Remote Sens. 2013, 5, 1-x manuscripts; doi:10.

3390/rs50x000x
OPEN ACCESS

remote sensing
ISSN 2072-4292
www.mdpi.com/journal/remotesensing

Article

The investigation of the Ardales Cave, Spain – 3D

documentation, topographic analyses, and lighting
simulations based on terrestrial laser scanning
Dirk Hoffmeister 1,*, Stefan Zellmann 2, Andreas Pastoors 3, Martin Kehl 1, Pedro
Cantalejo 4, José Ramos 5, Gerd-Christian Weniger 3, and Georg Bareth 1
1
Institute of Geography, University of Cologne, Albertus-Magnus-Platz, 50923 Cologne,
Germany; E-Mails: martin.kehl@uni-koeln.de (M.K.); g.bareth@uni-koeln.de (G.B.)
2
Chair of Computer Science, University of Cologne, Albertus-Magnus-Platz, 50923
Cologne, Germany; E-Mail: zellmanns@uni-koeln.de (S.Z.)
3
Neanderthal Museum, Talstrasse 300, 40822 Mettmann, Germany; E-Mails:
pastoors@neanderthal.de (A.P.); weniger@neanderthal.de (G.-C. W.)
4
Museo Municipal de la Historia y las Tradiciones de Ardales, Avda. de Málaga, nº 1 -
29550 Ardales (Málaga), Spain; E-Mail: pedrocantalejo@cuevadeardales.com (P.C.)
5
Universidad de Cádiz, Facultad de Filosofía y Letras, Departamento de Historia, Geografía
y Filosofía, Avda. Gómez Ulla sn., 11003 Cádiz, Spain; E-Mail: jose.ramos@uca.es (J.R.)

* Corresponding author; E-Mail: dirk.hoffmeister@uni-koeln.de;

Tel.: +49-221-470-6620; Fax: +49-221-470-8838.

Received: / Accepted: / Published:

Abstract: This contribution shows the feasibility of terrestrial laser scanning for
the documentation and the analyses of the Ardales Cave, southern Spain, which is
in many respects an important geoarchaeological site. For the survey of the cave,
a combination of a terrestrial laser scanner with a RTK-GPS and further
tachymetric measurements were used. The achieved 3D model of the cave and the
surrounding hill documents the current state and dimensions of the cave.
Additional geoarchaeological data was successfully integrated in a 3D GIS
database and high-resolution records of a structured-light scanner were combined
with the 3D model of the cave. The 3D model is further used for the estimation of
Remote Sens. 2013, 5 2

the ceiling thickness that reveals areas for additional entrances. Lighting
simulations based on path tracing were conducted for the determination of areas
that are reached by natural direct or indirect light. Overall, the method is feasible
for the documentation of caves and integrated geoarchaeological investigations. In
this case, the weight and size of the instrument was a limitation to achieve a
complete model of the cave.

Keywords: terrestrial laser scanning; caves; geoarchaeology; lighting simulation;

3D GIS

1. Introduction

Surveying of caves by terrestrial laser scanning (TLS) is a reliable approach to derive an

accurate 3D model of such sites, which can be used for further analysis and documentation
purposes [1, 2]. More generally, TLS is an important tool for the investigation of a
geoarchaeologic site and the documentation of cultural heritage [3]. TLS is based on Light
Detection and Ranging (LIDAR) and provides highly accurate and dense 3D point clouds of
objects [4]. The method is applicable on different scales, areas, and accuracies. The
technology can be used on airborne platforms, known as Airborne Laser Scanning (ALS), on
mobile platforms, known as Mobile Laser Scanning (MLS), as well as on terrestrial platforms,
known as Terrestrial Laser Scanning (TLS). Various application areas, like topographic
surveys, forestry, and as-built documentation exist [5]. For example, ALS is able to detect and
document archaeological sites in forests and shallow waters [6-8].
Caves contain vulnerable remains, for example footprints and cave art, left by prehistoric
and historic humans and thereby represent valuable archives of archaeological and
anthropological research. Given their complex topography, caves are recently documented by
laser scanning, which shows a promising applicability within the mostly harsh environmental
conditions for geodetic measurements. For instance, the complete and accurate model of the
complex Dachstein south-face Cave, Austria acquired by TLS with several parts only
reachable by climbing is highly valuable for karst hydraulic modelling and visualization
purposes [9]. The active, fast, and automatic surveying is the key advantage of TLS for the
documentation of the Wonderwerk Cave, South Africa in contrast to conventional surveying
and photogrammetry [1]. Surveying by a theodolite is used in this case for the determination
of targets inside the cave and for an outside topographic survey. Further research is conducted
in combining close range photogrammetry and TLS for the documentation of rock art in
caves [2, 10-14].
More generally, most of the available remote sensing methods are employed for the
accurate documentation and description of geoarchaeological sites and cultural heritage [3]. A
combined approach is most often the best solution. For example, the combination of TLS and
UAV-photogrammetry was used for a survey of Pichango Alto, Peru [15]. All data is
combinable in 3D GIS environments for the exploration, analysis, reconstruction, and
Remote Sens. 2013, 5 3

