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**Gridding with continuous curvature splines in tension
**

W. H. F. Smith* and P. Wessel:t:

ABSTRACT

A gridding method commonly called minimum cur-

vature is widely used in the earth sciences. The

method interpolates the data to be gridded with a

surface having continuous second derivatives and min-

imal total squared curvature. The minimum-curvature

surface has an analogy in elastic plate flexure and

approximates the shape adopted by a thin plate flexed

to pass through the data points. Minimum-curvature

surfaces may have large oscillations and extraneous

inflection points which make them unsuitable for grid-

ding in many of the applications where they are

commonly used. These extraneous inflection points

can be eliminated by adding tension to the elastic-plate

flexure equation. It is straightforward to generalize

minimum-curvature gridding algorithms to include a

tension parameter; the same system of equations must

be solved in either case and only the relative weights

of the coefficients change. Therefore, solutions under

tension require no more computational effort than

minimum-curvature solutions, and any algorithm

which can solve the minimum-curvature equations can

solve the more general system. We give common

geologic examples where minimum-curvature gridding

produces erroneous results but gridding with tension

yields a good solution. We also outline how to improve

the convergence of an iterative method of solution for

the gridding equations.

INTRODUCTION

A wide variety of numerical procedures in the earth

sciences require data on a regularly spaced lattice, including

Fourier analysis and many map-drawing algorithms. In con-

trast, most geologic data are acquired at individual observa-

tion points or along traverses. It is therefore necessary to

construct estimates of the value of a function on a grid, given

observations of the value of the function at arbitrary loca-

tions in the x, y plane. This operation is called gridding.

There are three areas of concern in evaluating a gridding

algorithm. The relative importance of each depends on the

intended application. The first concern involves the global

properties of the solution. Some procedures construct an

interpolant of a priori known functional form. The second

concern involves honoring data constraints; e.g. deciding

whether the data are fit exactly or approximately. The third

concern involves the method of interpolation or extrapola-

tion in poorly constrained regions. It is in this last area that

gridding algorithms differ most and where global properties

strongly affect the solution.

In general, all gridding algorithms share these underlying

assumptions: (a) the function to be gridded is single-valued

at any point; (b) the function is continuous within the region

to be gridded; and (c) the function is positively autocorre-

lated over some length scale at least as large as the typical

spacing between observation points (Harbaugh et al., 1977;

Davis, 1986). Nearly all methods estimate values at grid

nodes from weighted averages of nearby data points, a

procedure justified by assumption (c) in particular. Although

rarely pointed out, some methods also require that the

control data not contain information at wavelengths shorter

than twice the grid spacing in order that spatial aliasing will

not occur. Later in this paper we discuss prefiltering the data

to avoid this problem.

Weighted-average schemes differ in how they assign

weights to the constraining values. The simplest methods

use a polynomial or power law in distance; most other

methods use some sort of minimum-norm principle (Weg-

man and Wright, 1983). We divide these into two groups

which we call statistical methods and integral methods.

Statistical methods minimize the variance of the grid-value

estimator by selecting weights based on the data autocorre-

lation. The kriging methods used in economic geology (Olea,

1974;Clark, 1979) belong to this class. An advantage of these

methods is that they can yield confidence limits for the grid

values; a possible disadvantage is that global properties of

Manuscript received by the Editor March 7, 1989; revised manuscript received August I, 1989.

*Lamont-Doherty Geological Observatory of Columbia University, Route 9W, Palisades, NY 10964.

*Formerly Lamont-Doherty Geological Observatory of Columbia University; presently Hawaii Instituteof Geophysics, 2525 Correa Road,

Honolulu, HI 96822.

© 1990 Society of Exploration Geophysicists. All rights reserved.

293

Downloaded 06 Jun 2011 to 158.251.6.71. Redistribution subject to SEG license or copyright; see Terms of Use at http://segdl.org/

294 Smith and Wessel

the surface such as high-order continuity cannot be assured

a priori. Integral methods begin with the requirement that

the surface should minimize some global norm over some set

of functions of the data; the weights are then determined to

satisfy this constraint while fitting the data. The advantage of

these methods is that they assure a solution with the desired

properties; their disadvantage is that they do not easily yield

confidence limits.

The method we present here is a generalization of a

popular integral method called "minimum curvature." In the

minimum-curvature method, an interpolant with continuous

second derivatives is constructed such that the squared

curvature integrated over the entire surface is minimized.

Briggs (1974) derived the equations and suggested their

solution by iteration of finite-difference expressions; Swain

(1976) gave a Fortran algorithm based on Briggs' method;

and Sandwell (1987) solved the same equations by a matrix

method. Variations on the Swain algorithm (e.g., the U.S.

Navy's SuperMISP) are in widespread use in the earth-

science community. For example. the gravity and magnetic

anomaly maps of North America (GSA Map Committees,

1987), and the Digital Bathymetric Data Base of the U.S.

Navy (Van Wyckhouse, 1973; NGDC, 1988)are prepared by

the minimum-curvature method. The heavy solid lines in

Figures la and Ib are profiles through minimum-curvature

surfaces. They honor the data at constrained points, but

have large oscillations between these points. This behavior

in unconstrained regions may be undesirable in some appli-

cations.

In one dimension, the function with continuous second

derivatives that interpolates the data constraints exactly and

minimizes total curvature is called the interpolating natural

cubic spline (cf., de Boor, 1978; Lancaster and Salkauskas,

1986). It may have the large oscillations between constraints

shown in Figure la. Two modifications to this spline have

been used to avoid these oscillations. The first (type I)

modification relaxes the requirement that the data be inter-

polated exactly; a compromise is made between the misfit to

the data and the curvature of the solution. Solutions of type

I are called smoothing splines (cf., de Boor, 1978; Lancaster

and Salkauskas, 1986). The second (type 2) modification, in

contrast to the first, interpolates the data exactly but relaxes

the constraint that the total curvature must be minimized.

One class of type 2 solutions is splines in tension (Sch-

weikert, 1966). The oscillation of the natural cubic spline can

result in extraneous inflection points; Schweikert (1966)

showed that a spline in tension eliminates these inflections.

Note in Figure 1b that the control data can be interpolated

with a function which is everywhere concave down (e.g., the

thin solid line), yet the minimum-curvature solution (heavy

solid line) changes concavity. Spath (1973) has given

Schweikert's (1966) equations in a strictly diagonally domi-

nant tridiagonal matrix form, and Cline (1974) has adapted

Schweikert's spline to curves in the (x, y) plane.

In two dimensions, the minimum-curvature interpolant is

the natural bicubic spline which can have the same oscilla-

tions and extraneous inflection points as in the one-dimen-

sional (I-D) case. Again the same methods may be used to

suppress these features. Inoue (1986) has given a type 1

modification in which the damping of first and second

derivatives is traded off against the data misfit under a

least-squares norm. This is essentially a two-dimensional

(2-D) smoothing spline which does not fit the data exactly. In

this paper we present a type 2 modification. We show how

the minimum-curvature gridding method (Briggs, 1974;

Swain, 1976; Sandwell, 1987) can be generalized to include

tension in the interior and boundary equations, and we show

common geologic examples where minimum curvature pro-

duces undesirable results but the introduction of tension

significantly improves the solution. Our method produces a

suite of surfaces with continuous second derivatives of

which the minimum-curvature surface is one end member.

Increasing the tension parameter relaxes the global mini-

mum-curvature constraint by moving toward a solution with

curvature localized at the control data points; at the same

time, the surface fits the data exactly. Adjustable tension

a)

b)

:L

-800 -,- ----,

-700

~ - - + -800

150 100 50

50 o

o + - - - ~ - - - ' -

~ -200

... -300'

i -4ooJ

J

~ -500,

~

~ , .

''-:'-,

, >.,

Distance (km)

FIG. 1. (a) Cross-sections through surfaces produced with splines in tension. The black squares are data constraints.

The heavy line is the minimum-curvature end member, the thin line is the harmonic end member, and the dashed

line is an intermediate case using some tension. Note that all solutions honor the data points. (b) Cross-section

through a continental shelf and slope. The black squares represent the intersection between the measured

bathymetry (dashed line) and 100m isobath contours. These intersections (contour coordinates) were then gridded

using minimum curvature (heavy solid line) and some tension (thin solid line). The minimum-curvature method

introduces an extraneous inflection point and exceeds the -100 m level, although we know that bathymetry in this

region is bounded by the -200 m and -100 m levels. The surface produced with tension gives a much better

approximation since it suppresses local maxima and minima between data constraints.

Downloaded 06 Jun 2011 to 158.251.6.71. Redistribution subject to SEG license or copyright; see Terms of Use at http://segdl.org/

Gridding with Splines in Tension 295

and

Minimum-curvature gridding algorithms use the norm

(9)

(7)

where TB is a tension parameter for the boundary which also

varies between 0 and I. The free-edge condition corresponds

zero, and the boundary conditions represent zero bending

moment on the edges [equation (3)], zero vertical shear

stress on the edges [equation (4)], and zero twisting moment

at the corners [equation (5)] (Timoshenko and Woinowsky-

Krieger, 1968). Physically, thejj represent the strengths qlD

of point loads on the elastic plate; mathematically, they are

coefficients in a solution which is composed of a linear

combination of Green's functions for plate flexure due to

unit point loads.

The total stored elastic strain energy in the flexed plate is

approximately proportional to the curvature (1); of all twice-

differentiable surfaces interpolating the data, the minimum-

curvature surface stores the least strain energy. If one

imagines bending an elastic plate to interpolate the data, then

extra work must be done on the plate to create any interpo-

lant other than the minimum-curvature solution. The mini-

mum-curvature solution may seem to be the "natural" way

to estimate poorly constrained grid values. It is clear from

Figure I, however, that the minimum-curvature constraint

may create extraneous oscillations.

We derived our equation by investigating the role of a

uniform isotropic tensile stress T in equation (6). Suppose

that T

xx

= T

vy

= Tand T

xy

= O. Then equation (6) becomes

where T

I

is a tension parameter and the I subscript indicates

internal tension. (We specify tension on the boundaries

independently of T

I

.) Now we may vary T

I

from 0 to I, with

oand I giving the end-member cases shown as solid lines in

Figure la. When T

I

= 0, equation (8) reduces to equation (2);

and therefore the minimum-curvature solution is one end-

member case of equation (8). When T

I

= I, the first term in

equation (8) vanishes; and the solution is harmonic between

constraining points. In the elastic analogy, T

I

= 1represents

infinite tension; since infinite tension is not physically mean-

ingful, one may prefer to think of this end member as

representing the steady-state temperature field in a conduct-

ing plate with heat sources or sinks at the data points. An

important property of this solution is that it cannot have

local maxima or minima except at constraining data points

(this follows from the interior mean value theorem for

harmonic functions; e.g., Berg and McGregor, 1966). Note

that for any T

I

in 0 :s T

I

< I, equation (8) gives a solution

with continuous curvature, although it does not minimize

equation (1) except when T

I

= O.

We implemented boundary tension with conditions (4) and

(5) above but replacing condition (3) by

( )

a2

Z

az

1- T

B

- + T

B

- = 0,

an

2

an

When T = 0, equation (7) is equivalent to equation (2); but

for arbitrarily large T, the solution is dominated by the

second term. Here T has units of force per unit length and

the T required to adjust the solution scales with D and q; we

avoided this by writing

(3)

(1)

(4)

(2) V

2(V2

Z) = 2: jj 8(x - Xi, Y - Yi),

i

c = II (V

2

Z) 2 dx dy.

