (863 Program) of China, the Institute
of Acoustics of the Chinese Academy of Sciences success-
fully developed the first SAS with independent intellectual
property rights in China in 2000. At present, SAS can
achieve underwater image resolutions of 10-30 cm when the
water depth is about 400 m (Fig. 1.6, Table 1.5).

Fig. 1.6 Submarine small artificial target detected by SAS

1.1 Shipborne Bathymetric Surveying Technology 7

Table 1.5 Common SASs and Parameter UCSB SAMI KIWI DARPA CEROS SharkSAS-MF
their performance parameters
Center frequency/kHz 600 8 30 50 12.5 15–25
Bandwidth/kHz 4 6 20 10 8 10
Heading 5 100 15 10 4 10
resolution/cm
Distance 19 13 5 7.5 10 8
resolution/cm
Transmit beam width/(°) 1.5 5 10 8 84 Horizontal 7,
vertical 47
Typical working distance/m 70 100–2 500 50 50–1 000 75 Up to 300

1.1.1.9 Mobile 3D Laser Scanning System
A 3D laser scanning system is formed by integrating 3D laser
scanning (LS) equipment with a GNSS module, inertial
measurement unit, odometer, 360° panoramic camera,
assembly control module and high-performance board com-
puter, and attaching them to a rigid platform. Long-distance
non-contact measurement can be realized by 3D laser scan-
ning to achieve inter-tidal zone measurements (Fig. 1.7). The
plane position of the tidal flat measurement angle using a
shipborne mobile 3D laser scanning can reach 10–15 cm, and
the elevation position can reach 15–20 cm. The main 3D
laser scanners for shipborne mobile measurement are the
MDL Dynascan, RIEGL VZ400, Leica HDS8800, FARO
Focus3D and Zhonghaida iScan (Table 1.6).
1.1.2 Shipborne Positioning Technology
Seafloor detection in bathymetric surveying requires accu-
rate plane positioning of the survey point, usually obtained
from the ship’s position. Therefore, accurate ship positioning
is an important part of seafloor mapping.
The early positioning methods were mainly based on
optical positioning and land-based radio positioning, which
were imprecise and cumbersome. Since the end of the 20th
century, with the rapid advancement of GNSS technology,
marine positioning technology has made breakthrough pro-
gress. The widely-used GNSS high-precision positioning
technology includes differential point positioning and pre-
cise point positioning. The principle of optical positioning at
sea is based on the intersection method, similar to that of
land positioning systems. Examples are the forward inter-
section method and the resection method, which were widely
used in the 1960s and 1970s.
Radio positioning includes both land-based radio and
space-based radio. Land-based radio positioning systems were
developed at the beginning of the 20th century. The main part
of the system is the ground navigation platform. This method
can provide continuous positioning in all weather conditions at
long distances, from tens of kilometers to thousands of kilo-
meters. The long-range positioning systems use various radio
navigation systems that work on different principles. Different
navigation systems (for example, Roland C and Omega) have
different data accuracies (Liang 1995).

Fig. 1.7 Shipborne 3D laser operation (left) and scan results (right)
8 1 Overview of Bathymetric Surveying Technology

Table 1.6 Commonly-used 3D laser scanners and their performance parameters

Parameter MDL RIEGL VZ400 Leica HDS8800 FARO Focus3D Zhonghaida
Dynascan iScan
Measuring 500 600 2000 153.49 500
distance/m
Scanning accuracy ±5 cm 5 mm (within 100 m) 10 mm (within 200 m) 2 mm (within 25 m) ±10 cm
Laser divergence 0.3 mrad 0.25 mrad 0.19 mrad
Scanning view 360° Vertical Vertical 80°
Vertical 360°
100°
horizontal 360° horizontal 360° 305°
horizontal 360°
Acquisition 500 000 300 000 8 800 976 000
rate/pointss−1
Operating −20 to 60 0 to 40 0 to 50
temperature/°C
Storage −20 to 70 −10 to 50 −20 to 50 5 to 40
temperature/°C
Protection level IP65 IP64 IP65 IP65

The global navigation and positioning technology are one
of the most prevalent space-based radio positioning tech-
nologies. It emerged in the 1970s and is currently the most
widely used and effective method for maritime positioning.
GPS single-point positioning is influenced by many factors,
such as satellite ephemeris error, ionospheric refraction error
and the multipath effect; and its positioning accuracy is 5–
20 m. Therefore, it is not suitable for high-precision posi-
tioning and navigation. Early GPS differential methods used
in China’s coastal areas include beacon differential and GPS
real-time kinematic (RTK) technology. The Radio
Beacon-Differential Global Position System (RBN-DGPS)
was established by the China Maritime Safety Administra-
tion during 1995–2000 and covers 20 coastal areas of China.
GPS RTK is a carrier phase real-time dynamic differential
positioning system with an accuracy of a few centimeters. At
present, the rapidly developing global navigation technology
is available through the United States’ GPS, China’s BeiDou
Navigation Satellite System (BDS), Russia’s Global Navi-
gation Satellite System (GLONASS) and the European
Union’s Galileo. Differential technologies have developed
from single-base station differential technology to network
RTK technology, and precision single-point positioning
technology has also emerged. The accuracy of precise point
positioning can reach decimeter or even centimeter scale (Li
and Huang 2005). Because it is not limited by the distance to
the base station, it has great potential in marine mapping.
GPS positioning technology is detailed in Chap. 5.
1.1.3 Unmanned Shipborne Measurement
Platforms
In addition to traditional surveying ships, the current
unmanned vehicle-based autonomous measuring platform is
also an important means of bathymetric surveying, espe-
cially in areas that are difficult to access such as shallow
water, reef areas or areas containing hazardous chemicals.
An unmanned vessel can be equipped with conventional
measuring instruments such as a shallow-water MBES, SSS,
SBES and Acoustic Doppler Current Profiler (ADCP). It can
work efficiently in shallow water and work collaboratively
with the mother ship (Fig. 1.8). In recent years, there has
been substantial development in the field of automatic
acquisition both in China and worldwide. Intelligent
unmanned vehicles are being produced with high-precision
GPS-guided, ultrasonic automatic obstacle-avoidance tech-
nology, real-time remote data link technology, and com-
posite material technology. In addition, they are equipped
with different kinds of detection loads to acquire data
automatically.
The unmanned vehicle platform includes many functions
such as unmanned remote control, GPS automatic naviga-
tion, autonomous navigation and automatic obstacle avoid-
ance control, which can work outside the line of sight. The
recorded data, including video footage taken by the
unmanned vehicle camera, can be transmitted back in
real-time through the system’s broadband private network
1.1 Shipborne Bathymetric Surveying Technology 9

Fig. 1.8 Unmanned vehicle system setup and components (provided by Zhuhai Yunzhou Company)