representation of the acquired data [16-18]. However, several problems are to be solved,
which are for example the storage, exchange, quality control, and metadata description of 3D
models, as well as specific problems with each surveying method [3].
In this contribution a TLS survey of the Ardales Cave, Spain was conducted within the
framework of an archaeological research project, which aims to reconstruct the original
topographic situation during different prehistoric periods [19]. The TLS survey was
conducted in order to document the current state of the cave for further topographical
analyses. The data derived from this survey was used to provide a base for a 3D-cave
information system, which regards all geological and archaeological data. In addition, areas
for further entrances were estimated by a comparison of the inside and outside area and a
lightning simulation was executed on the 3D model of the cave .

2. Methods

2.1. The Cave of Ardales

The complexly structured Ardales Cave (N 36°52'22'', W 4°49'44'') is located in the south
of Spain (Figure 1). Surrounded by various other archaeological sites near the Straits of
Gibraltar, this region is of specific interest for prehistoric research. A still open question is the
human dispersal across the Straits of Gibraltar, which may have acted either as a bridge or as
a barrier [20]. In addition, Southern Iberia is discussed as the last refuge of Neanderthals,
because radiocarbon dates apparently document their prolonged survival until about 28 ka
BP [21-23]. However, these young dates are a matter of dispute [24, 25].
For the Cave of Ardales, several findings prove the repeated use by prehistoric humans,
such as 250 panels with rock art (paintings and engravings), as well as bones and artifacts
distributed on the cave floor [26, 27]. The cave can be subdivided into several halls and
galleries including the grand hall and the Galerías del Calvario and del Arquero in the lower
part of the cave. Its upper part, the Galerías Altas, served as a burial place, which is nowadays
only reachable by rock climbing [28]. At least one or several additional entrances must have
existed to safely reach those areas. Thus, besides an accurate recording, mapping, and
modelling of the cave, it was an additional task to find evidence for the hypothesis of further
entrances.
Remote Sens. 2013, 5 4

Figure 1. Location of the Ardales Cave, its outline, and all scan positions inside
and outside the cave. Two further scan positions were located on the opposite hills
to the north-west and south.

2.2 Survey of the outside and inside area of the cave

For an entire 3D model of the cave and the surrounding area, the interior of the cave and
the outside hill were intensively surveyed by TLS. For this purpose, we used the TLS LMS-
Z420i from Riegl, Austria [29] in combination with a highly accurate kinematic DGPS (RTK-
GPS) HiPer Pro from Topcon, Japan. The DGPS was applied for the accurate determination
of the outside scan positions. The relative accuracy of the RTK-GPS is approx. 1 cm in regard
to the base station and shows an absolute accuracy of 1.5 m in the horizontal and vertical
direction. The TLS device was additionally equipped with a digital camera of type Nikon
D200, which was mounted on the head of the laser scanner to take pictures. These pictures
can be used for the colourisation of the point clouds by assigning RGB-values to each point,
Remote Sens. 2013, 5 5