Equation (1) is a valid approximation for the total curvature

of Z when IVzIis small. Briggs (1974) showed that minimizing

equation (1) leads to the differential equation

"2("2) [a

2

z a

2

z a

2

z]

Dv v z - T

x x

-2+ 2T

xy

--+ T

yy

-2 = q (6)

ax ax ay ay

(Love, 1927). The minimum-curvature gridding equation (2)

is a special case of equation (6) when horizontal forces are

where (Xi' Yi' z;) are constraining data. Thejj must be chosen

such that z ~ z, as (x, y) ~ (Xi' Yi), and the boundary

conditions are

A=o (5)

ax ay

at the corners. Equations (3), (4), and (5) are called free-edge

conditions; and with these conditions, equation (2) has a

unique solution with continuous second derivatives called

the natural bicubic spline. The nomenclature comes from an

analogy with elastic-plate flexure. Small displacements z of a

thin elastic plate of constant flexural rigidity D, subject to a

vertical normal stress q and constant horizontal forces per

unit vertical length of r.; r.; and T

yy

, approximately

satisfy

permits the gridding of data of varying roughness and allows

the user to satisfy his own criteria for a good solution. All the

lines in Figure Ia and the solid lines in Figure Ib are profiles

through surfaces produced by our method.

Swain (1976) gave a method for iterative solution of the

finite-difference equations of minimum curvature (Briggs,

1974). We show that including tension in these equations

results merely in a change in coefficients, and therefore any

minimum-curvature algorithm based on Swain's method can

easily be modified to solve our equation. We also discuss

how the convergence can be improved to achieve an order of

magnitude reduction in run time of the original Swain

algorithm. A C language program which incorporates all the

features of our method and the sample data gridded in the

examples in this paper are available from the authors on

request.

Gridding equations and physical analogs

MINIMUM CURVATURE, ELASTIC PLATE

FLEXURE, AND TENSION

along edges, where a/an indicates a derivative normal to an

edge, and

Downloaded 06 Jun 2011 to 158.251.6.71. Redistribution subject to SEG license or copyright; see Terms of Use at http://segdl.org/

296 Smith and Wessel

to TB = 0: TB = I forces the solution to flatten at the edge

(see Figure I). This flattening is sometimes desired, as when

gridding potential anomalies which should decay toward a

regional background field away from the source region.

Tension as a weighted minimum-norm solution

Rayleigh's theorem <Bracewell, 1978) may be applied to

the curvature norm (I) to show that squares of Fourier

components of z are integrated with weights proportional to

the fourth power of their wavenumber: short wavelengths in

z contribute much more to C than long wavelengths. Mini-

mizing C yields a solution with power concentrated at long

wavelengths and is suitable for gridding data which vary

slowly with distance. The tension parameter in equation (8)

effectively defines a weighted minimum-norm problem re-

lated to the direct minimum-norm solution (2); when T[ = I,

the weights are proportional to the square of the wavenum-

ber. This weighting increases curvature locally near the

constraining data and yields a solution with more short-

wavelength power. Tension relaxes the global minimum-

norm constraint in order to find a solution with more local

variation and is suitable for gridding data which vary more

rapidly with distance.

CONSTRUCTION 01<' A SOLUTION

Regional fields

Nearly all minimum-norm gridding equations operate on

perturbations from a regional trend. For example, statistical

methods require that a regional field be removed from the

data so as to make the residuals stationary; and the grid

estimates are then constructed as estimates of the local

departure from this regional trend. In the integral method

above, the complete solution to equation (2) or equation (8)

consists of a linear combination of Green's functions for

plate flexure by point loads, plus an additional function

which is a solution to the homogeneous equation related to

equations (2) or (8). This additional function we call a

"regional field."

Swain (1976) and Sandwell (1987) did not include a re-

gional field in their solutions to equation (2). Ignoring the

regional field means that the true regional function is approx-

imated by a linear combination of Green's functions for plate

flexure. We have found that this approximation is not

numerically efficient, and the stability and convergence of

solutions to equation (2) or equation (8) are enhanced by

including a regional field model. In our algorithm, the

regional trend is approximated by removing a least-squares

plane from the data before solving equation (8). We add the

plane back into the grid values after equation (8) is solved.

This procedure has the additional effect that the boundary

tension TB drives the solution toward the regional plane

rather than toward a horizontal plane.

Finite-difference approach

There are many ways to solve equations (2) or (8). The

most direct approach (Sandwell, 1987) is to express z(x, y) as

a linear combination of Green's functions for equation (2) or

equation (8) and to construct a matrix equation Gf = d,

where Gis a matrix of Green's functions (the data kernel, in

geophysical parlance), f is a vector of unknown coefficients

i;, and d is a vector of known data constraints z(xi- Yi) = z..

This matrix equation is solved for the ii, and then the Z

values on the grid nodes are found from the linear combina-

tion of Green's functions given by these Ii' Unfortunately,

this approach often yields a system which is nearly singular,

because the ratio of the distances between the farthest pair

and closest pair of data points is large (this is always true for

data collected along traverses or tracks), and therefore some

column vectors of the Green's matrix Gare nearly parallel.

Alternatively, one could write the finite-difference expres-

sions for equation (2) or equation (8) in terms of the values at

the grid nodes and solve this system. I-D splines are usually

constructed by writing these difference equations in matrix

form, generally resulting in a band-diagonal system is

easily solved. However, if the same is done for a 2-D grid, a

large and sparse matrix results.

The near-singularity of the Green's matrix and the large

and sparse nature of the finite-difference matrix make these

matrix methods unstable, and solutions must be found by

iterative refinement and possibly also smoothing by zeroing

small eigenvalues. We therefore follow the suggestion of

Briggs (1974) and solve equation (8) directly by iteration of

the difference equations among the grid values (see the

Appendix). This procedure is always stable and allows us to

control the path taken in interactive refinement of the

solution. The numerical solution is path-dependent and so

this flexibility is important.

Because equation (8) has one more term than equation (2),

it may seem that it is more complicated to solve equation (8).

However, when either equation (2) or equation (8) is approx-

imated in terms of central finite differences among grid

values, a linear equation among the points shown in Figure 2

results. The Laplacian of the surface at the square involves

the four shaded circles; the biharmonic of the surface thus

requires all twelve circles. At grid nodes unconstrained by

data, the value of the surface at the square is given by a

weighted average of the values at the circles. Adjusting the

tension parameter T[ in equation (8) determines the weight of

the shaded circles relative to the unshaded ones; however,

for any value of T[ (except the limiting case T[ = I), the same

linear system relating the twelve circles to the square must

be solved, and only the relative weights (coefficients)

change. Thus, solving equation (8) requires no more compu-

tational effort than solving equation (2), and a program which

solves equation (2) can be trivially modified to solve equa-

tion (8). In fact, because increasing tension gives more

weight to the shaded circles in Figure 2 and leads to a more

local solution, the solution with tension actually converges

faster than the minimum-curvature solution.

Implementing data constraints

Once the user has chosen a discrete grid with lattice

spacing the information content of z(x, y) is

effectively limited; z(x, y) now has a Nyquist wavelength,

and only a limited number of data constraints can be fit

exactly. In our algorithm, we assign each datum to its

nearest grid node. In Figure 2, the dashed square surrounds

all points in the (r, y) plane nearest the grid node indicated

with a black square. Data in this dashed region are assigned

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Gridding with Splines in Tension 297

to this node. If we have at most one data point nearest each

grid node, we can fit these data exactly; but if more than one

data value constrains a given node, the surface is locally

overdetermined and some sort of smoothing or data decima-

tion is required. Swain (1976) uses the datum nearest the

node and ignores the others. We do not recommend this

procedure, since it can alias information at wavelengths

shorter than the Nyquist wavelength of the grid. To make

use of all the data, one might solve equation (8) separately

for each datum in turn and then average the solutions.

However, because the system is linear, it is equivalent to

solve equation (8) with one representative constraining

value, which is an average of the original data. This method

requires only one fourth-order solution for each node; and if

it is done outside the gridding process, it reduces the number

of data points that need to be stored in the gridding pro-

gram's memory. Because spatial filtering procedures are

generally useful apart from gridding and the best filtering

method is application-dependent, we have decoupled the

averaging process from the gridding process. That is, our

algorithm does not include any provision for smoothing or

averaging data at overdetermined nodes; we expect that the

data have been preprocessed to give only one filtered value

per grid node, which we then interpolate exactly. Often our

preprocessing consists simply of finding the mean or median

.. ~ .. -, .

0(_.2 ()) e(_lj) .«()oj .'(l()) 0(2())

-2)

FIG. 2. When either equation (2) or equation (8) is expressed

in central finite differences among the grid nodes, the esti-

mate at one node (the black square) is given by a weighted

average of the values at 12 nearby nodes (circles). Increasing

the tension in equation (8) increases the weight of the shaded

circles relative to the unshaded ones, producing a more local

solution. In any case the same linear system must be solved

and only the weights change: thus any minimum-curvature

algorithm can be easily modified to include tension. Data

constraints are assigned to their nearest grid node; a datum

inside the dashed box is used to constrain the grid value at

the square. Subscripts in parentheses illustrate the indexing

scheme used in the difference equations in the Appendix.

value at the mean or median position in each block of area

nearest each node.

Briggs (1974) gave an approximation for V

2

z at a grid node

in terms of other nearby grid values and one off-grid data

constraint. The expression uses a second-order finite-dif-

ference Taylor series expansion to predict the value of the

interpolating surface away from grid nodes. Since both

equations (8) and (2) are equations in V

2

z, we can implement

data constraints in equation (8) by modifying Briggs' method

(see the Appendix). Using this approach, the constraining

datum enters the local difference equation through the Tay-

lor expansion; and we do not need to solve for Ii explicitly.

If the difference equations were to converge exactly, then

the surface would fit the data exactly, in the sense that the

Taylor series expansion would match the data constraints

with zero prediction error. Because the solution is found to

finite precision, the fit is not perfect; the user enters a

tolerance for numerical convergence, and the prediction

error is of this order. We have found empirically that the

mean prediction error is always nearly zero (thus the method

is unbiased). and convergence to maximum absolute error of

one part in 10

4

can be achieved in short run times (the

meaning of "short" is relative to the number of nodes in the

lattice). One important feature of the Taylor series method

for fitting the data is that it honors a datum exactly when that

datum falls on the lattice; if the (x, y) coordinates of the

datum match those of a grid node, the value of that grid node

is set equal to the datum value.

Convergence

The gridding equations (4), (5), (8), and (9) have a unique

solution which we may call the true solution. Because we

solve these equations iteratively with finite precision, we do

not reach the true solution; and our result depends not only

on the convergence limit of the iterations but also on the path

taken toward the solution. Optimization of this path is

important not only to achieve convergence in only a few

iterations, but also because optimization yields a solution

closer to the true solution. Convergence in computation is

not the same as convergence in mathematics. We consider

our iterations "converged" to limit E when the maximum

absolute change at any node during one iteration is less than

E. This does not mean that the result is within E of the true

solution; it means that further improvements in the result

will be smaller than E for each iteration and are therefore not

worth the effort.

Details of our solution strategy are given in the Appendix.