Fig. 1.9 Monitoring interface of

unmanned vehicle showing
planned survey track (red line)
and actual track (black line)
(provided by Zhuhai Yunzhou
Company)

which can reach 2 MB/s within 15 km. Figure 1.9 shows a

plot of an unmanned vehicle’s survey plan (red line) and
actual track (black line). Generally, under level 4 sea con-
dition with a surface flow of 1 m/s, the navigation accuracy
of the unmanned vehicle is ±0.5 m.
The main Chinese companies that develop unmanned
surface vessels are Zhuhai Yunzhou, Wuhan Chuhang and
Wuhan Laolei Green Bay Company. Internationally, the US,
the UK, Germany and other countries also produce and
operate a small number of unmanned surface vessels
(USVs). Some examples of unmanned vehicles and their
performance specifications are shown in Table 1.7.
1.2 Spaceborne and Airborne
Geomorphology Detection Technology
1.2.1 Spaceborne Ocean Monitoring
Technology
1.2.1.1 Satellite Altimetry Technology
Satellite altimetry technology uses a microwave radar altimeter on
a satellite to determine the timing of radar pulses traveling to and
from the sea surface, and calculates the distance from the satellite
to the measurement point on the sea surface. In addition, it can
10 1 Overview of Bathymetric Surveying Technology

Table 1.7 Examples of unmanned surface vessels and their performance specifications
Comparison item Yunzhou unmanned boat Water quality C-CAT4 unmanned boat Sea Serpent
monitoring robot fish
Place of origin China Spain UK US
Equipment
pictures

Features Water sampling/monitoring Water quality Customized modifications Customized modifications

monitoring according to your needs according to your needs
Data processing Data Data storage Data storage Data storage
backhaul/storage/processing/drawing
Size/m 1–1.5 1.5 4.3 2.5
Weight/kg 20–50 100 650–1 000 >1 000
Life time/h 6–12 2 Custom made Custom made
Autonomous Yes Yes Yes Yes
navigation
Communication 10 1 10
distance/km
Ultrasonic Yes No No No
obstacle
avoidance
Live video Yes No Yes Yes

determine changes in sea level relative to a reference ellipsoid
based on known satellite orbital heights and various error cor-
rections. The basic observations include signal round-trip time,
echo signal waveform and echo gain of the automatic gain control
value. Figure 1.10 is a schematic diagram of satellite altimetry
operation. The sea surface height can be expressed as
h ¼ rs  rp  halt ¼ hass þ hs ð1:1Þ
where h is the ellipsoidal height of the instantaneous sea
surface; rs is the geocentric moment of the normal projection
point of the satellite on the reference ellipsoid; rp is the
geocentric distance of the sub-satellite point P (i.e., the

Fig. 1.10 Schematic diagram of

satellite altimetry operation and
parameters
1.2 Spaceborne and Airborne Geomorphology Detection Technology 11

projection point of the satellite on the mean earth ellipsoid);

halt is the direct measurement of the microwave radar
altimeter; hass is the average sea surface height consisting of
the geoid level and the steady sea surface topography; and hs
is the dynamic sea surface topography.
Satellite altimetry provides high-precision and
high-resolution geoidal data over large ocean areas, which
can be inverted to produce the submarine topography using
analytical and statistical methods. When the frequency
domain is used to indicate changes in the submarine
topography, the satellite altimetry inversion data of the
submarine topography can only reflect the low and
medium-frequency parts (mild and medium variations) of
the submarine topography but cannot detect extreme varia-
tions. Satellite altimetry is greatly affected by topographic
objects in the vicinity of the ocean or island. Such objects
significantly reduce the observation accuracy; therefore, the
use of satellite altimetry to invert for bathymetry mapping in
the ocean will generally produce satisfactory results only in
deep waters. At present, this method is generally not suitable
for large-scale mapping. Fig. 1.11 Schematic diagram of remote sensing imaging of space-
borne SAR
1.2.1.2 Ocean Remote Sensing Survey
Technology
Spaceborne remote sensing survey technology is an impor- understanding of the oceans and our planet. It provides a
tant part of the ocean survey technology system. It has macro background and basis for conducting a variety of
evolved along with high-tech technologies such as satellite marine research. Improvements in the performance and
technology, electronic technology, opto-electronic technol- resolution of various sensors mean that, spaceborne tech-
ogy and microwave technology. Since 1972, a number of nology has broad applications in many aspects, such as
satellites with space detectors have been launched, including evaluating the integrity and accuracy of charts, correcting
Landsat, IKONOS, MOS-l and Pleiades, providing contin- and updating charts, issuing general notices, verifying sus-
uous quantitative global ocean information in all weather pected hazards and determining their location. Remote
conditions. Remote sensing satellites can collect the fol- sensing surveys can also be used to assess and verify
lowing data: sea surface wind speed and direction, wave water-depth data, to assist in determining areas for priority
height, length and spectrum, sea surface temperature, measurement, and to carry out surveys to determine the
atmospheric water content, sea ice, sea surface topography, geoid, sea topography and ocean currents.
ocean level and high-resolution radar images. Underwater terrain survey and inversion can be per-
At present, satellite sensors for ocean observations formed using microwave remote sensing technology.
acquire information based on the principle of electromag- The SAR remote sensing imaging of the seabed is based on a
netic radiation. Remote sensing technology uses electro- three-part process (Fig. 1.12).
magnetic waves in the visible light, infrared and microwave
bands. Sensors are divided into active and passive types (a) The interaction between the underwater topography and
according to their working mode. Active sensors include tidal currents causes sea surface velocity modulation,
microwave altimeters, scatterometers and synthetic aperture forming surface convergence and divergence.
radar (SAR). Passive sensors operate in the visible and (b) Sea surface flow field modulation causes changes in the
infrared bands and include scanning radiometers and short-wave spectrum of the wind-induced ocean waves,
microwave radiometers. Figure 1.11 is a schematic diagram leading to changes in the roughness of the sea surface.
of remote sensing imaging of spaceborne SAR. The (c) Sea surface roughness variations appear as intensity
parameters of the sensors and main measurements currently modulation on radar images. The underwater terrain
used in marine research are shown in Table 1.8. SAR imaging model is based on three transfer equations:
Spaceborne ocean survey technology has greatly impac- the Navier-Stokes equation, the wave action spectrum
ted traditional survey technology and broadened our balance equation and radar backscatter equation.
12 1 Overview of Bathymetric Surveying Technology

Table 1.8 Satellite sensors and Sensor name Measured ocean parameters
their measured ocean parameters
SAR Wave direction spectrum, mesoscale eddies, ocean internal waves, shallow sea
topography, sea surface pollution, sea surface characteristics information, etc.
Infrared sensor Sea surface temperature
Aqua sensor Chlorophyll concentration, suspended sediment concentration, marine primary
productivity, diffuse attenuation coefficient and other oceanographic optical
parameters
Microwave Average sea level, geoid, effective wave height, sea surface wind speed, surface
altimeter flow, gravity anomaly, etc.
Microwave Sea surface wind farm
scatterometer
Microwave Sea surface temperature, sea surface wind speed, sea ice water vapor content,
radiometer rainfall, etc.