for direct measurements in the pictures, and for texturing final 3D models, as the orientation
between the camera and the scanner is known.
At the outside area 21 scan positions were established, which were each directly recorded
by RTK-GPS measurements (WGS 1984, UTM 30N). Additionally, reflectors on ranging
poles were easily measured by the RTK-GPS and were detected by the scanner to determine
the orientation of the point clouds. The inside area of the cave was surveyed from 19 scan
positions, most of them with additional, tilted scan positions for a full coverage.
Supplementary illumination by an external light mounted onto the camera was necessary to
achieve better pictures from the mounted camera. Further contrast enhancements became
necessary for these images. For the inner parts of the cave, the registration of the scan
positions was enabled by an indirect registration with smaller targets. A connective
registration between the outside RTK-GPS measurements and the inside local surveying
network (Trimble M3 5” total station) was established at two inside scan positions. All further
scan positions of the inside survey were connected to theses initial scan positions. An accurate
integration of all previously measured geoarchaeological data of the total station was possible
by the established transformation of both systems. This data also comprises all drilling
locations, georadar profiles, and further measurements. The transformation was calculated on
six similarly measured points.
In several sections of the cave, engravings were measured by a structured-light scanner,
type Breuckmann smartSCAN3D-DUO, for a high-resolution representation (resolution 0.1-
0.35 mm/pixel). Restrictions in the cave prevented the use of reflectors on the walls. Thus, a
point cloud to point cloud registration was used to achieve an accurate integration of these
datasets. The pictures of the TLS camera were utilised to texture these detailed models.

2.3 Post-Processing of the TLS data

The TLS data for the entire 3D model of the cave was post-processed in several steps that
are the georeferencing of all data, the removal of obstructions and noise, the modelling, and
all further data extraction. The registration of each scan position was accomplished by
georeferencing every point cloud. Thus, the outside positions were assigned with the direct
measurements of the RTK-GPS measurements and the position of one reflector for the
orientation. Similarly, the inside initial positions were assigned with the georeferenced targets
from the transformed tachymeter readings and each further inside scan position was registered
to these initial scan positions by four or more similar targets. Finally, the ICP-algorithm [30],
which is implemented in the scanner´s software as Multi-Station Adjustment (MSA) enhanced
the registration. The colourisation of each point within the point clouds was possible by
assigning the RGB-values of the pictures taken by the digital camera. For the inside position
the original pictures were manually enhanced in terms of contrast and illumination.
After removing vegetation, noise, and further obstructions from the outside scan position
data, a Digital Terrain Model (DTM) with a resolution of 20 cm was interpolated. The 3D
model of the inside area was computed by triangulation and an outer surface extraction for the
Remote Sens. 2013, 5 6

generation of a water-tight 3D model. An alternative 3D cave model of the entrance area

without the entrance building was established by manually removing all points of this
building, the entrance door, and certain walls. Similarly, for all areas within the cave further
3D models, plans, and cross sections can be derived from the initial 3D model of the cave.
The complete 3D models of the cave and the outside hill were used to derive a ground plan
of the cave and older maps of the cave were also considered. For further indications of cave
entrances, the outside model and the inside upper shape of the cave were compared by
calculation of their difference that reflects the ceiling thickness. The inside ceiling was
derived by a filter regarding only the maximum points of the cave area within a cell size of
20 cm. Thus, two raster datasets are compared.

2.4 Lighting Simulation

To gain further insight into different lighting conditions, a physically inspired lighting
simulation was conducted based on a tessellated version of the 3D model of the cave with the
reconstructed ancient entrance area. In general, lighting simulations aim at solving the
rendering equation [31]:

∫ (1)

where Lo is the intensity of the light leaving each position x in direction o, Li is the intensity
of the incident light at x from direction i, Le is the emitted light intensity in direction o and
 is a bidirectional reflectance distribution function (BRDF) that models the physical
properties of incident light from direction i that is reflected into direction o. Because all
light that is scattered to and from position x must be integrated over a unit hemisphere , the
rendering equation for the general case cannot be solved analytically. The path tracing
algorithm, which was also proposed by Kajiya [31], originates from geometric optics. It
solves the rendering equation by stochastically sampling the hemisphere over positions where
rays hit a surface by sending additional, secondary rays and accumulating light intensity along
the path. BRDFs can be used to model real-world materials to an arbitrary degree of
complexity. Anyway, surface properties like those of stone can be approximated using diffuse
BRDFs that sample each direction over the hemisphere with equal probability. For simplicity,
all light entering through the entrance was assumed to be of equal intensity. Fully converged,
the algorithm produces images that faithfully depict the radiance at each position of the cave
due to direct and indirect lighting.