We generally follow the method of Swain (1976), but we

include the tension parameters 1', and T

B

and an additional

parameter for grid anisotropy a. Users of gridding algo-

rithms often grid data in map coordinates; at high latitudes

the anisotropy in distance on a latitude-longitude grid can be

significant. We have included an aspect ratio a in our

algorithm. where the grid dimensions are such that dy =

dxkx, and an nth difference in y is scaled by a" to accom-

modate the anisotropy. If x = longitude and y = latitude.

then 0. = cosine (latitude). We also generalized the regional

grid strategy of Swain (1976) and included successive over-

relaxation to accelerate convergence. With these improve-

ments, our algorithm solves the isotropic minimum-curva-

Downloaded 06 Jun 2011 to 158.251.6.71. Redistribution subject to SEG license or copyright; see Terms of Use at http://segdl.org/

298 Smith and Wessel

ture problem in one-tenth the time required by Swain's

algorithm; applications using tension converge even more

rapidly because of the more local nature of the solution in

tension.

GEOLOGIC EXAMPLES AND THE USE OF TENSION

The "questionable dipole" example

For this example we use shipboard gravity measurements

from offshore Mauritania which are in the Lamont-Doherty

marine geophysical data base. The data were cross-over

error corrected (Wessel and Watts, 1988; Wessel, 1989) and

then 5 by 5 minute block mean values were computed. These

mean values were input to our gridding algorithm. In Figure

3 we show two contour maps prepared from these data.

Figure 3a was prepared using T[ = 0 in equation (8),

corresponding to the minimum-curvature method. Figure 3b

shows the same datagridded with T[ = 0.3 in equation (8);

i.e., with some tension in the gridding surface. The locations

of the input data values are shown as squares. Both maps

c)

20' 30'

20' .10' 21' 21' .10'

22°

1.\ ' .10'

a)

d)

" 2.1' .10'

.<

.. . . (J . '.. 0

21' .10' 21'

22' 20'

25·f¥-- - ..... 25'

24'

23' .10'

.10' . ' O.

b )

FIG. 3. 10mGal contour maps of the gravity field from offshore Mauritania. Locations of control data are indicated

by black squares. A positive anomaly of -175 mGal was registered along the northeast trending track, while the

other tracks measured values near zero. (a) The surface produced by the minimum-curvature method has an

unconstrained low south of the constrained high. (b) The surface produced with some tension (T[ = 0.3) looks very

similar to (a), except that the unconstrained low has been reduced significantly. (c) A perspective view of the

shaded region in (a) from a vantage point above and northeast of the high. The oscillatory nature of the

minimum-curvature surface is exemplified in the unconstrained low. (d) The same perspective view as in (c) of the

surface produced with tension. Tension suppresses the oscillations found in (a) and (c) and reduces the magnitude

of the unconstrained low to less than 10 mGal.

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Gridding with Splines in Tension 299

FIG. 4. (a) Map of U.S. Navy DBDB-5 bathymetry con-

toured at 1000 m intervals. Regions shallower than 15 m

below sea level are shaded, revealing" shelf-break bulges."

Heavy line indicates ship track of R!V Vema cruise 17-11. (b)

Profile along the Vema 17-11 track. Thin line: actual bathym-

etry observed by R!V Vema. Heavy line: DBDB-5 data set

sampled along the Vema 17-11 track.

distance between constraining isopleths. When two contours

are separated by a large distance, we know that the average

gradient in that region is probably small; certainly, the

surface is of bounded variation on that interval. However,

the gridding algorithm only sees an unconstrained region.

The minimum-curvature solution is clearly wrong in this

application. If the surface had a bulge as shown by the heavy

solid line in Figure lb, then there would have been another

100m contour value somewhere as the bulge turned down to

the continental slope. Including tension in the solution works

very well (thin solid line). There are two reasons for this

success. The first is that the bulge results from an extraneous

inflection point, and tension has been shown to eliminate

these inflections (Schweikert, 1966). The second is that

increasing the tension moves the solution toward the har-

monic end member, which can have no local maxima or

minima between data points. This feature is well suited to

gridding isopleth data, of course.

Shelf-break bulges are common features in the U.S. Na-

vy's Digital Bathymetric Data Base (Van Wyckhouse, 1973;

NGDe, 1988). In Figure 4a we have contoured this data set

and shaded regions with elevations above -15 m, Le.,

shallower than 15 m below sea level. The shading reveals

••\00

.' 00

. ' 00

· 11)11

. SO<!

SO<!

400 300

' 00

200 300

Di stance (km)

100

100

../

VI

I-- _

~ \

:: · 100

b)

The "shelf-break bulge"

Figure Ib contains a vertical cross-section through an

actual bathymetric data profile over a continental shelf and

slope (dashed line) and two attempts to reproduce this

bathymetric surface by gridding the coordinates of isobaths

(squares). The heavy solid line is a section through the

minimum-curvature solution, and the thin solid line is a

section through a solution produced with some tension. The

heavy line displays a "shelf-break bulge" which occurs

where an unconstrained area lies between two areas con-

strained to have different gradients, a situation very similar

to the one that produced the "questionable dipole." How-

ever, while the dipole mayor may not be real, the shelf-

break bulge is a clear case of extraneous inflection points.

In this example we did not use the actual ship's bathym-

etry (dashed line) to constrain the gridding; instead, we

found the locations of 100 m contours of the ship data and

used the coordinates of these contours as the controlling

data points. This situation is quite different from the "ques-

tionable dipole" example. What we are illustrating here is

that attempts to grid surfaces using the coordinates of

isopleths of the data suffer from a peculiar lack of informa-

tion. The shelf-break bulge occurs where there is a large

show a feature with a 175 mGal high which was observed

along the northeasterly ship track. Other tracks near this

feature recorded gravity values near zero. The most signifi-

cant difference between the two maps is at the unconstrained

low to the south of the constrained high. The minimum-

curvature map suggests a dipole anomaly; there is a - 25

mGal low to the south of the 175 mGal high in Figure 3a.

Gridding with tension reduces this low to less than 10mGal

(Figure 3b). Note that there are no data at all in the region of

the dipole low; we cannot say whether this low exists or not.

By increasing T

I

in equation (8), this low can be made to

disappear. The user must decide whether he wants this low

in the map or not. For example, if the data in Figure 3 were

magnetic-intensity measurements, a high-low dipole might

be expected; while if the data were bathymetric soundings,

the low might be considered spurious; and in gravity data a

flexural moat around a seamount high is sometimes reported

(e.g., Watts, 1978). The point is that with our method the

result may be adjusted as is geologically appropriate.

In Figures 3c and 3d we show perspective views of the

shaded portions of the gridding surfaces of Figures 3a and

3b. In these views we have "cut away" the data east and

north of the center of the high and are looking at the

remaining region from a vantage point above and northeast

of the high. These views illustrate the oscillatory flexure of

the surface obtained by minimum-curvature gridding. Note

in Figure 3d that tension results in a much sharper transition

in the unconstrained area between the constrained high and

the constrained flat regions.

In this "questionable dipole" example, it is not obvious

that minimum-curvature gridding has done anything wrong;

the validity of the low anomaly is a subjective decision. A

lesson to be drawn from Figure 3 is that we should always

plot the locations of constraining data on our contour maps.

In the next two examples, we show that the minimum-

curvature surface produces clearly undesired results.

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300 Smith andWessel

prominent bulges in the continental shelf offshore South

America. Figure 4b shows a profile along the line in Figure

4a. The thin line in Figure 4b is the actual bathymetry

observed by R/V Vema cruise 17-11; the heavy line shows

the DBDB-5 depths along the Vema track. We believe that

the Navy has gridded contours of the original data, resulting

in bulges which then have been truncated ad hoc to a -10 m

level. In the next example we grid bathymetry data directly;

minimumcurvature produces a bulge in this example as well.

Bathymetric map of Broken Ridge

Figure 5a is a bathymetric contour map of Broken Ridge in

the southern Indian Ocean (Driscoll et aI., 1989). This map

was hand contoured by a marine geologist at Lamont-

Doherty using bathymetric soundings from the Lamont data

base and additional data from the Defense Mapping Agency

which are not in our digital data base. In Figures 5b and 5c

we have tried to approximate the hand-drawn map by

machine gridding and contouring the Lamont data only.

Figure 5b is made with minimum curvature; and Figure 5c,

with T[ = 0.75.

While Figure 5c cannot match the hand-drawn map ex-

actly, the major features are quite similar. There are local

differences, and we do not know how much the geologist was

influenced by the DMA data which are not included in our

map. The differences between Figures 5a and 5c and the

minimum-curvature map (Figure 5b) are quite clear. In the

unconstrained areas near the boundaries of the map, the

a)

b)

31 °

30 °

95° 94° 93° 96°

1l"'"--""'''I''ir;:::::;:=:;;;;::::;;:;::r''!....,---=r::;;=::::;:;==1/ 29 °

92°

c)

FIG. 5. Bathymetric maps of Broken Ridge in the southern Indian Ocean. (a) This map was hand contoured by a

marine geologist using bathymetry from the Lamont-Doherty data base and additional data not available to us

(Driscoll et al., 1989). (b) and (c) are generated by machine gridding of only the data in the Lamont-Doherty data

base (locations shown as black squares). Both machine-drawn maps are in general agreement with the hand-drawn

map in the regions well constrained by data. The major differences occur in regions of interpolation and

extrapolation. The minimum-curvature solution (b) has large oscillations and a "false island" rising 900 m above

sea level (gray shaded area). A solution using T[ = 0.75 (c) shows good agreement with the human interpretation

(a) in the unconstrained regions.

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Gridding with Splinesin Tension 301

minimum-curvature solution has large undulations and actu-

ally rises above sea level for a considerable portion (shaded

area in Figure 5b). This "island" is certainly an unaccept-

able feature of this map.

DISCUSSION

It should now be clear that minimum curvature is not the

ideal gridding method for all applications, something one

might have expected from the start. Gridding with tension is

an improvement because it adds a degree of freedom and

relaxes the minimum-curvature constraint. We realize that

there is no physical reason for using a plate-flexure equation

to grid data such as gravity or topography measurements.

Integral gridding methods can be designed for the physics of

the particular application, such as the norms on harmonic

splines used by Shure et al. (1982) for magnetic data.

However, it is common for scientists to become familiar with

one method of solution and use it in a variety of applications.

Also, in the interpretation of potential field anomalies, the

geophysicist must usually relate the anomaly to the topog-

raphy of the source region; and he or she often wants to treat

the potential field data and the topography data with the

same procedure. A general gridding procedure is therefore a

practical necessity.

The minimum-curvature method was advocated by Briggs

(1974) for its smoothness properties, and Briggs (1974),

Swain (1976), and Sandwell (1987) have all used it for

potential-field data, which are expected to define relatively

smooth analytic functions. The smoothest possible twice-

differentiable surface should not approximate topography

very well; our examples show that minimum curvature

makes very poor bathymetric maps. It may be that kriging is

a better approach, since topography data seem to be well

suited to stochastic descriptions such as fractals and ARIMA

models (e.g., Malinverno and Gilbert, 1989). However, the

complete spatial autocorrelation of data given only along

ship tracks is very difficult to compute and include in a

simple kriging procedure. We feel that gridding with tension

is an acceptable method for topography data: it is a more

local scheme than minimum curvature and better reflects the

nature of the autocovariance of topography data.

Isopleth data are a challenge for any algorithm. Obviously,

one should not grid isopleth coordinates if the original data

are available; but frequently gridded values are needed, and

a contour map is the only published form of the data.

Sometimes it is necessary to grid data which are intrinsically

isopleths, such as when one makes a gridded age data set

from the locations of magnetic isochrons of the sea floor.

Isopleth coordinates contain some information about the

locations of values of a function, but, more important, they

define regions of bounded variation. We have shown that

gridding with tension works well for isopleth data because

the end member T[ = 1 in equation (8) cannot have local

maxima or minima between constrained points. We do not

know how kriging would work on isopleth data. The notion

of the autocovariance of sets of equal values seems rather

problematic.