1.2.2.2 UAV Aerial Photogrammetry

Fig. 1.12 SAR imaging mechanism for shallow underwater terrain
1.2.2 Airborne Ocean Exploration Technology
1.2.2.1 Airborne LiDAR Bathymetry Technology
ALB is an aircraft-based technology where two laser beams
are emitted from the aircraft to measure the altitude of the
aircraft relative to the sea surface and the seafloor, thereby
obtaining the water depth. Generally, depths of 30–50 m can
be measured, and the accuracy is about 0.1–0.2 m. ALB can
be used for mapping large areas of shallow water (especially
water with good visibility). The airborne laser sensor is large
and heavy, hence it should be mounted on a manned
fixed-wing aircraft; therefore, the data acquisition cost is
high. The current mainstream models are the Larse500 in
Canada and LADS in Australia (Table 1.9).
Spaceborne satellite altimetry and remote sensing methods
have low accuracy, whereas airborne LiDAR is costly to run
and requires a specific type of aircraft flying within a limited
altitude range. The strict timing of the tidal levels and limited
maneuverability also restrict the use of these methods.
Therefore, low-altitude drones can be effective tools for
topographic surveys of tidal flats and island reefs in addition
to these measures.
Unmanned aerial photogrammetry uses a light-duty drone
equipped with a high- resolution digital color aerial camera
to acquire data such as survey area images and measurement
status. The data is then transmitted to the ground control
system and image processing analysis is performed on a
digital photogrammetric workstation. After obtaining the
GPS/POS data of the drone and the camera parameters, the
elevation information of the object points in the stereo image
pair can be extracted through geometric calculation; the
elevation information is acquired much faster than via con-
ventional methods. Based on the least-squares theory, the
shoals surveying and mapping system calibration technology
uses a high-precision aerial triangulation encryption method
to collect elevation information with relatively high preci-
sion, and uses a secondary internal orientation method to
adjust the digital elevation model according to the moni-
toring and analysis data of the ocean surface level variation.
This method can obtain a topographic map of tidal flats and
island reef areas on a scale of 1:2 000, but the water depth
inversion performance is poor. Currently, under ideal con-
ditions, drones can reach good measurement accuracy in
shoal and reef areas at a mapping scale of 1:1 000.
Unmanned aerial photogrammetry has the advantages of
a relatively simple aircraft-based operation which offers
strong maneuverability, simple maintenance procedures,
aerial photography below cloud level, low-risk operation and
1.2 Spaceborne and Airborne Geomorphology Detection Technology 13

Table 1.9 Airborne LiDAR devices and their parameters

Model Wave Pulse repetition Sweeping Aircraft Flight Maximum depth of Bathymetry
length/lm frequency/Hz range/m height/m speed/m  s−1 measurement/m accuracy/m
Larse500 268 500 70 40 0.3
LADS 1.06–0.53 168 250 500 70 50
LADS 900 240 500 90 70 0.3
MKII
Hawk eye 1.06–0.53 200 300 15–60 70 0.3
FLASH 1.06–0.53 200 34

1.3.1 Technology of Underwater Robots

The underwater robot is a submarine observation platform

that can operate underwater and can accomplish specific tasks
independently. Underwater vehicles can be divided into
autonomous underwater vehicle (AUV), human-occupied
vehicle (HOV) and remotely operated vehicle (ROV). These
vehicles are a mobile platform that can carry a variety of
sensors to survey the submarine topography.

1.3.1.1 Autonomous Underwater Vehicles

Fig. 1.13 Unmanned aerial photogrammetry using drones to detect oil
spills
low altitude resolution. It is effective in obtaining both
small-range and large-scale data. At present, unmanned
aerial photogrammetry is widely used in many aspects such
as sea-state emergency monitoring, unreachable sea area
map data acquisition, large-scale mapping and map data
acquisition, local updates of marine charts and small-scale
3D model establishment. Figure 1.13 shows a drone opera-
tion to detect oil spills.
1.3 Underwater Robots and Technology
for the Detection of Submarine
Observation Networks
In addition to surface survey vessels and aerial vessels,
underwater robots are also an important submarine topog-
raphy survey vehicle. Underwater surveying equipment has
the advantage of near-bottom detection at high resolution. In
recent years, in situ long-term submarine monitoring based
on underwater observation networks has developed rapidly,
enabling real-time observations with online monitoring of
submarine topography, submarine disasters and marine
ecology (Jin et al. 2016).
Autonomous underwater vehicles (AUVs) have greatly
improved the scope and quality of marine surveying because
they can obtain high spatial and temporal resolution data
below the water, thus eliminating atmospheric interference.
In 1992, Woods Hole Oceanographic Institution (WHOI)
developed a deep-ranging AUV autonomous benthic
explorer (ABE). On its expeditions ABE found more than 12
new deep submarine hydrothermal vents using the
“three-step” method of submarine hydrothermal vent detec-
tion. To investigate the submarine hydrothermal activity in
the mid-ocean ridge, Mitsui Shipbuilding and the University
of Tokyo jointly developed the r2D4 AUV that can explore
the ocean to depths of 4 000 m. The AUV weighs approx-
imately 1 600 kg and has a range of 60 km. In 2006,
deep-sea lava plains and hydrothermal plumes were dis-
covered in the Indian Ocean. With the development of AUV
technology, Kongsberg Maritime of Norway, developed the
HUGIN AUV series which can operate at depths of 1 000 to
4 500 m. The vehicles can be used for high-quality marine
surveying, hydrographic surveys, rapid environmental
assessment and more.
The CR-01 and CR-02 AUVs with a diving depth of
6 000 m were jointly developed by China and Russia
(Fig. 1.14). These AUVs detected submarine manganese
nodules in the eastern Pacific Ocean at a depth of more than
5 000 m, making China one of the few countries in the
world with a 6 000-m level autonomous submersible. Dur-
ing the “Twelfth Five-Year Plan” period, China developed
14
Fig. 1.14 The AUV CR-02, China
Fig. 1.15 The AUV Qianlong II, China
the “Qianlong II” AUV (Fig. 1.15) which has a maximum
working depth of 4 500 m and can be operated indepen-
dently for 30 h underwater. It was used to detect
hydrothermal sulfide resources in the Southwest Indian
Ocean. At present, China is at the forefront globally in terms
of submersible integration technology.
1.3.1.2 Human Occupied Vehicles
The human occupied vehicle (HOV) provides a platform for
marine scientists to explore the deep sea, to observe ocean
phenomena directly and to conduct scientific experiments. It
can bring people to the depths of the ocean for observation
and operation, and realize the dream of humans to explore
the ocean.
The US’ Alvin submersible is the most frequently used
HOV in the world. It is considered to be the most efficient and
successful HOV and has made great contributions to
deep-sea research. In 1966, the Alvin caused a sensation
when it participated in the recovery of a hydrogen bomb
dropped by the US off the Mediterranean coast of Spain. This
led to the development of HOVs in Russia, France and Japan.
The submersible Jiaolong was a breakthrough in China’s
HOV technology. In July 2012, it successfully completed a
1 Overview of Bathymetric Surveying Technology
Fig. 1.16 HOV Jiaolong, China
sea trial to 7 000 m depth. In 2013, it successfully carried
out experimental applications for submarine resource
exploration and deep-sea scientific research. It is now fully
operational (Fig. 1.16).
1.3.1.3 Remote Operated Vehicles
The remotely operated vehicle (ROV) is a submersible
vehicle supported by a mother ship. A variety of equipment
and sensors can be installed on the ROV for long-term and
continuous submarine investigation and sampling opera-
tions. ROVs have contributed to marine geological surveys
in the world oceans. ROVs were the first submersible
vehicles to be developed and applied for work and explo-
ration in the maritime environment. In 1966, the CURV-1
ROV of the US Navy successfully salvaged the hydrogen
bomb that fell in the Mediterranean Sea in cooperation with
the manned submersible Alvin. The CURV-2 and CURV-3
ROVs were developed shortly afterwards (Fig. 1.17). ROVs
for commercial use were introduced in 1975. Hydro Pro-
duction developed RCV-125 and RCV-150 between 1975
and 1980. Their main task was to connect underwater
pipelines and assist in underwater drilling.
ROVs have been widely used in ocean exploration. The
US Monterey Bay Aquarium Research Institute (MBARI)’s
ROV Ventanta was developed in 1987. It can dive down to
1 800 m and it is the most utilized ROV in the world, having
performed more than 3 000 dives. A carbonate sample
was obtained from Ventanta’s first dive in 1988 and iden-
tified as a chimney fragment from an underwater cold spring.
WHOI’s ROV Jason II produced video footage of the deep-
est undersea volcanic eruption ever recorded during a
dive off the coast of Fiji in 2009, recording the spectacular
eruption of magma from the ocean floor for the first time.
1.3 Underwater Robots and Technology … 15