3. Results

A 3D model of the Cave of Ardales and the outside hill was derived from the accurate TLS
measurements. The area of the cave shows an extent of ~115 m in a southwestern direction
and a maximum width of about 50 m. The great hall lies about 20 m below the entrance with a
ceiling height of ~20 m. Similar ceiling heights are depicted for the Galería del Arquero, the
corridor at the Galerías Altas. Accurate models of specific inner areas have been generated for
Remote Sens. 2013, 5 7

further analysis and visualization purposes. In Figure 2, the geoarchaeological section 2 is

depicted in detail with the corresponding panoramic picture of the mounted camera. This part
of the cave is filled by a debris cone, consisting of stalagmitic crusts, gravitational debris,
rockfall eboulis, and fluvial deposits, which is analysed to understand the development of the
cave fill.
Additionally, all collected data is combinable, as the transformation of both measurement
systems, the RTK-GPS and tachymetric measurements is enabled. Thus, the data, such as the
3D models, archaeological measurements, georadar profiles and drilling locations, are
available in a 3D GIS database. Furthermore, the data of the structured-light scanner was
successfully integrated into the model (Figure 3). The data, reflecting important panels of
cave art can now be visualised in the corresponding cave environment and context.

Figure 2. 3D model and panoramic picture of the mounted camera from the inside
debris cone at geoarchaeological zone 2 (red dot and rectangle).
Remote Sens. 2013, 5 8

Figure 3. Part of the 3D cave model with the accurately positioned and textured
high resolution scan of the structured-light scanner (0.1 mm/ pixel). This area
(geoarchaeological zone 7) shows important engravings on the wall of the cave. In
the center of the detail view, a depiction of a flamingo is displayed (panel
IV.C.4) [27] (p. 184).

In order to detect areas that may contain further entrances, ventilation or illumination
the model of the cave and the outside hill was analyzed. The comparison of the cave
ceiling and the outside area revealed the ceiling thickness (Figure 4), which ranges for 8 to
48 m. The entrance area, the main hall, the corridor, and the most southwestern point have
a ceiling thickness of about 8 m, whereas the central areas of the cave reveal a ceiling
thickness of up to 48 m. Several further areas of the cave are not covered, as these areas
were not reachable with the specific TLS device. These areas are digitized from older maps
of the cave.
Remote Sens. 2013, 5 9

Figure 4. Map of the Ardales Cave. The ceiling thickness was determined by
comparing the inner and outer 3D model. Paths and outlines of the entrance
building were derived from the point cloud.

For the reconstruction of the prehistoric environment and the perception of cave art, natural
lighting and artificial illumination are key issues. The entrance to the cave, which is nowadays
protected by an entrance building, was virtually reconstructed by removing this man-made
object. Thus, for the ensuing analysis the original entrance area has been taken into
consideration. Line-of-sight relations between the entrance area and the grand hall were
revealed. A narrow direct line of sight exists from the entrance area to the ground floor of the
grand hall, but the lighting simulation (Figure 5) revealed that no direct sunlight could
possibly reach the grand hall. For that, the position and orientation of the virtual camera were
manually selected to determine the innermost viewpoints, where either directly or indirectly
scattered sunlight is visible.
Remote Sens. 2013, 5 10

Figure 5. Lighting analysis results by ray tracing (yellow marks indirect light). (a)
View of the cave nearby the entrance, where the sky is still visible (red) and the
according simulation result of the area (b). Similarly, the view from the floor of
the grand hall in the direction of the entrance and the according simulation result
is shown (c+d).