The minimum-curvature gridding method has been widely

applied to bathymetry and other data for which it is not well

suited. We have shown that in some applications minimum

curvature gives undesired results, and that including tension

in the solution overcomes these difficulties. Since it is

straightforward to modify a minimum-curvature algorithm to

include variable tension, we suggest that earth scientists who

already use minimum-curvature algorithms should include

this feature. We do not claim that our method is ideal in all

applications. However, we feel that continuous curvature

gridding with adjustable tension provides the flexibility to

handle many cases which arise in the earth sciences.

ACKNOWLEDGMENTS

We wish to thank N. W. Driscoll for allowing us to use his

map of Broken Ridge (Figure 5a). W. F. Haxby and A. B.

Watts brought to our attention the importance of regional

fields and solutions to the related homogeneous equation. W.

Menke suggested the temperature field analogy for the case

T[ = 1. A. Lerner-Lam, A. Malinverno, P. G. Richards, and

the reviewers and editors of GEOPHYSICS provided many

helpful comments. This work was supported in part by Office

of Naval Research contract TO-204 scope I and National

Science Foundation contract no. OCE-86-14958.

Lamont-Doherty Geological Observatory contribution

number 4555.

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splines and their applications: Academic Press Inc.

Berg, P.W., and McGregor, J. L., 1966, Elementary partial differ-

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Bracewell, R. N., 1978, The Fourier transformand its applications:

McGraw-Hill International.

Brandt, A., 1984, Multigrid techniques: 1984 guidewithapplications

to fluid dynamics: Gesellschaft fur Mathematik und Datenverar-

beitungmbHBonn.

Briggs, 1. C., 1974, Machine contouring usingminimum curvature:

Geophysics, 39, 39-48.

Clark, 1., 1979, Practical geostatistics: Applied Science Publ. Ltd.

Cline, A., 1974, Scalar and planar-valued curve fitting usingsplines

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Committee for the gravity map of North America, 1987, Gravity

anomaly map of North America: Geol. Soc. Am.

Committee for the magnetic mapof North America, 1987, Magnetic

anomaly map of North America: Geol. Soc. Am.

Davis, J. C., 1986, Statistics and data analysis in geology: 2nd. ed.,

John Wiley & Sons, Inc.

de Boor, C., 1978, Apracticalguideto splines: Springer-Verlag New

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Driscoll, N. W., Karner, G. D., Weisse!, J. K., and the Shipboard

Scientific Party, 1989, Stratigraphic and tectonic evolution of

Broken Ridge from seismic stratigraphy and Leg 121 drilling:

Initial Rep. Ocean Drilling Prog., 121, 71-91.

Fulton, S. R., Ciesielski, P. E., and Schubert, W. H., 1986,

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Hackbush, W., andTrottenberg, U., Eds., 1982, Multigrid methods:

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Harbaugh,J. W., Doveton, J. H., and Davis, J. c., 1977, Probability

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Inoue, H., 1986, A least-squares smooth fitting for irregularly

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Lancaster, P., and Salkauskas, K., 1986, Curve and surface fitting:

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Love, A. E. H., 1927, A treatise on the mathematical theory of

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Geophys. Res., 94, 1665-1675.

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302 Smith and Wessel

Olea, R. A., 1974, Optimal contour mapping using universal kriging:

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Press, W. H., Flannery, B. P., Teukolsky, S. A., and Vetterling,

W. T., 1986, Numerical recipes: Cambridge Univ. Press.

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Sandwell, D. T., 1987, Biharmonic spline interpolation of GEOS-3

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Schweikert, D. G., 1966, An interpolating curve using a spline in

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splines for geomagnetic modelling: Phys. Earth Plan. Int., 28,

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APPENDIX

SOLUTION BY ITERATION OF FINITE-DIFFERENCE EQUATIONS

Difference expression for the homogeneous equation

Our notation is shown in Figure 2. For convenience we

use subscripts to refer to the relative position of a grid node

with respect to a local origin. Thus Zoo refers to the current

zij, and ZI_I appearing in an equation with Zoo refers to

Zi+lj-I. We approximate derivatives by central finite differ-

Using the finite-difference approximations (A-I) and (A-2),

the homogeneous equation

(A-3)

may be solved for zoo:

(A-4)

ences, e.g.,

aZZ ZIO - 2z

oo

+Z - 10

ax

z

= (.<ix)z

We normalize the length of the grid by assuming .<ix = 1. We

allow for anisotropy with an aspect ratio a = .<iy/.<ix. Then

aZz

-Z=aZ[zol - 2z

oo

+ zo-d

iIy

and

VZz=ZlO + Z-IO + aZ(zol + Zo -I) - 2(1 + aZ)zoo.

(A-I)

Similarly,

VZ(Vzz) =zZO +z-zo + a

4(zoz

+zo-z)

+2a

z(zll

+Zl-I +z-ll +z-I-d

- 4(1 + aZ)[zlo +Z-IO + aZ(zol +zo-d]

+ (6 + 8a

z

+ 6(

4

)zoo . (A-2)

We use this expression at those grid nodes Zij which are not

constrained by data. In the particular case of minimum

curvature (T = 0) on an isotropic grid (a = 1), this expression

reduces to the difference expression given by Briggs (1974)

as his equation (12).

Difference expression including a constraining datum

Briggs (1974) gave an expression for VZz at a grid point in

terms of an off-grid constraining point. Since our equations

may be expressed in VZz, we used his approach, but modi-

fied it for our anisotropic grids. To find VZz at Zoo, we

construct a second-order Taylor series expansion fromzoo to

a point zi:

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Griddlng with Splines in Tension 303

We do this at five distinct points "k), k = 1,5. Then we

multiply each expansion by a real number b

k

and sum the

five expressions:

The above matrix expression is easily solved to yield

2(1 +(

2

)

b

s

= ,

+ a,,)(1 + +a,,)

b

4

= 1 - !b

s

+ e),

b az 1 2 a

2z

+ L k"k - + - L b k -1

ay 2 ax-

a

2

z 1 2 a

2

z

+ L --+- L bk"k -2·

ax ay 2 ay

If the b, are chosen such that

L b k = L bk"k = L b k = 0 and

L bk = Lbk "l = 2

b

3

= a,,(l + - 2b

4

, (A-6)

bz = a,,(1 + - b

3

, and

b, = $s + b

4

- b

2

•

For a constraining datum in other quadrants, analogous

expressions may be obtained.

The constraint is implemented by substituting equation

(A-5) into equation (A-3) and solving for zoo:

L .;. .J

I • E I

I I

I I

:11 I

I

I

I

I

(A-5)

then

[

-: - - -: ] [::] = [ ],

- 1 0 0 - 1 b

4

0

1 0 1 1 a

2

,, 2 b

s

2a

2

where we have used the fact that the grid dimensions have

been normalized by Ax and a is the anisotropy; here and a"

represent fractional distances on the grid,

While any five points which yield a nonsingular expression

for the b

k

may be chosen, it is convenient to use four nearby

grid node values and one off-grid constraint. For example,

suppose that zoo is the location at the square in Figure A-I,

and that we wish to implement the datum at E in Figure A-I

as a constraint. Let us assign k = 1, 4 to other points on the

grid (A-D in Figure A-I), and k = 5 to the point E. Then we

seek b

k

satisfying

(XE -xoo)

J1x

or

FIG. A-I. The grid node indicated by the black square is to be

constrained by the datum at E. A Taylor series expansion is

made from the node to the five points (A-E). Since four of

these are "known" (they are other points on the grid which

are solved in separate steps), they are used to eliminate

terms in the Taylor series, leading to an expression for the

Laplacian at the node which includes point E as a constraint

[equation (A-5)]. When point E is in the first quadrant, A-D

may be chosen as shown to yield equation (A-6). For E in

another quadrant, A-D may be chosen by rotating this figure

appropriately; this will modify the system for equation (A-6).

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304 Smith andWessel

Difference expressions for boundary conditions

The second outside points may then be set using boundary

condition equation (4):

(A-lO)

+ZI-I-Z-II-Z-I-I)

We solve equations (A-4), (A-7), (A-8), (A-9), and (A-IO)

iteratively. One iteration consists of one application of the

appropriate equation at each position zij to update each

value. The updating is done immediately so that typically

half of the points in the equation are "new" values and half

are "old" values (Gauss-Seidel method; e.g., Press et aI.,

1986). For programming convenience, we visit these points

in sequence in loops over the i and j indices. A nonunity

anisotropy factor a effectively "couples" the equations

more strongly in one dimension, and the convergence is

more efficient if the loops are nested so that the strongly

coupled direction is looped first.

The coefficients on the 12 points of Figure 2 are deter-

mined from equation (A-4) or equation (A-7) and are con-

stant during the iteration process; only the zij change. We

therefore compute arrays of these coefficients once, prior to

entering the iteration loop. This prior step includes sorting

the constraining data into the order in which they will be

needed in the interaction loop, and computing and storing

the b

k

used with each constraint.

In the iteration loop itself. we use an overrelaxation

parameter I < W < 2 to accelerate convergence. The

difference equation is used to compute a new value for zij'

and the change in zij is increased by the overrelaxation

factor:

Solution by successive overrelaxation

(A-9)

If the constraining datum (E in Figure A-I) lies exactly on

the grid node, then and TIE are both zero and the above

matrix is singular. However, in this case the grid node value

Zoo may simply be replaced by Zt: without using equation

(A-7). In this way, the gridded surface always interpolates

the constraining datum to second order in the Taylor series.

After equation (A-8) has been applied, we use boundary

condition equation (5) to set the auxiliary "corner" point:

Application of equations (A-4) and (A-7) throughout the

desired domain of (x, y) requires two additional outside rows

or columns of auxiliary points (Figure A-2). We express the

boundary conditions at an x edge here; the expression for the

y edges are analogous.

We set the first outside points using boundary condition

equation (9):

new"'- (I ) old new

Zij '" - w Zu +WZij .

-----e----- e----

0 --- --6.--- - -----e--- e---

0 -- ---6.----------------

This method is called successive overrelaxation or simulta-

neous overrelaxation and is well known (Richardson, 1910;

Young, 1954; Roache, 1982; Press et aI., 1986). Spectral

analysis of the iteration operator may, in theory, yield an

optimal value for w. In our application the best W depends on

the tension used; we have determined empirically that

W = 1.4 works well for T = 0, and w may be increased as T

is increased. The system is considered "converged" to the

limit e when

• I _new _ old

max "-ij zij I < f.

--- Multiple grid strategy

-----0 ----- 0 -- -0---

FIG. A-2. Implementing boundary conditions. Points in the

lower left corner of the desired grid are represented by the

black circles. The array containing the desired grid is aug-

mented by two additional rows and columns surrounding

each boundary. These exterior points allow application of

equation (A-4) or equation (A-7) at every interior point.

During each iteration, equation (A-8) is used to set the values

of the white triangles, (A-9) the corner point (circle and cross

symbol), and (A-lO) the white diamonds. The grey triangles

and diamonds on the y boundaries are set using analogous

expressions but including the anisotropy factor a. Only one

corner of the array is shown here but the entire boundary is

set in a similar manner.

We use a system of grids of various mesh sizes to enhance

the efficiency of convergence of the system (A-4) and (A-7).

We derived our method by a generalization of a technique in

the minimum-curvature algorithm of Swain (1976). Our

method shares some similarities with the multigrid methods

developed for the second-order equations of fluid dynamics

(Hackbush and Trottenberg, 1982: Brandt, 1984; Fulton et

aI., 1986).