Fig. 1.17 US Navy’s CURV series ROVs

After nearly 30 years of development, China has inde-
pendently produced various types of ROVs including float-
ing, crawling and dragging vehicles (Jin et al. 2014). For
undersea cable laying, the first self-propelled cable-laying
robot CISTAR was developed by Shenyang Automation
Research Institute in 2002, for the laying, testing and
maintenance of optical cables. Hailong, a sampling robot
developed by Shanghai Jiao Tong University, was launched
in 2004 and can operate down to a depth of 3 500 m. Hai-
long is equipped with five cameras of various capabilities for
taking still-life monitoring images. It is also equipped with
special underwater lighting equipment which can illuminate
up to several hundred meters underwater. Its sonar can work
in turbid water, and its lifting arms can carry several hundred
kilograms. In 2018, the Hailong III reached a depth of
6 000 m.
1.3.2 Technology of Submarine Observation
Networks
network was placed at the bottom of the Atlantic Ocean and
expanded to the Pacific coast in the mid-1960 s. The system
consists of underwater arrays of hydrophones placed on the
seabed, which record and transmit signals to shore pro-
cessing stations through cables.
In the 21st century, the US Naval Research Bureau
launched the Persistent Littoral Undersea Surveillance Net-
work (PLUSNet) Project (Fig. 1.18). It consists of a sensi-
tive hydrophone fixed to the seabed, an electromagnetic
sensor and a mobile sensor platform. The fixed observation
device and the mobile observation platform can communi-
cate bi-directionally to form a semi-autonomously controlled
submarine observation system. The system is designed to
use the mobile platform to adaptively process and enhance
the reconnaissance, classification, location and tracking of
low-noise diesel-electric submarines in shallow waters,
especially in the western Pacific. The illustration in Fig. 1.18
shows the large-scale PLUSNet trial conducted in 2006 in
the Monterey Bay.

Observation networks comprise monitoring sensors placed

on the seabed and connected through submarine cables and
feeder boxes to form a network of submarine observation
points. Compared with the traditional shipborne detection
method, observation networks provide real-time and online
long-term monitoring of the submarine topography and can
monitor changes in the marine environment. Observation
networks have a wide range of applications in both civilian
and military operations. This section only introduces several
representative submarine observation networks in China and
around the world.

1.3.2.1 Underwater Acoustic Monitoring

Network
In the 1950s, the US Navy began building a cable-based
underwater observation system for monitoring submarines, Fig. 1.18 The PLUSNet operation (https://www3.mbari.org/MB2006/
the sound surveillance system (SOSUS). The hydrophone UPS/mb2006-ups-links.htm)
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time in comparison with their importance relative to other
departments is a condition the large mournfulness of which seems
beyond all possibility of doubt to the writer. Nor should it be forgotten
that the teachers of the social sciences form but a small minority of
the whole body of university and collegiate instructors in all subjects.
Nevertheless they are subject to the rigid general standards of
accuracy, fairness, and impartiality prescribed by the profession as a
whole, and enforced severely whether the offender be a biologist, a
philologist, or an economist. Criticism is far more relentless and
constant in this sphere than laymen are wont to suspect, except on
the rare occasions when some more than ordinarily virulent
controversy is taken up by the daily papers. Under such conditions
any academic tendency either toward servility or toward demagogy
is not likely to go long unchallenged.
Considering the high cost and small profits of university
manipulation in this light it is very doubtful whether so indirect a
method of social defence would appeal to our financial pirates.
Whatever their defects or vices, men of this type have at least
received the rigorous training of the business career. They are not
philosophers of farsighted vision, nor are they easily perturbed by
fears of distant dangers. Troubles near at hand they see very clearly;
indeed, one of the chief grounds of clamour against such men is the
crass directness of the bribery to which on occasion they resort.
Interests under fire appeal rather to political hirelings, to venal
lawyers, to the courts, to legislatures, or to the press for effective
protection and defence. College doctrines are too remote, too
uncertain of manipulation to be of assistance. Although they did not
learn it from the poet, business men are certainly not unmindful that:

“was ein Professor spricht

Nicht gleich zu allen dringet.”