4. Discussion and Conclusion

Overall, the measurements of the Ardales Cave showed that the TLS method is an accurate
and reliable tool to support geoarchaeological surveys of caves [1, 9]. The solid laser scanner
and the other required equipment was reliably usable in the cave sites, which was also noticed
by Buchroithner and Gaisecker [9] for the same type of scanner. No power supply line was
necessary.
An accurate georeference was established by using the RTK-GPS solution in combination
with the reflectors on ranging poles for the outside areas. The absolute accuracy of ~1.5 m can
be further enhanced by Precise Point Positioning (PPP), the integration of local RTK-
correction services, or the translation into national surveying networks by transformation [32].
The connection to the local archaeological surveying network was enabled by transformation
of similar points. This connection was additionally used for the indirect registration by tie
points in the caves. Several small reflectors were accurately measured by the total station in
the local system, which has been transformed later into the global system and were then used
for the registration. This approach is also described by Rüther et al. [1]. Overall, detailed
Remote Sens. 2013, 5 11

topographic maps, plans, and cross-sectional profiles of the archaeological sites were
successfully established.
Although a large number of scan positions at the site were established, a full coverage
could not be achieved. The Galerías Altas and several other parts of the Ardales Cave could
unfortunately not be reached with this equipment. The main reasons were safety issues
regarding the survey team, the size and weight of the instruments and the minimum range of
2 m around the TLS that is omitted during scanning. For such areas, smaller and faster
scanners applying the CW-method would be more feasible [33]. A further survey with a
smaller TLS may reveal additional areas with a similar or lower ceiling thickness. However,
the presented distribution of the ceiling thickness of the Ardales Cave, derived by the
comparison of the inner and outer TLS measurements is a valuable result for further
geoarchaeological prospection. As the Galerías Altas cover an area on the top level of the
Galería del Arquero similar small or smaller ceiling heights are expected and denoted in
previous plans [28]. Rüther et al. [1] present a similar approach, combining inside TLS and
tachymetric measurements with outside tachymetric contour measurements.
For detailed studies on small structures, the combination with photogrammetric methods
was available by using the additionally recorded pictures, thereby allowing a more detailed
reconstruction for several areas. Photogrammetric approaches [34] or a combination with
triangulation-based scanners and structured-light scanners for a more detailed reconstruction
of specific objects is generally an option [3]. A successful combination was also shown here
by the integration of the data from the structured-light scanner. Accurate texture mapping is
still a problem. Research algorithms show faster and more promising results than the
incorporated solutions [35, 36].
In general, the combination of tachymetric networks and 3D models derived by TLS
measurements is a promising opportunity for further analysis of 3D distributions of
archaeological findings and all other geoscientific measurements in the joint 3D-GIS, as
similarly conducted by Katsianis et al. [16]. This combination allows the representation of all
integrated information, an enhanced, interactive visualization of the whole environment in
Virtual Reality (VR) [17, 18], and the fusion of the 3D surfaces and further measurements,
such as punctual stratigraphic information or georadar transects [37]. In this case, the 3D
representation of the distribution of geoscientific and archeological findings might help to
understand the complex geological and archaeological morphology.
Physically based lighting simulation is a promising method to understand ancient light
conditions (natural lighting as well as artificial illumination). In this case, it revealed, which
areas are directly exposed by sunlight and areas that are only within reach of indirectly
scattered light. Furthermore, lighting simulations extended on artificial illumination opens the
possibility to analyze the role of the perception and the visibility of cave art [38]. A more
accurate simulation of the sunlight at specific spots will be considered in the future [39],
whereas for this contribution, sunlight was approximated using an ambient light source with
equal intensity from all incident directions.
Overall, TLS is an appropriate tool for surveying and documenting archaeological sites and
of caves in particular. The method supports associated geoarchaeological research and it is a
Remote Sens. 2013, 5 12

requirement for simulations and modeling. However, some constraints, like the minimum
range, the measurement time and the size of the TLS need to be considered. In combination
with other remote sensing methods and the accurate integration of the further derived data,
TLS can offer a crucial contribution to the documentation and analysis of such sites [3].

Acknowledgments

We gratefully acknowledge financial support from the CRC 806 “Our way to
Europe - Culture-Environment Interaction and Human Mobility in the Late Quaternary“,
funded by the Deutsche Forschungsgemeinschaft (DFG). We also like to thank Topcon
GmbH (Germany) and RIEGL Laser Measurement Systems GmbH (Austria) for continuous
support. Juliane Bendig, Nora Tilly, and Jonas Brands supported the survey with great
enthusiasm.

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