In the iterative solution, the array Zstarts with some initial

values which are then changed by an amount ilz when

convergence is achieved. From equations (A-4) and (A-7)

and Figure 2, it can be seen that in each iteration the new

value computed for each zij is a weighted average of twelve

neighboring values. The iteration operator is a local smooth-

ing process, and as a consequence short-wavelength compo-

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Gridding with Splines in Tension 305

nents of ~ z are found quickly. Conversely, iteration does not

efficiently propagate the effects of data constraints to long

wavelengths. For this reason our algorithm does not begin

iteration on the array which is ultimately desired; instead,

we first find a long-wavelength solution on a coarser mesh

consisting of every Nth point in the x and y dimensions of the

final (desired) array. We begin with the largest N which

divides both grid dimensions (and leaves at least four points

in each direction so that some work needs to be done). The

above system is solved to convergence on this sparse lattice.

Then we divide N by its largest prime factor, exposing new

nodes in a finer mesh. These new points are initialized by

interpolation from the previous mesh, and then the system of

equations on this new mesh is again iterated to convergence.

We continue this cycle until N = I and the full system has

been solved.

Multigrid techniques (Hackbush and Trottenberg, 1982;

Brandt, 1984; Fulton et al., 1986) include both coarsening

and fining mesh transfers in sequences called V-cycles. We

use the simpler approach of starting with the coarsest

convenient grid and successively fining (one half of one

V-cycle). It can be shown (Ahlberg et al., 1967) that a

coarse-mesh spline is the best estimator of a fine-mesh

spline; in this sense we are starting with optimal initial values

at each successive stage, since only short-wavelength per-

turbations to the solution need to be found. These local

corrections are exactly what iteration of equations (A-4) and

(A-7) performs efficiently. The computing time spent on the

coarse meshes is small because the number of points in each

lattice is only l/N

2

of the final number of points; the use of

a series of meshes results in fewer iterations on the final

(N = 1) stage and less total run time than if the solution had

begun directly on the final grid. The coarse stages run so fast

that we actually use EIN as the convergence limit at each

stage, where E is the convergence limit set by the user for the

final stage. This allows the user to choose a reasonable limit

to be used on the final grid when the iterations are slow, but

makes a better approximation of the long-wavelength com-

ponents without much increase in total run time.

Equation (A-7) is constructed from the condition that the

grid must interpolate the data constraints exactly (to second

order in the Taylor series), and thus the prediction error of

the surface would be zero if the equations could converge to

E = O. In practice, we have observed that this sequence of

coarse grids with division of N by its largest prime factor at

each stage results in a smaller prediction error than any other

solution strategies we tried. The minimum-curvature solver

of Swain (1976) uses a similar sequence of coarse grids,

except that his sequence of grid mesh N values is limited to

powers of two and the initial N must be chosen by the user.

Our algorithm allows any N and finds the initial N automat-

ically. In map applications using a latitude-longitude mesh in

minutes of arc, the grid dimensions commonly have factors

of 3 and 5 as well as 2; and in these cases our mesh system

goes through more intermediate stages than Swain's algo-

rithm. We find that these extra states result in faster total run

time, smaller prediction error, and better overall visual

quality of the surface.

With the use of multiple grids, each lattice is initialized by

an interpolation from the previous stage, and therefore only

the first (coarsest) lattice needs to be seeded with initial

values prior to iteration. In Swain's (1976) algorithm, this is

done by a weighted average of points inside a user-specified

radius. We have retained this feature as an option to be used

when the grid dimensions have few common factors and the

coarseness factor N starts near 1. However, because we

have removed a planar trend from the data prior to iteration,

we find that in most cases involving several regional grid

stages it is adequate to begin with the coarse-lattice values

initialized to zero.

Downloaded 06 Jun 2011 to 158.251.6.71. Redistribution subject to SEG license or copyright; see Terms of Use at http://segdl.org/

Adjustable tension b) o 50 o+---~---'- ~ -200 -300' ~. their disadvantage is that they do not easily yield confidence limits. ~ :L -800 -700 -. Navy's SuperMISP) are in widespread use in the earthscience community. and Cline (1974) has adapted Schweikert's spline to curves in the (x. In this paper we present a type 2 modification.S. Schweikert (1966) showed that a spline in tension eliminates these inflections. Solutions of type I are called smoothing splines (cf. a compromise is made between the misfit to a) the data and the curvature of the solution. 1966). .. Our method produces a suite of surfaces with continuous second derivatives of which the minimum-curvature surface is one end member.org/ . The black squares are data constraints. Swain. We show how the minimum-curvature gridding method (Briggs. interpolates the data exactly but relaxes the constraint that the total curvature must be minimized.... Lancaster and Salkauskas. and Sandwell (1987) solved the same equations by a matrix method.. 1973. but have large oscillations between these points. 1976. Note in Figure 1b that the control data can be interpolated with a function which is everywhere concave down (e. (a) Cross-sections through surfaces produced with splines in tension. 1974. The heavy solid lines in Figures la and Ib are profiles through minimum-curvature surfaces.. the surface fits the data exactly. Note that all solutions honor the data points.251. the U. The heavy line is the minimum-curvature end member. 1986). The second (type 2) modification. Downloaded 06 Jun 2011 to 158.294 Smith and Wessel the surface such as high-order continuity cannot be assured a priori. i . 1988)are prepared by the minimum-curvature method. an interpolant with continuous second derivatives is constructed such that the squared curvature integrated over the entire surface is minimized. at the same time..S. The minimum-curvature method introduces an extraneous inflection point and exceeds the -100 m level..6. Variations on the Swain algorithm (e. The method we present here is a generalization of a popular integral method called "minimum curvature. For example. Increasing the tension parameter relaxes the global minimum-curvature constraint by moving toward a solution with curvature localized at the control data points. the gravity and magnetic anomaly maps of North America (GSA Map Committees. It may have the large oscillations between constraints shown in Figure la. The advantage of these methods is that they assure a solution with the desired properties.. Inoue (1986) has given a type 1 modification in which the damping of first and second derivatives is traded off against the data misfit under a least-squares norm.. and the dashed line is an intermediate case using some tension. One class of type 2 solutions is splines in tension (Schweikert. de Boor. Integral methods begin with the requirement that the surface should minimize some global norm over some set of functions of the data. see Terms of Use at http://segdl. ''-:'-. 1987) can be generalized to include tension in the interior and boundary equations. Spath (1973) has given Schweikert's (1966) equations in a strictly diagonally dominant tridiagonal matrix form. Two modifications to this spline have been used to avoid these oscillations. Swain (1976) gave a Fortran algorithm based on Briggs' method. Briggs (1974) derived the equations and suggested their solution by iteration of finite-difference expressions.. ~--+ -800 50 100 150 Distance (km) FIG. Sandwell. and we show common geologic examples where minimum curvature produces undesirable results but the introduction of tension significantly improves the solution. 1978. Lancaster and Salkauskas. the minimum-curvature interpolant is the natural bicubic spline which can have the same oscillations and extraneous inflection points as in the one-dimensional (I-D) case. NGDC. the thin line is the harmonic end member. The surface produced with tension gives a much better approximation since it suppresses local maxima and minima between data constraints. These intersections (contour coordinates) were then gridded using minimum curvature (heavy solid line) and some tension (thin solid line). de Boor. In two dimensions. The first (type I) modification relaxes the requirement that the data be interpolated exactly. 1986). the thin solid line). the weights are then determined to satisfy this constraint while fitting the data. Navy (Van Wyckhouse.g. Again the same methods may be used to suppress these features. yet the minimum-curvature solution (heavy solid line) changes concavity. This behavior in unconstrained regions may be undesirable in some applications. 1978." In the minimum-curvature method. and the Digital Bathymetric Data Base of the U. In one dimension.>. The black squares represent the intersection between the measured bathymetry (dashed line) and 100 m isobath contours. Redistribution subject to SEG license or copyright. in contrast to the first. (b) Cross-section through a continental shelf and slope. This is essentially a two-dimensional (2-D) smoothing spline which does not fit the data exactly. although we know that bathymetry in this region is bounded by the -200 m and -100 m levels.g. 1987). They honor the data at constrained points. 1. -4ooJ J ~ -500... The oscillation of the natural cubic spline can result in extraneous inflection points. the function with continuous second derivatives that interpolates the data constraints exactly and minimizes total curvature is called the interpolating natural cubic spline (cf.71.. y) plane.

The nomenclature comes from an analogy with elastic-plate flexure. Swain (1976) gave a method for iterative solution of the finite-difference equations of minimum curvature (Briggs. zero vertical shear stress on the edges [equation (4)].g. Small displacements z of a thin elastic plate of constant flexural rigidity D. Then equation (6) becomes 2 (V Z) 2 dx dy.6. and zero twisting moment at the corners [equation (5)] (Timoshenko and WoinowskyKrieger. and therefore the minimum-curvature solution is one endmember case of equation (8). and the boundary conditions are (3) and (4) along edges. All the lines in Figure Ia and the solid lines in Figure Ib are profiles through surfaces produced by our method. AND TENSION Gridding equations and physical analogs Minimum-curvature gridding algorithms use the norm c= II zero. It is clear from Figure I.z ax 2 ax ay -- a2z + Tyy 2 -2 ay a z]= q (6) (1. An important property of this solution is that it cannot have local maxima or minima except at constraining data points (this follows from the interior mean value theorem for harmonic functions. The total stored elastic strain energy in the flexed plate is approximately proportional to the curvature (1).. Physically. (1) (7) When T = 0. thejj represent the strengths qlD of point loads on the elastic plate. where a/an indicates a derivative normal to an edge. If one imagines bending an elastic plate to interpolate the data. Note that for any TI in 0 :s TI < I. the solution is dominated by the second term. 1966). and ax ay A=o (5) at the corners. We also discuss how the convergence can be improved to achieve an order of magnitude reduction in run time of the original Swain algorithm. TI = 1 represents infinite tension. We show that including tension in these equations results merely in a change in coefficients. equation (7) is equivalent to equation (2).[a 2 + 2Txy Tx x . mathematically. they are coefficients in a solution which is composed of a linear combination of Green's functions for plate flexure due to unit point loads. then extra work must be done on the plate to create any interpolant other than the minimum-curvature solution. since infinite tension is not physically meaningful. (We specify tension on the boundaries independently of TI . The free-edge condition corresponds Downloaded 06 Jun 2011 to 158. equation (8) gives a solution with continuous curvature. 1927). and (5) are called free-edge conditions. however. When TI = 0. with oand I giving the end-member cases shown as solid lines in Figure la. 1974).. Briggs (1974) showed that minimizing equation (1) leads to the differential equation V2(V 2Z) = 2: jj 8(x i Xi. that the minimum-curvature constraint may create extraneous oscillations. one may prefer to think of this end member as representing the steady-state temperature field in a conducting plate with heat sources or sinks at the data points. In the elastic analogy.251. of all twicedifferentiable surfaces interpolating the data. we avoided this by writing Equation (1) is a valid approximation for the total curvature of Z when IVz Iis small. the first term in equation (8) vanishes. equation (8) reduces to equation (2). although it does not minimize equation (1) except when TI = O. Equations (3)..) are constraining data. We implemented boundary tension with conditions (4) and (5) above but replacing condition (3) by . and therefore any minimum-curvature algorithm based on Swain's method can easily be modified to solve our equation. as (x. e.71. We derived our equation by investigating the role of a uniform isotropic tensile stress T in equation (6). 1968). equation (2) has a unique solution with continuous second derivatives called the natural bicubic spline. The minimum-curvature solution may seem to be the "natural" way to estimate poorly constrained grid values. and the boundary conditions represent zero bending moment on the edges [equation (3)]. Suppose that Txx = T vy = Tand Txy = O. subject to a vertical normal stress q and constant horizontal forces per unit vertical length of r. (2) where (Xi' Yi' z. but for arbitrarily large T. Berg and McGregor.org/ . When T I = I. and with these conditions.TB ) -a2Z + TB -az = 0. Thejj must be chosen such that z ~ z. Redistribution subject to SEG license or copyright. y) ~ (Xi' Yi). (4). approximately satisfy "2("2) Dv v z where TI is a tension parameter and the I subscript indicates internal tension. the minimumcurvature surface stores the least strain energy.) Now we may vary TI from 0 to I. and Tyy . MINIMUM CURVATURE.Gridding with Splines in Tension 295 permits the gridding of data of varying roughness and allows the user to satisfy his own criteria for a good solution. Y . and the solution is harmonic between constraining points. r. an 2 an (9) (Love. The minimum-curvature gridding equation (2) is a special case of equation (6) when horizontal forces are where TB is a tension parameter for the boundary which also varies between 0 and I. Here T has units of force per unit length and the T required to adjust the solution scales with D and q. see Terms of Use at http://segdl. A C language program which incorporates all the features of our method and the sample data gridded in the examples in this paper are available from the authors on request.Yi). ELASTIC PLATE FLEXURE.