Given both the motive and the means, however, the task of
corrupting the college teaching of economic, political, and social
doctrines would seem almost hopelessly difficult. A given institution,
may, indeed, be endowed almost exclusively by a certain man of
great wealth. With very few exceptions knowledge of such
munificence is made public property. If then the president or
professors of such a university should endeavour to justify or palliate
the business conduct of the founder their motives will be suspected
from the start and their arguments, however artfully they might plead
the case, discounted accordingly. If discretion were thrown to the
winds (there is perhaps one case of this sort) the net effect of the
work of such apologists, instead of aiding their financial friends,
might profoundly injure and embarrass them. Those who are familiar
with the character of the American student know that he would be
the first to detect any insincerity in the discussion of public questions
by an instructor or college official. If the prosperity of the college
were due almost entirely to a single bounteous donor its venal
professors would, of course, have no direct motive to defend the
economic misconduct of any other than their particular friend among
the captains of industry. Possibly they might develop a policy similar
to that of newspapers in the same predicament,—silence or soft
speaking regarding the sins of their great and rich friend combined
with louder trumpetings against the social misconduct of other and
indifferent financial interests. In the case of all our important
institutions of learning, however, funds of very considerable size in
the aggregate have been received from many sources in the past,
and new gifts, even when they are of large amount, represent merely
fractional additions thereto. Those who know our colleges and
universities will find it hard to believe that the old academic ideals
and traditions of well supported institutions, their scientific honesty
and earnest devotion to broad public service, are to be cheaply
bought by gifts of half a million or more from the nouveau riche.
There is such a thing as loyalty to the small gifts often made with the
highest motives and the greatest sacrifices by generations long since
dead. Few institutions desire to disregard this sentiment, and no
institution can disregard it with impunity.
Finally there are the great state institutions of the country,
maintained almost wholly by taxation and hence free from any
corrupting influence that large endowments might exercise. There
can be no doubt that the possession of these two fundamentally
different kinds of economic support is a great safeguard to the
independence of university instruction in the United States. No
country is more blatant in asserting its Lehrfreiheit than Germany,
but there the exclusive reliance of universities upon state support,
coupled with the tremendous strength of government, makes
necessary very considerable modification of the Teutonic boast of
absolute academic freedom. To be sure state institutions in the
United States have been charged at times with similar subservience
to legislatures and political leaders. Whatever perversion of this sort
may have occurred it was at least not turned to the advantage of
corporate misdoing. Indeed it probably had a directly opposite and
strongly demagogic trend. Fortunately our state universities are
becoming so powerful, so well fortified by high and honest traditions,
so beloved by great and rapidly growing bodies of influential alumni
that the days of their dependence upon political favour are well nigh
over. It is now beyond all doubt that they are destined to a career of
immense usefulness to our democracy, and it seems highly probable
that they will overtake, if they do not ultimately excel, the great
endowed institutions of the country. If the latter should ever show
themselves subject to the influence of predatory wealth the
development of well supported public universities should supply the
necessary corrective. At the present time, however, a strong
presumption of the general devotion of both classes of institutions to
the public welfare is afforded by the fact that no recognisable
distinction exists between the general doctrines of economics,
political, and social science as taught in endowed schools on the one
hand and in state schools on the other.
It was unfortunately essential to the foregoing argument that the
worst motives should be assumed on the part of college benefactors.
Justice requires ample correction of this point. A conspiracy to
influence the social doctrines of our colleges, as we have seen, is
neither so inexpensive, so direct, nor so likely to succeed as to
commend itself to business men looking for immediate results. No
doubt there have been men of wealth who by large and well
advertised benefactions to colleges and universities have sought not
to influence college teaching but to rehabilitate themselves and their
business methods in popular esteem. Conspicuous giving with this
penitential purpose in view is not likely to prove very effective,
however. The sharp insight as to motives and the half humourous
cynicism peculiar to American character are sufficient safeguards
against the purchase of undeserved sympathy by rich offenders. In
spite of the enormous sums given in the United States not only to the
higher educational institutions but also for many other educational
and philanthropic purposes, it seems extremely doubtful that public
opinion has been affected thereby favourably to plutocratic interests.
Few of the great mass are directly touched and consciously
benefited by such gifts, but all are able to see (and if not they are
helped by radicals to see), the superfluity out of which the donations
were made. Benefactors, prospective and actual, must face the
certainty of much criticism and misinterpretation. So far as this
criticism is unjust it is to be regretted; so far as it is just it contributes
materially to social welfare. Investments in business are judged as to
their wisdom by the ready tests of profits and permanence;
investments in social work are not subject to tests so accurate and
so easily applied. To some extent their place is taken by the advice
and criticism of workers in the field. Still there is large possibility that
gifts for social work may be applied in useless or even in harmful
ways. A wise conception of the function of the philanthropist must
therefore include a realisation of the value of criticism by specialists,
and also a determination either to ignore misinterpretation and unjust
criticism, or to await its reversal by a better informed, if somewhat
belated public opinion.
Besides the possible but not always probable motives for making
large gifts referred to above every other conceivable influence has
affected educational benefactions. George Ade’s breezy Chicago
magnate who slaps the college president on the back and says:
“Have a laboratory on me, old fellow,” is slangy, to be sure, but not
altogether fabulous. It is a very common misconception that financial
assistance is the only thing needful in higher educational work.
President Schurman of Cornell University expressed the views of
many of his colleagues among the great university executives of the
country when he lamented that “rich men who give their money to
educational institutions cannot be induced to give also their time and
energy to the management of them.”[49] So neglectful an attitude on
their part, by the way, is hardly consistent with the theory that they
are engaged in a conspiracy to pollute the wells of knowledge. When
we consider the immense number of contributors, large and small, to
the cause of higher education it is impossible to escape the
conviction that behind many of their generous acts lay real sacrifice,
an adequate conception of the great function of university teaching,
and the purest and most humanitarian motives. Often, too, there has
been full realisation that “the gift without the giver is bare,” and
patient, unstinted, intelligent service has accompanied money
benefactions. In the same fine spirit nearly all our colleges and
universities have accepted and employed the resources so
generously placed at their disposal.
While due weight should be given to the honourable influences
ordinarily accompanying benefactions, candour also compels the
frank discussion of those cases where constraint of professorial
opinion has been attempted. There have been a few flagrant
instances of the dismissal of teachers on account of utterances
displeasing to men who have been drawn upon heavily for financial
support. One can readily understand the feeling of the latter that,
considering their large gifts, they have been most ungratefully and
unjustly abused, and also the action which they accordingly instigate,
although it is as silly in most cases as the Queen of Hearts’
peremptory command:—“Off with his head!” Men in other walks of
life frequently behave in the same way. There is, for example, the
very commonplace case of the church member who, disgruntled
because of pulpit references—no matter how impersonal—to his pet
sin, cuts down his contribution and seeks to drive the minister from
his charge. The consequences of the dismissal of a professor
because of conflict between his teachings and the outside interests
of college benefactors are so widespread and dangerous, however,
that they cannot be passed over lightly simply because occurrences
of this sort are relatively infrequent in the academic world.
In the first instance, of course, the teacher himself may seem the
chief sufferer from such controversies. Few of the clear cases of this
sort, uncomplicated by any personal defect on the part of the man
who is dismissed, have resulted, however, in the destruction of a
promising career. On the contrary, positions have been opened up in
other more liberal and often more important institutions to the
teachers who have been persecuted for truth’s sake. Indeed there is
some danger that the halo of false martyrdom, with its possible
accompanying rewards, may mislead the younger and less judicious
holders of professorships to indulge in forms of blatherskiting quite
inconsistent with their office. In the great majority of cases, however,
the effect of such individual assaults upon the tenure of academic
position is to threaten the independence of every department in the
same or related subjects the country over. Here we have the most
serious evil resulting from such unfortunate occurrences. It is
certainly great enough to justify the intervention of the national
scientific association to which the professor belongs at least to the
extent of the most searching and impartial investigation of all the
circumstances involved in his dismissal, and their subsequent
publication as widely as possible whether or not they justify the
professor concerned. A powerful and most welcome auxiliary to the
restraining influence which such investigations are bound to exercise
is likely to be supplied by the Carnegie Foundation if one may judge
from tendencies exhibited by its most recent report.[50] Thus in the
last analysis the evil consequences of attempts to interfere with
liberty of teaching are likely to fall most severely upon the institution
which is so weak as to permit such manipulation. It risks exposure
and loss of prestige, it loses men of worth and suffers in its capacity
to attract others to take their places. All things considered there is
every indication that the few institutions which have offended in this
way have learned well their lesson, and are quite in the penitent
frame of mind of the pious Helen:—

“... dies will ich nun

Auch ganz gewiss nicht wieder thun.”

Amid the manifold influences that environ university teaching it is

impossible for any one writer to set down all the guiding professional
ideals. That they are easily corruptible and frequently corrupted is,
as we have seen, absurd. Of both the press and higher education it
may be said that they are in the grip of forces greater than
themselves, of forces mighty to restrain any tendency to be unfaithful
to their own better ideals. The rapidly growing attendance and
influence of universities and colleges would appear to constitute a
vote of confidence on the part of the public which may be interpreted
as a general denial of the charges made against them. In the great
majority of institutions the writer believes that the teaching of the
social sciences is dominated by the ideals of scientific honesty,
thoroughness, and impartiality. No instructor is worthy of university or
college position who deliberately seeks to make converts to any
party or cause, however free his motives may be from the taint of
personal advantage. Rather is it his duty to present systematically all
moot questions in all their aspects. Like the judge summing up a
case he should attempt further to supply a basis for the critical
weighing of testimony by the class,—his jury. He is by no means to
be inhibited from expressing an opinion, indeed he should be
strongly encouraged to express it, stating it however as opinion
together with the reasons that have led him to form it. But active
proselyting should be rigorously barred. It is certainly no part of the
duties of a professor of political science, for example, to attempt to
make voters for either the Democratic or Republican ticket in a given
campaign. If he attempts to do so he will certainly and deservedly
fail, and in addition cripple his own influence and that of the
institution which he represents. The higher duty is his of presenting
all the evidence and the opinions on the points at issue and of
exhibiting in his procedure the methods which will enable his
students to investigate and decide for themselves not merely the
political questions of the day but also the political questions they will
have to meet unaided throughout their later active lives. Not voters
for one campaign or recruits for one cause, but intelligent citizenship
for all time and every issue,—such as is the ideal which the teacher
should pursue.
Naturally this attitude does not please everybody. All sorts of
interests, not only corrupting but reforming in character, are
constantly endeavouring to secure academic approval in order to
exploit it in their own propaganda. When this is denied, recourse to
the charge of corruption by an adverse interest lies very close to a
hand already habituated to mudslinging. Although the prevailing
opinions of college teachers on labour legislation, to cite a specific
example, are certainly not those of the manufacturer’s office, just as
certainly they are broader and more progressive than the opinions of
the man in the street. Of course radical labour leaders will take up
still more advanced positions. In the partisanship natural to men in
their situation they may even regard academic suggestions for the
solution of the question as mere palliatives. It is difficult for them to
appreciate the motives or the value to the cause of labour of the
tempered advocacy of disinterested persons who are able to appeal
to the great neutral public which in the end must pass on all labour
reforms and all labour legislation. And the socialists are accustomed
to go much farther than labour leaders, insinuating that capitalistic
influence lurks behind every university chair in economics. Mr. W. J.
Ghent puts their view of the situation as follows:
“Teachers, economists, in their search for truth, too often find it only
within the narrow limits which are prescribed by endowments.”
“The economic, and, consequently, the moral, pressure exerted
upon this class [i.e., “social servants,” including college teachers] by
the dominant class is constant and severe; and the tendency of all
moral weaklings within it is to conform to what is expected from
above.”
“Educators and writers have a normal function of social service.
Many of these, however, are retainers of a degraded type, whose
greatest activity lies in serving as reflexes of trading-class sentiment
and disseminators of trading-class views of life.”
“Rightly, it may be said that it is to his [the minister, writer, or
teacher’s] economic interest to preach and teach the special ethics of
the traders; that the good jobs go to those who are most eloquent,
insistent, and thoroughgoing in expounding such ethics, while the poor
jobs or no jobs at all go to those who are most backward or slow-
witted in such exposition.”
“It may even be said that the net result of many of their [i.e., trading-
class] benefactions is nothing less than the prostitution of the
recipients—in particular of writers, preachers, and educators.”[51]
By way of contrast with this thoroughgoing arraignment, the
opinion of Mr. Paul Elmer More may be quoted:
“Of all the substitutes for the classical discipline there is none more
popular and, when applied to immature minds, more pernicious than
 economics. To a very considerable degree the present peril of
socialism and other eccentricities of political creed is due to the fact
that so many young men are crammed with economical theory
(whether orthodox or not) when their minds have not been weighted
with the study of human nature in its larger aspects. From this lack of
balance they fall an easy prey to the fallacy that history is wholly
determined by economical conditions, or to the sophism of Rousseau
that the evil in society is essentially the result of property. The very
thoroughness of this training in economics is thus a danger.”[52]
The positions both of Mr. Ghent and of Mr. More are extreme. As
for the special ethics of the trading class, of which the former makes
so much, it is doubtful if anything exists more foreign to current
academic ideals. So marked is this aversion that it is distinctly
difficult for the ordinary professor to estimate correctly the real value
to the community of the service of the business man. That equal
difficulty exists on the other side is apparent from the openly
expressed conviction of many business men that the college teacher
is a thoroughly unpractical sort of person. The latter attitude, by the
way, is a most remarkable one for a client to assume toward his
social apologist,—taking Mr. Ghent’s view of the situation. A prisoner
at the bar who should rail at the abilities of his counsel is certainly
not putting himself in the way of acquittal. As for “moral weaklings,”
no profession can honestly deny the existence of some examples of
this pestiferous species in its ranks. If academic promotion
depended upon moral weakness, however, the bankruptcy of the
profession would have been announced long ago. As a matter of
fact, the system of selection and advancement employed by colleges
is admirably adapted to their requirements. In spite of the
machinations of occasional cliques, chiefly of a personal or churchly
character, it usually succeeds in placing the best prepared and most
capable men in desirable and influential positions. Certainly college
administration as a whole deserves the reputation of success which
it enjoys, a reputation, by the way, much superior to that of most of
our governmental machinery. If, for example, an equally effective
system could be employed in the selection of the administrative
heads of American city governments it is safe to say that many of
our municipal problems would find a speedy solution.
 As between Mr. Ghent and Mr. More, the latter is much nearer the
truth in his main contention. It is hardly the case, however, as Mr.
More would seem to imply, that thorough training in economics is
more likely to produce half-baked agitators than is a mere smattering
of the subject. Here as elsewhere “a little knowledge is a dangerous
thing,” and the students who afterwards run amuck in radicalism are
drawn to a very slight extent from the ranks of those who acquire a
really thorough knowledge of economics or the other social sciences.
Without recourse to the old classical discipline, as proposed by Mr.
More, the study of history and of the theory of evolution should
furnish an excellent corrective to the excessively a priori processes
employed in some fields of economics. Apart from these exceptions
Mr. More is clearly right in maintaining that the net result of college
instruction in this subject is radical rather than reactionary. However,
the impress finally given to the overwhelming majority of college
students is not that of radicalism but rather that of willingness to work
patiently, constructively, and progressively for social betterment. In
either event the sweeping assertion that college teachers are the
hirelings of capitalistic conspirators finds little ground for support.

One who attempts a survey of the whole field of corruption is apt

to be impressed at first with its hopeless complexity and
heterogeneity. There are many petty forms of evil, the shady moral
character of which is as yet hardly perceived. The spirit thus
revealed is, however, identical with that which expresses itself in the
major forms of corruption which are so obvious and threatening that
they have become subject to public criticism. It cannot be denied that
some abuses of a grave character make their appearance in the
learned professions, journalism, and higher education. In all such
cases, however, vigorous reform work is in progress. A very
gratifying feature of the situation is that the most effective and
sincere efforts for improvement are being made from the inside. Our
“men of light and leading” are sound at heart. It is not necessary to
prove to them, as unfortunately it sometimes is to those in other
walks of life, that corruption does not pay. Rehabilitated by some of
its more recent forms journalism exercises an alert and resourceful
influence upon the opinion of the day. More hopeful still is the fact
that our institutions of higher learning are moulding both the men and
the measures of to-morrow into nobler forms.