and only a limited number of data constraints can be fit exactly. y) now has a Nyquist wavelength. At grid nodes unconstrained by data. We have found that this approximation is not numerically efficient. the complete solution to equation (2) or equation (8) consists of a linear combination of Green's functions for plate flexure by point loads. the value of the surface at the square is given by a weighted average of the values at the circles. and the stability and convergence of solutions to equation (2) or equation (8) are enhanced by including a regional field model. This additional function we call a "regional field. In our algorithm. solving equation (8) requires no more computational effort than solving equation (2).Yi) = z. the weights are proportional to the square of the wavenumber. and only the relative weights (coefficients) change. 1987) is to express z(x. for any value of T[ (except the limiting case T[ = I). because the ratio of the distances between the farthest pair and closest pair of data points is large (this is always true for data collected along traverses or tracks). We therefore follow the suggestion of Briggs (1974) and solve equation (8) directly by iteration of the difference equations among the grid values (see the Appendix).org/ . The most direct approach (Sandwell. and solutions must be found by iterative refinement and possibly also smoothing by zeroing small eigenvalues. 1978) may be applied to the curvature norm (I) to show that squares of Fourier components of z are integrated with weights proportional to the fourth power of their wavenumber: short wavelengths in z contribute much more to C than long wavelengths. a linear equation among the points shown in Figure 2 results. we assign each datum to its nearest grid node. This procedure is always stable and allows us to control the path taken in interactive refinement of the solution. statistical methods require that a regional field be removed from the data so as to make the residuals stationary. if the same is done for a 2-D grid. This procedure has the additional effect that the boundary tension TB drives the solution toward the regional plane rather than toward a horizontal plane.296 Smith and Wessel to TB = 0: TB = I forces the solution to flatten at the edge (see Figure I). Tension relaxes the global minimumnorm constraint in order to find a solution with more local variation and is suitable for gridding data which vary more rapidly with distance. and then the Z values on the grid nodes are found from the linear combination of Green's functions given by these Ii' Unfortunately. f is a vector of unknown coefficients i. CONSTRUCTION 01<' A SOLUTION geophysical parlance). generally resulting in a band-diagonal system whi~h is easily solved.. one could write the finite-difference expressions for equation (2) or equation (8) in terms of the values at the grid nodes and solve this system. Alternatively.251. Regional fields Nearly all minimum-norm gridding equations operate on perturbations from a regional trend." Swain (1976) and Sandwell (1987) did not include a regional field in their solutions to equation (2). I-D splines are usually constructed by writing these difference equations in matrix form. y) plane nearest the grid node indicated with a black square. Ignoring the regional field means that the true regional function is approximated by a linear combination of Green's functions for plate flexure. Because equation (8) has one more term than equation (2). The tension parameter in equation (8) effectively defines a weighted minimum-norm problem related to the direct minimum-norm solution (2). Data in this dashed region are assigned Downloaded 06 Jun 2011 to 158. a large and sparse matrix results. plus an additional function which is a solution to the homogeneous equation related to equations (2) or (8). the regional trend is approximated by removing a least-squares plane from the data before solving equation (8). For example. ~y).. when T[ = I. In the integral method above. and the grid estimates are then constructed as estimates of the local departure from this regional trend. and therefore some column vectors of the Green's matrix G are nearly parallel. the dashed square surrounds all points in the (r . In our algorithm. Tension as a weighted minimum-norm solution Rayleigh's theorem <Bracewell. when either equation (2) or equation (8) is approximated in terms of central finite differences among grid values. Finite-difference approach There are many ways to solve equations (2) or (8). This flattening is sometimes desired. the same linear system relating the twelve circles to the square must be solved. Thus. in This matrix equation is solved for the ii.71. the solution with tension actually converges faster than the minimum-curvature solution. as when gridding potential anomalies which should decay toward a regional background field away from the source region. Redistribution subject to SEG license or copyright. In fact. The numerical solution is path-dependent and so this flexibility is important. The Laplacian of the surface at the square involves the four shaded circles. However. the biharmonic of the surface thus requires all twelve circles. Adjusting the tension parameter T[ in equation (8) determines the weight of the shaded circles relative to the unshaded ones. Implementing data constraints Once the user has chosen a discrete grid with lattice spacing (~. The near-singularity of the Green's matrix and the large and sparse nature of the finite-difference matrix make these matrix methods unstable. and a program which solves equation (2) can be trivially modified to solve equation (8). because increasing tension gives more weight to the shaded circles in Figure 2 and leads to a more local solution. it may seem that it is more complicated to solve equation (8). where G is a matrix of Green's functions (the data kernel. and d is a vector of known data constraints z(x i. z(x.6. y) is effectively limited. Minimizing C yields a solution with power concentrated at long wavelengths and is suitable for gridding data which vary slowly with distance. the information content of z(x. y) as a linear combination of Green's functions for equation (2) or equation (8) and to construct a matrix equation Gf = d. This weighting increases curvature locally near the constraining data and yields a solution with more shortwavelength power. however. However. In Figure 2. see Terms of Use at http://segdl. We add the plane back into the grid values after equation (8) is solved. this approach often yields a system which is nearly singular.

it means that further improvements in the result will be smaller than E for each iteration and are therefore not worth the effort. then the surface would fit the data exactly. in the sense that the Taylor series expansion would match the data constraints with zero prediction error. ~ . However. we expect that the data have been preprocessed to give only one filtered value per grid node. Briggs (1974) gave an approximation for V 2 z at a grid node in terms of other nearby grid values and one off-grid data constraint. Because we solve these equations iteratively with finite precision. if the (x. In any case the same linear system must be solved and only the weights change: thus any minimum-curvature algorithm can be easily modified to include tension. one might solve equation (8) separately for each datum in turn and then average the solutions. the surface is locally overdetermined and some sort of smoothing or data decimation is required. then 0. (8). If the difference equations were to converge exactly. Increasing the tension in equation (8) increases the weight of the shaded circles relative to the unshaded ones. and convergence to maximum absolute error of one part in 104 can be achieved in short run times (the meaning of "short" is relative to the number of nodes in the lattice). Users of gridding algorithms often grid data in map coordinates. We also generalized the regional grid strategy of Swain (1976) and included successive overrelaxation to accelerate convergence. the value of that grid node is set equal to the datum value.org/ . we can implement data constraints in equation (8) by modifying Briggs' method (see the Appendix). Data constraints are assigned to their nearest grid node. and we do not need to solve for Ii explicitly. Redistribution subject to SEG license or copyright. The expression uses a second-order finite-difference Taylor series expansion to predict the value of the interpolating surface away from grid nodes. We have found empirically that the mean prediction error is always nearly zero (thus the method is unbiased). Convergence The gridding equations (4). which we then interpolate exactly. and TB and an additional parameter for grid anisotropy a. we do not reach the true solution. the user enters a tolerance for numerical convergence.71. but also because optimization yields a solution closer to the true solution. When either equation (2) or equation (8) is expressed in central finite differences among the grid nodes. We have included an aspect ratio a in our algorithm. see Terms of Use at http://segdl. This does not mean that the result is within E of the true solution. Using this approach. and the prediction error is of this order. because the system is linear. but if more than one data value constrains a given node. That is.. the constraining datum enters the local difference equation through the Taylor expansion. at high latitudes the anisotropy in distance on a latitude-longitude grid can be significant. This method requires only one fourth-order solution for each node. Optimization of this path is important not only to achieve convergence in only a few iterations.'(l()) 0(2()) -2) FIG. Because the solution is found to finite precision. and if it is done outside the gridding process. = cosine (latitude). y) coordinates of the datum match those of a grid node. where the grid dimensions are such that dy = dxkx.«()oj .. which is an average of the original data. (5). we have decoupled the averaging process from the gridding process. Subscripts in parentheses illustrate the indexing scheme used in the difference equations in the Appendix. and an nth difference in y is scaled by a" to accommodate the anisotropy. Because spatial filtering procedures are generally useful apart from gridding and the best filtering method is application-dependent. We do not recommend this procedure. With these improvements. If we have at most one data point nearest each grid node. it reduces the number of data points that need to be stored in the gridding program's memory. and (9) have a unique solution which we may call the true solution. our algorithm does not include any provision for smoothing or averaging data at overdetermined nodes. we can fit these data exactly. since it can alias information at wavelengths shorter than the Nyquist wavelength of the grid. 2. Since both equations (8) and (2) are equations in V 2 z. but we include the tension parameters 1'. To make use of all the data. If x = longitude and y = latitude. . the estimate at one node (the black square) is given by a weighted average of the values at 12 nearby nodes (circles). it is equivalent to solve equation (8) with one representative constraining value. the fit is not perfect.Gridding with Splines in Tension 297 to this node.251.6. our algorithm solves the isotropic minimum-curva- . producing a more local solution. Downloaded 06 Jun 2011 to 158. -. We generally follow the method of Swain (1976). We consider our iterations "converged" to limit E when the maximum absolute change at any node during one iteration is less than E. Convergence in computation is not the same as convergence in mathematics. Details of our solution strategy are given in the Appendix.2 ()) e(_lj) . a datum inside the dashed box is used to constrain the grid value at the square. Swain (1976) uses the datum nearest the node and ignores the others. Often our preprocessing consists simply of finding the mean or median value at the mean or median position in each block of area nearest each node. One important feature of the Taylor series method for fitting the data is that it honors a datum exactly when that datum falls on the lattice. and our result depends not only on the convergence limit of the iterations but also on the path taken toward the solution. 0(_.