FOOTNOTES:
[40] Corruption in the professions might also be dealt with as a
subdivision of economic corruption. All professional services, it
could be argued, must be remunerated, and the abuses which
have grown up in connection with them are the outgrowth of a
commercial spirit antagonistic to professional ideals. While this is
doubtless true, the persistence of the older ideals and the efforts
to rehabilitate and extend them are facts of sufficient importance,
in the opinion of the writer, to justify the separate treatment of
corruption in the professions. Even if this distinction did not exist
convenience would make a division of the fields for the purpose of
discussion highly desirable.
[41] Cf. G. W. Alger’s “Generosity and Corruption,” Atlantic, vol.
xcv (1905), p. 781.
[42] Even if it be sneered at in certain quarters as a mere
counsel of perfection, the following statement of the principles
underlying “the lawyer’s duty in its last analysis” is of great
significance:—“No client, corporate or individual, however
powerful, nor any cause, civil or political, however important, is
entitled to receive, nor should any lawyer render, any service or
advice involving disloyalty to the law whose ministers we are, or
disrespect of the judicial office, which we are bound to uphold, or
corruption of any person or persons exercising a public office or
private trust, or deception or betrayal of the public. When
rendering any such improper service or advice, the lawyer invites
and merits stern and just condemnation. Correspondingly, he
advances the honour of his profession and the best interests of
his client when he renders service or gives advice tending to
impress upon the client and his undertaking exact compliance
with the strictest principles of moral law.” The “Canons of
Professional Ethics,” adopted by the American Bar Association at
its thirty-first annual meeting at Seattle, August 27, 1908, are
conceived in the spirit of the foregoing, taken from Canon 32.
Canons 2, 3, 6, 26, 29, and 31 also declare specifically and
unqualifiedly against various forms of corruption.
[43] Quoted in Lester F. Ward’s “Pure Sociology,” p. 487.
Professor Ward himself says: “The newspaper is simply an organ
of deception. Every prominent newspaper is the defender of some
interest and everything it says is directly or indirectly (and most
effective when indirect) in support of that interest. There is no
such thing at the present time as a newspaper that defends a
principle.”
[44] Cf. “Is an Honest Newspaper Possible,” by “A New York
Editor,” in the Atlantic, vol. cii (1908), p. 441.
[45] “Orations and Addresses,” vol. i, p. 303.
[46] “Journalism, Politics, and the University,” North American
Review, vol. clxxxvii (1908), p. 598.
[47] It is perhaps worth noting that the debatable subjects of to-
day are not those of a generation or so ago. Geology and biology
were then the dangerous chairs, the occupants of which
frequently found themselves in conflict with straight-laced
followers of various religious sects. Occasionally professors of
philosophy and ethics became involved in similar controversies.
At the present time conflicts of this character are much less
frequent and are confined for the most part to theological
seminaries and those smaller colleges which are still dominated
by narrow denominational influences. Nearly all our leading
universities have so far emancipated themselves from sectarian
control that controversies with their professors on this basis are
virtually impossible. In such institutions the chairs which present
difficulties nowadays are those in economics, political science,
and sociology, although, as we shall see, these difficulties are
greatly exaggerated in popular estimation. It is hardly necessary
to add that (with the exception in some small measure of
sociology) the area of friction in these subjects is not at all in their
contact with religious, but almost exclusively in their contact with
business and political activities outside university walls.
[48] “Leviathan,” pt. ii, ch. xxx.
[49] Cf. his annual report for 1904-05, pp. 19-20, for a brief but
very interesting reference to the “tainted money” charge.
 [50] “The Carnegie Foundation for the Advancement of
Teaching, Third Annual Report,” 1908, pp. 82-91.
[51] “Mass and Class,” pp. 14, 82, 83, 105, 243.
[52] Bookman, p. 652, August, 1906.
CORRUPTION IN BUSINESS AND POLITICS
 V
CORRUPTION IN BUSINESS AND POLITICS