1989) and then 5 by 5 minute block mean values were computed. Tension suppresses the oscillations found in (a) and (c) and reduces the magnitude of the unconstrained low to less than 10 mGal.10' 21' . Locations of control data are indicated by black squares. Both maps c) ture problem in one-tenth the time required by Swain's algorithm.251.1 .71. 10 mGal contour maps of the gravity field from offshore Mauritania. ' O. Figure 3a was prepared using T[ = 0 in equation (8)..~======Jj 25' d) 2~' .10' . (c) A perspective view of the shaded region in (a) from a vantage point above and northeast of the high.\' . .. while the other tracks measured values near zero.. The locations of the input data values are shown as squares. i. A positive anomaly of -175 mGal was registered along the northeast trending track. .org/ .3 in equation (8). 24' 23' . FIG. Downloaded 06 Jun 2011 to 158.10 ' b) 22' 25·f¥-- - 20' .."""'''''--====~=:!! 22° 21' . 0 21' . (J . (d) The same perspective view as in (c) of the surface produced with tension..298 Smith and Wessel marine geophysical data base.. (a) The surface produced by the minimum-curvature method has an unconstrained low south of the constrained high.1 ' 0' '..10' " 2. These mean values were input to our gridding algorithm. The data were cross-over error corrected (Wessel and Watts. GEOLOGIC EXAMPLES AND THE USE OF TENSION The "questionable dipole" example For this example we use shipboard gravity measurements from offshore Mauritania which are in the Lamont-Doherty a) 20' 30' 1. 1988. In Figure 3 we show two contour maps prepared from these data. Figure 3b shows the same datagridded with T[ = 0. except that the unconstrained low has been reduced significantly. The oscillatory nature of the minimum-curvature surface is exemplified in the unconstrained low.1 ' ~----=~=::::==.10 ' 2. see Terms of Use at http://segdl.3) looks very similar to (a). Wessel.10 ' 21' 20' . Redistribution subject to SEG license or copyright. (b) The surface produced with some tension (T[ = 0. . with some tension in the gridding surface.F===:r==---.e.< .. 3. applications using tension converge even more rapidly because of the more local nature of the solution in tension. corresponding to the minimum-curvature method..6.

Regions shallower than 15 m below sea level are shaded. a high-low dipole might be expected. (a) Map of U. (b) Profile along the Vema 17-11 track. this low can be made to disappear. Thin line: actual bathymetry observed by R!V Vema. and tension has been shown to eliminate these inflections (Schweikert. shallower than 15 m below sea level. In Figures 3c and 3d we show perspective views of the shaded portions of the gridding surfaces of Figures 3a and 3b. When two contours are separated by a large distance. However.. These views illustrate the oscillatory flexure of the surface obtained by minimum-curvature gridding. which can have no local maxima or minima between data points. In these views we have "cut away" the data east and north of the center of the high and are looking at the remaining region from a vantage point above and northeast of the high. revealing" shelf-break bulges.6." Heavy line indicates ship track of R!V Vema cruise 17-11. Heavy line: DBDB-5 data set sampled along the Vema 17-11 track. while the dipole mayor may not be real. The minimum-curvature solution is clearly wrong in this application. Le.71. 1966). ' 00 ••\00 . 1978). while if the data were bathymetric soundings. For example. Navy DBDB-5 bathymetry contoured at 1000 m intervals. The second is that increasing the tension moves the solution toward the harmonic end member. Watts. The first is that the bulge results from an extraneous inflection point." However. The shelf-break bulge occurs where there is a large b) 100 ' 00 300 400 I-:: · 100 _ . In Figure 4a we have contoured this data set and shaded regions with elevations above -15 m. Including tension in the solution works very well (thin solid line). we found the locations of 100 m contours of the ship data and used the coordinates of these contours as the controlling data points. and the thin solid line is a section through a solution produced with some tension. the surface is of bounded variation on that interval. Gridding with tension reduces this low to less than 10 mGal (Figure 3b). Redistribution subject to SEG license or copyright. Other tracks near this feature recorded gravity values near zero. Note that there are no data at all in the region of the dipole low. there is a .251. certainly. NGDe.S. The minimumcurvature map suggests a dipole anomaly. This situation is quite different from the "questionable dipole" example. the low might be considered spurious. Downloaded 06 Jun 2011 to 158. The point is that with our method the result may be adjusted as is geologically appropriate. The heavy solid line is a section through the minimum-curvature solution. SO<! 100 SO<! Di stance (k m) FIG. we know that the average gradient in that region is probably small. if the data in Figure 3 were magnetic-intensity measurements. The most significant difference between the two maps is at the unconstrained low to the south of the constrained high. What we are illustrating here is that attempts to grid surfaces using the coordinates of isopleths of the data suffer from a peculiar lack of information. the shelfbreak bulge is a clear case of extraneous inflection points. If the surface had a bulge as shown by the heavy solid line in Figure lb.Gridding with Splines in Tension 299 show a feature with a 175 mGal high which was observed along the northeasterly ship track. The heavy line displays a "shelf-break bulge" which occurs where an unconstrained area lies between two areas constrained to have different gradients. The user must decide whether he wants this low in the map or not.. it is not obvious that minimum-curvature gridding has done anything wrong. This feature is well suited to gridding isopleth data. instead. The "shelf-break bulge" distance between constraining isopleths. see Terms of Use at http://segdl. The shading reveals Figure Ib contains a vertical cross-section through an actual bathymetric data profile over a continental shelf and slope (dashed line) and two attempts to reproduce this bathymetric surface by gridding the coordinates of isobaths (squares).25 mGal low to the south of the 175 mGal high in Figure 3a. A lesson to be drawn from Figure 3 is that we should always plot the locations of constraining data on our contour maps. the gridding algorithm only sees an unconstrained region.org/ . By increasing TI in equation (8).S. Shelf-break bulges are common features in the U. 1988). and in gravity data a flexural moat around a seamount high is sometimes reported (e. Navy's Digital Bathymetric Data Base (Van Wyckhouse. 4. we cannot say whether this low exists or not. 1973. of course. There are two reasons for this success. then there would have been another 100m contour value somewhere as the bulge turned down to the continental slope.. Note in Figure 3d that tension results in a much sharper transition in the unconstrained area between the constrained high and the constrained flat regions. In this "questionable dipole" example. the validity of the low anomaly is a subjective decision.' 00 . In this example we did not use the actual ship's bathymetry (dashed line) to constrain the gridding.g. a situation very similar to the one that produced the "questionable dipole./ VI ~\ 200 300 · 11)11 . In the next two examples. we show that the minimumcurvature surface produces clearly undesired results.

with T[ = 0.6. Figure 4b shows a profile along the line in Figure 4a.= ::::.-=r::. .. Bathymetric map of Broken Ridge Figure 5a is a bathymetric contour map of Broken Ridge in the southern Indian Ocean (Driscoll et aI.. (a) This map was hand contoured by a marine geologist using bathymetry from the Lamont-Doherty data base and additional data not available to us (Driscoll et al. Figure 5b is made with minimum curvature. The minimum-curvature solution (b) has large oscillations and a "false island" rising 900 m above sea level (gray shaded area).:=:. and Figure 5c. The differences between Figures 5a and 5c and the minimum-curvature map (Figure 5b) are quite clear..71. minimumcurvature produces a bulge in this example as well..251.org/ . (b) and (c) are generated by machine gridding of only the data in the Lamont-Doherty data base (locations shown as black squares). The major differences occur in regions of interpolation and extrapolation. . In Figures 5b and 5c we have tried to approximate the hand-drawn map by machine gridding and contouring the Lamont data only. the heavy line shows the DBDB-5 depths along the Vema track.. .==1/ 29 ° b) 30 ° 31 ° c) FIG.::r ' ' ! . In the next example we grid bathymetry data directly.:.75. and we do not know how much the geologist was influenced by the DMA data which are not included in our map.75 (c) shows good agreement with the human interpretation (a) in the unconstrained regions.300 Smith and Wessel Doherty using bathymetric soundings from the Lamont data base and additional data from the Defense Mapping Agency which are not in our digital data base.. In the unconstrained areas near the boundaries of the map. see Terms of Use at http://segdl.. 1989). resulting in bulges which then have been truncated ad hoc to a -10 m level. the prominent bulges in the continental shelf offshore South America.::::. Downloaded 06 Jun 2011 to 158. Both machine-drawn maps are in general agreement with the hand-drawn map in the regions well constrained by data.:::::. There are local differences. the major features are quite similar. 1989). 5. The thin line in Figure 4b is the actual bathymetry observed by R/V Vema cruise 17-11. This map was hand contoured by a marine geologist at Lamont- a) 94° 93° 95° 96° 92° 1l"'"--""'''I''ir . While Figure 5c cannot match the hand-drawn map exactly. A solution using T[ = 0. Redistribution subject to SEG license or copyright.:.. . . Bathymetric maps of Broken Ridge in the southern Indian Ocean. We believe that the Navy has gridded contours of the original data.

Practical geostatistics: Applied Science Publ. B. 71-91. L. and the Shipboard Scientific Party. A least-squares smooth fitting for irregularly spaced data: Finite-element approach using the cubic B spline basis: Geophysics. P. such as when one makes a gridded age data set from the locations of magnetic isochrons of the sea floor. D. Menke suggested the temperature field analogy for the case T[ = 1. Multigrid techniques: 1984 guide with applications to fluid dynamics: Gesellschaft fur Mathematik und Datenverarbeitung mbH Bonn. Haxby and A. The minimum-curvature gridding method has been widely applied to bathymetry and other data for which it is not well suited. National Geophysical Data Center. REFERENCES Ahlberg J. 1927.251. 1989. ETOPO-5 Bathymetry! Topography Data. such as the norms on harmonic splines used by Shure et al. P. but frequently gridded values are needed. J. We do not know how kriging would work on isopleth data. K. 1986. Bracewell. Richards.. Ocean Drilling Prog.. A stochastic modelfor the creation of abyssal hill topography at a slow spreading center: J. W. 1665-1675... and Trottenberg. Love. J. A. Data Announcement 88-MGG-02: National Oceanic and Atmospheric Administration. the complete spatial autocorrelation of data given only along ship tracks is very difficult to compute and include in a simple kriging procedure.J. Cline. A. Sometimes it is necessary to grid data which are intrinsically isopleths. Doveton. 39-48. Meteorol. W. 1988. 1978. Machine contouring using minimum curvature: Geophysics.. John Wiley & Sons. C. Scalar and planar-valued curve fitting using splines under tension: Comm. the geophysicist must usually relate the anomaly to the topography of the source region. 1986. c. 1974... one should not grid isopleth coordinates if the original data are available. Watts brought to our attention the importance of regional fields and solutions to the related homogeneous equation. Ltd. Inoue. Weisse!. Multigrid methods: Lecture notes in mathematics. 1. Eds. However. 4th ed. 1984. Lancaster. E. and the reviewers and editors of GEOPHYSICS provided many helpful comments. our examples show that minimum curvature makes very poor bathymetric maps. they define regions of bounded variation. This work was supported in part by Office of Naval Research contract TO-204 scope I and National Science Foundation contract no. Karner. and Sandwell (1987) have all used it for potential-field data. U. Fulton. C. 114. 17. and Schubert. A treatise on the mathematical theory of elasticity.. Probability methods in oil exploration: John Wiley & Sons. Gravity anomaly map of North America: Geol. E. A. Soc. S. J.. 1986.. H. but. and McGregor. more important. However. N. Inc.. Davis. 1989. Driscoll. and Walsh. Am. and Gilbert. Hackbush. R... Downloaded 06 Jun 2011 to 158. Berg.. Multigrid methodsfor ellipticproblems: a review: Am. Swain (1976). A. Malinverno. (1982) for magnetic data. and Briggs (1974). W. 1979. Curve and surface fitting: Academic Press Inc. W. Commerce. ed. H. W. Res. 121.. We realize that there is no physical reason for using a plate-flexure equation to grid data such as gravity or topography measurements. Gridding with tension is an improvement because it adds a degree of freedom and relaxes the minimum-curvature constraint.71.. Redistribution subject to SEG license or copyright. P. and a contour map is the only published form of the data. Committee for the gravity map of North America. A. and Davis.. N. Lamont-Doherty Geological Observatory contribution number 4555... 960. J. Inc. 1. Inc.g. This "island" is certainly an unacceptable feature of this map. Since it is straightforward to modify a minimum-curvature algorithm to include variable tension.6. which are expected to define relatively smooth analytic functions. Obviously. 1974. de Boor. Harbaugh. Brandt. U.. R. 2051-2066. Nilson. H. Inc. G. H. Lerner-Lam.. since topography data seem to be well suited to stochastic descriptions such as fractals and ARIMA models (e. 1978. A general gridding procedure is therefore a practical necessity. 1977. The smoothest possible twicedifferentiable surface should not approximate topography very well. However.S. 1967. 39.. we feel that continuous curvature gridding with adjustable tension provides the flexibility to handle many cases which arise in the earth sciences. in the interpretation of potential field anomalies. We have shown that in some applications minimum curvature gives undesired results.W. Dept. Geophys. A practicalguideto splines: Springer-Verlag New York. E.. W.Gridding with Splines in Tension minimum-curvature solution has large undulations and actually rises above sea level for a considerable portion (shaded area in Figure 5b).. something one might have expected from the start. DISCUSSION 301 It should now be clear that minimum curvature is not the ideal gridding method for all applications... F. We do not claim that our method is ideal in all applications. 1982. 1989). 1987. 1966. The notion of the autocovariance of sets of equal values seems rather problematic.. E. ACKNOWLEDGMENTS We wish to thank N. OCE-86-14958. P.. L. 51. Isopleth data are a challenge for any algorithm. Magnetic anomaly map of North America: Geol. The minimum-curvature method was advocated by Briggs (1974) for its smoothness properties. Isopleth coordinates contain some information about the locations of values of a function. Elementary partial differential equations: Holden-Day Inc. Driscoll for allowing us to use his map of Broken Ridge (Figure 5a).. 94. 1986. Soc. We have shown that gridding with tension works well for isopleth data because the end member T[ = 1 in equation (8) cannot have local maxima or minima between constrained points. Statistics and data analysis in geology: 2nd. and Salkauskas. L... W. Briggs. Malinverno and Gilbert. Stratigraphic and tectonic evolution of Broken Ridge from seismic stratigraphy and Leg 121 drilling: Initial Rep..943-959. H.J. it is common for scientists to become familiar with one method of solution and use it in a variety of applications. ACM. A. and he or she often wants to treat the potential field data and the topography data with the same procedure. G. see Terms of Use at http://segdl. Soc. K.org/ . 218-223. Committee for the magnetic map of North America.. and that including tension in the solution overcomes these difficulties. C. The theory of splines and their applications: Academic Press Inc. Clark. Am. we suggest that earth scientists who already use minimum-curvature algorithms should include this feature. 1987. We feel that grid ding with tension is an acceptable method for topography data: it is a more local scheme than minimum curvature and better reflects the nature of the autocovariance of topography data. It may be that kriging is a better approach. Malinverno. J.. N. Springer-Verlag. Ciesielski.: Dover Publ. Also.. Integral gridding methods can be designed for the physics of the particular application. Monthly Weather Rev. The Fourier transform and its applications: McGraw-Hill International.