No form of corruption can exist without reacting upon the life of the
state. Pollution of the sources of public instruction defiles individuals
and all the manifold non-sovereign social organisations, but it
culminates in an infection of public opinion which directly
contaminates the body politic. Even more immediately corrupt
business practices lead to corrupt political practices. This is so
conspicuously the case that separate discussion of the two subjects
is virtually impossible. It is feasible, however, and should prove
profitable, to distinguish the various subdivisions of economic and
political corruption and to point out certain lines of the development
which have bound the two so closely together in our modern life.
Pre-eminent among the forms of business corruption are the
vicious practices which have grown up in the general relation of
buyer and seller. Purveyors of adulterated, infected, or diseased
consumption goods, such as food stuffs, and particularly meat and
milk; dealers in sweatshop clothing; vendors of patent medicines;
owners and builders of unsanitary tenement houses, of unsafe
theatres, and excursion steamers; managers of railroad and trolley
companies who neglect to install devices to protect their passengers
may serve as illustrations. A further branch of this form of corruption,
the importance of which would perhaps justify separate
classification, occurs in connection with the dealers in vice,—the dive
keepers, policy kings, gamblers, and procurers. The relation of
master and servant furnishes a second subdivision of the primarily
economic forms of corruption. Transportation companies, mine
owners, manufacturers, and others who neglect the installation of
safety devices to protect labourers; the employers of child labour; the
labour leaders who extort blackmail by threatening strikes are cases
in point. Still another subdivision of economic corruption centres
about the fiduciary business relations such as occur particularly in
connection with savings banks, trust companies, corporate
directorships in general, and with the work of the promoter.
Underlying nearly all these kinds of economic corruption, and
emerging in the corruption of public instruction and political
corruption as well, is competition,—itself a force or
method rather than a form. Some species of corruption belonging
logically under one or another of the preceding heads exhibit the
effects of competition more plainly than others. Thus many practices
common to those periods of forced competition which so frequently
precede the formation of trusts have come to be looked upon as
essentially corrupt and deserving of legal restraint. Corruption does
not disappear when competition is practically eliminated, however.
Some of the most difficult problems involved in dealing with it
notoriously result from the existence of monopolies which have
outstripped if they have not exterminated their rivals.
To attempt the adequate discussion of all the forms of economic
corruption would require extended treatises on the labour problem,
the trust problem, banking, transportation, insurance, and many
other special subjects. The limitations of the present study exclude
anything beyond a few general observations. It may first be noted
that many of the abuses which are now undergoing the process of
sanitation were the result not so much of corrupt intention as of
ignorance and the relatively unlimited character of the competitive
struggle to which reference has already been made. They emerged
long before the era of consolidation, and are therefore not to be
attributed solely to big business. For many years prior to the Chicago
slaughter house exposures of 1906, for example, unclean meat was
sold both by large packers and by country butchers. Small producers
were and are largely responsible for impure milk and sweatshop
clothing. Petty landlords as well as extensive holders of real estate
have built unsanitary tenement houses and overcrowded them with
renters. The neglect of transportation companies to install safety
devices for the protection of passengers and employees has in the
very nature of the case been a corporation offence. On the other
hand small as well as large mining operators have sinned in this
way, and small as well as large manufacturers have exploited child
labour. Betrayal of fiduciary relationships has naturally occurred most
frequently and most disastrously in enterprises of large capital,
although by no means confined exclusively to them. Indeed there
would seem to be reason for believing that in certain ways
consolidation has aided in bringing about the correction of some of
these evils. It centres them in a few large establishments, often in a
single district of no great size, where by their very magnitude abuses
force themselves upon a sluggish public attention. Consolidation
also makes it appear that the interests of a few selfish owners are
being pursued at the cost of the general welfare. This at once enlists
popular support for attacks upon abuses, and is a factor well worth
comparison with the defensive strength of massed capital. For these
reasons the cleaning up of the meat industry probably proceeded far
more rapidly after the Chicago exposures than would have been the
case if the effort had been made some years earlier during the
period of many scattered local abattoirs.
So many factors co-operated in bringing about the business evils
under consideration that the quality of corruption cannot always be
ascribed to them directly. Under a policy of laisser faire, of unlimited
competition, of public indifference and apathy, it is not easy to fix
moral responsibility. Even the twentieth mean man at any given time
may be only a little meaner than several of his nineteen competitors.
His offences are dictated by self-interest, of course, but they are
offences against a vague set of business customs or moral
principles. Public interest suffers, it is true, but the public is apathetic;
it has not laid down definite norms of business conduct. On the part
of the offender there is often lacking that conscious and purposeful
subordination of public to private interest which constitutes full
fledged corruption. Whatever degree of extenuation is afforded by
these considerations vanishes, however, when definite regulation is
undertaken by the state. Now that we are fairly launched upon an
era of legislative and administrative control, business offences of the
kind under consideration are frankly corrupt. Public apathy has
vanished, the interest of the public has been sharply defined, and he
who in contravention of these norms places his private gain above
the general welfare does so with full intent, and cannot evade or shift
the accusation of corruption.
 A further consequence of the effort to regulate business practice
by law is not only intrinsically important but also serves as the great
connecting link between primarily economic and political corruption
proper. As soon as regulation is undertaken by the state a motive is
supplied to the still unterrified twentieth mean man to break the law
or to bribe its executors. In either case, by the way, the profits are
directly conditioned by the thoroughness with which his competitors
are restrained from following his own malpractices. The scales
employed by tariff officials may be tampered with in the interests of
large importers whose profits are thereby enormously increased. Or
inspectors may be bribed to pass infected carcasses, to approve
impure milk, to permit get-rich-quick concerns to use the mails, to
wink at lead weighted life preservers, to ignore the fact that the exits
of a theatre are entirely inadequate. With cases where state
regulation supplied the motive for the direct commission of fraud we
are not directly concerned here, but in all the cases where the
collusion of inspectors is involved we have to note that government
regulation of business has made easy the transmutation of what
before was merely corrupt and morally offensive into direct bribery.
And from the point of view of a venal official or political machine the
extension of state control means the widening of the opportunities for
levying tribute. Thus a form of corruption which began among, and
for a time was limited to, business relations becomes under
regulation a menace to political integrity. In other words, it takes on
the form of political corruption as well, and must, therefore, become
the subject of discussion in that connection.
However disheartening in other ways, a consideration of the forms
of business corruption yields the comforting reflection that all the
major forms of evil in this field are clearly recognised and severely
criticised. One must guard oneself against too cheerful optimism in
the premises, however. Reform forces armed cap-a-pie do not spring
like unheralded knight errants of old into every breach at which
social integrity is being assailed. Instead they can be developed only
by persistent individual and associated effort and sacrifice. Moreover
the problem of corruption, as we have seen, is a persistent one, the
forms of which are ever changing and ever requiring new ingenuity
and resourcefulness in the methods of social sanitation. Back of
reform effort, also, there remains much that the individual can affect
simply by clearer habits of moral reflection and action even in the
small affairs of life. Public sentiment is built of such individual
fragments. Low opinion, low action in everyday affairs become a part
of the psychological atmosphere befogged by which the outlines
even of the larger evils of the present régime grow indistinct.
Professor Ross has performed a valuable service by exposing the
fallacy that “sinners should be chastised only by their betters.”[53]
Social life, indeed, would be inconceivable if the judgment of
disinterested parties were not superior to that of parties in interest.
This is true even if the former are themselves far from moral
perfection. But it is further true that the judgment of the disinterested
will be more worthy and helpful if in the conduct of their own affairs
the disinterested have habituated themselves to scrupulous honesty
of thought and action. Till this is more generally the case social
ostracism, public contempt, and loathing of the corruptionist,
regardless of his looted wealth, will not prove such effective
measures of restraint as one might hope. “The simplest reform,” said
Mr. James B. Dill, “the hardest, but it must be the first, is to make up
our minds not to do those things which the other man may be doing,
but which we know to be wrong.”[54] Of course the universal
acceptance of such higher individual standards would solve not only
the problems of corruption but all our other social and moral
difficulties. We may not hope for the early arrival of the millennium in
this way, but neither may we hope for any large movement toward
better conditions without improvement of personal character. Under
our present circumstances much may be accomplished by
institutional reform, by legislation and the application of the power of
the state, although none of these is possible without the application
of the good will, the clearer intelligence and honesty of individuals. If
not the first or only reform, then, still it is clear that no movement
against corruption is complete which does not demand frank
recognition by the individual that he must deliberately choose to get
along less rapidly at times when the cost of advancement is personal
dishonour.
 Corrupt practices may begin in, and at first be limited to, the
business world, but, as we have just seen, they are likely to overstep
economic boundaries and become a menace to the integrity of the
state. As such they must also be recognised and discussed as
derivative forms of political corruption. But in addition to evils of this
kind which originate, as it were, in other fields, various subdivisions
of the forms of corruption which immediately involve government
may be marked out tentatively for subsequent illustration and
discussion.
To gain means for its support the state is obliged to impose taxes
and other burdens upon its citizens. The self-interest of the latter
leads them into many evasive practices of a more or less corrupt
character. The state is also a great buyer of materials and services
of all sorts, and hence subject to fraud in innumerable forms. It is
further a great seller and provider of various services, and is equally
exposed to danger in this capacity. Efforts by the state to regulate or
suppress vice and crime necessarily lead to attempts on the part of
the vicious and criminal to protect themselves by corrupt means.
Without outside collusion public officials may endeavour to exploit in
their private interest the powers which were conferred upon them
solely for the public benefit, and the result is auto-corruption, as
defined in an earlier study.[55] Preyed upon by corruption the state
also at times instigates corruption in the pursuit of its own ends,
particularly where international rivalries are concerned.[56] Finally the
control of government by political parties may lead to the purchase
or stealing of elections and the perversion of the functions of all the
organs of government in the interests of the machine. The
fundamental importance of the practices which fall under the last
head is apparent. Upon them ultimately depends the ability to
maintain and profit by all the other forms of political corruption.

Regulation of business by the state is an established fact, the

causes and origin of which need no further discussion in this place.
Once established it is subject to attack and evasion along various