(A-I) Similarly. and Watts. G. Harmonic splines for geomagnetic modelling: Phys. Timoshenko. F. and Woinowsky-Krieger. 1986. 1973. 83. Res... Roache. the homogeneous equation Our notation is shown in Figure 2. Soc. W. Sandwell. D. 1.. Difference expression including a constraining datum -Z = aZ[zol . and Vetterling. 76.. S.. Rep. W. 59896004. P. Press.. see Terms of Use at http://segdl. Trans. this expression reduces to the difference expression given by Briggs (1974) as his equation (12). Numerical recipes: Cambridge Univ.4(1 + aZ)[zlo +Z-IO + aZ(zol +zo-d] + (6 + 8a z + 6( 4)z oo .org/ . H. C. J.6. We allow for anisotropy with an aspect ratio a = . W. 1982. 210. Theory of plates and shells: 2nd ed. To find VZz at Zoo.<ix. 1976. 1. Res. Geophys. Van Wyckhouse. Schweikert.. J. P. 696--702.. D. Watts. 333-346. 1988. 93. Lett. and Backus. 231-240.<ix = 1.. Am. Richardson. S. Biharmonic spline interpolation of GEOS-3 and SEASAT altimeter data: Geophys. W. Assn... with an application to the stresses in a masonry dam: Phil. 139-142. (A-2) Downloaded 06 Jun 2011 to 158. SYNBAPS. S.. 92-111. 1973. Swain. English translation by APPENDIX SOLUTION BY ITERATION OF FINITE-DIFFERENCE EQUATIONS Difference expression for the homogeneous equation Using the finite-difference approximations (A-I) and (A-2)...251. and ZI_I appearing in an equation with Zoo refers to Zi+lj-I. 215-229. In the particular case of minimum curvature (T = 0) on an isotropic grid (a = 1). and Wright. Spline algorithms for curves and surfaces: Utilitas Mathematica Publ. Math. T. 79.. Flannery. Olea. Young. P. An analysis of isostasy in the world's oceans. Wessel. A. D. 1966. Thus Zoo refers to the current zij. A FORTRAN IV program for interpolating irregularly spaced data using the difference equations for minimum curvature: Computers and Geosciences. L. 28. Geophys. 1954. R. Press.71. Math. Splines in statistics: J. I. Ser. R. Parker. and Sager. Res.<ix)z We normalize the length of the grid by assuming . Teukolsky. Soc. Tech. A..2z oo + zo-d iIy and V Zz=ZlO + Z-IO + aZ(zol + Zo -I) . The approximate arithmetical solution by finite differences of physical problems involving differential equations. Computational fluid dynamics: Hermosa Publ.. H. A. R. Optimal contour mapping using universal kriging: J. 393-413. An interpolating curve using a spline in tension: J. 312-317. 307-357.. Earth Plan. Oldenbourg Verlag.. E. Hawaiian-Emperor seamount chain: J.. aZZ ZIO . Geophys.2(1 + aZ)zoo. London. TR-233: U. T. G. Shure. H.2z oo +Z - 10 ax z = (.. 1983.g. 14. Spline-Algorithmen zur Konstruktion glatter Kurven and Flachen: R. Then aZz We use this expression at those grid nodes Zij which are not constrained by data. On the accuracy of marine gravity measurements: J.. E.. XOVER: A cross-over error detector for track data: Computers and Geosciences. 1974. R.. VZ(Vzz) =zZO +z-zo + a 4(zoz +zo-z) +2a z(zll +Zl-I +z-ll +z-I-d Briggs (1974) gave an expression for VZz at a grid point in terms of an off-grid constraining point. 15. Physics..S. For convenience we use subscripts to refer to the relative position of a grid node with respect to a local origin.. P. 1982. e.. W.. 351-365. Res.<iy/.. 1974. L. Redistribution subject to SEG license or copyright. J.. B. Spath. National Oceanographic Office.. Am. 1987. Stat. we construct a second-order Taylor series expansion from zoo to a point zi: . 1968.302 Smith and Wessel Hoskins. we used his approach.. Iterative methods for solving partial difference equations of elliptic type: Trans.. Int. Wessel. 45. Wegman. 78. 1910. Since our equations may be expressed in VZz. We approximate derivatives by central finite differ- (A-3) may be solved for zoo: (A-4) ences. A.. 1978. L. McGraw-Hill Book Co. A. B.. D. but modified it for our anisotropic grids. 1989. B.

~=--- ~ ~ ~~ (XE ~ I L . For E in another quadrant. = $s + b 4 b2 • If the b.) 2(1 b 4 = 1 .5. they are used to eliminate terms in the Taylor series.b3 . A-D may be chosen by rotating this figure appropriately. ~ 1~ + L b k"k -az + . Then we seek b k satisfying ~-------*--~ I • E I :11 I I I I I I I I -: -: ] [::] = [ ]. The constraint is implemented by substituting equation (A-5) into equation (A-3) and solving for zoo: then (A-5) While any five points which yield a nonsingular expression for the bk may be chosen. 4 to other points on the grid (A-D in Figure A-I). analogous expressions may be obtained. see Terms of Use at http://segdl. and k = 5 to the point E.(l + ~)bs .1 1 0 1 1 a 2. Redistribution subject to SEG license or copyright. When point E is in the first quadrant. A-I. ay b.J -xoo) J1x or FIG.L ay 2 b k ~k 2 -1 ax- a2z b 3 = a.. A Taylor series expansion is made from the node to the five points (A-E).. A-D may be chosen as shown to yield equation (A-6). are chosen such that L b k ~k = L bk"k = L b k ~k"k = 0 and L b k ~1 = L b k "l = 2 For a constraining datum in other quadrants. Let us assign k = 1.. leading to an expression for the Laplacian at the node which includes point E as a constraint [equation (A-5)]. 2 bs 2a 2 where we have used the fact that the grid dimensions have been normalized by Ax and a is the anisotropy.2b 4 .1 ~a" b4 0 [ . 2 (A-6) and + L bk~k"k ~ a2z 1 --+ax ay 2 L bk"k -2· ~ a2z b z = a.org/ . Downloaded 06 Jun 2011 to 158.71. this will modify the system for equation (A-6).. here ~ and a" represent fractional distances on the grid. it is convenient to use four nearby grid node values and one off-grid constraint.. k = 1.Griddlng with Splines in Tension We do this at five distinct points (~b "k). suppose that zoo is the location at the square in Figure A-I..(1 + ~)b5 - . For example.. (~ + a. 0 0 .!b s (~ + e). Then we multiply each expansion by a real number b k and sum the five expressions: The above matrix expression is easily solved to yield bs = 303 + ( 2) . The grid node indicated by the black square is to be constrained by the datum at E. .6.251.)(1 + ~ + a. Since four of these are "known" (they are other points on the grid which are solved in separate steps). and that we wish to implement the datum at E in Figure A-I as a constraint.

This prior step includes sorting the constraining data into the order in which they will be needed in the interaction loop. it can be seen that in each iteration the new value computed for each zij is a weighted average of twelve neighboring values.6. In this way.304 Smith and Wessel Z~2o=Z2o+a2(ZII +ZI-I-Z-II-Z-I-I) (A-lO) Solution by successive overrelaxation We solve equations (A-4). prior to entering the iteration loop. The updating is done immediately so that typically half of the points in the equation are "new" values and half are "old" values (Gauss-Seidel method. in this case the grid node value Zoo may simply be replaced by Zt: without using equation (A-7).-----~--- This method is called successive overrelaxation or simultaneous overrelaxation and is well known (Richardson. Roache. (A-9) the corner point (circle and cross symbol). Redistribution subject to SEG license or copyright.251. equation (A-8) is used to set the values of the white triangles.--. the array Zstarts with some initial values which are then changed by an amount ilz when convergence is achieved. A nonunity anisotropy factor a effectively "couples" the equations more strongly in one dimension.(I Zij ' " - If the constraining datum (E in Figure A-I) lies exactly on the grid node. and as a consequence short-wavelength compo- -----0 ----.. Our method shares some similarities with the multigrid methods developed for the second-order equations of fluid dynamics (Hackbush and Trottenberg. and the convergence is more efficient if the loops are nested so that the strongly coupled direction is looped first. we visit these points in sequence in loops over the i and j indices. The coefficients on the 12 points of Figure 2 are determined from equation (A-4) or equation (A-7) and are constant during the iteration process. (A-7). in theory. Downloaded 06 Jun 2011 to 158. the gridded surface always interpolates the constraining datum to second order in the Taylor series. These exterior points allow application of equation (A-4) or equation (A-7) at every interior point. The iteration operator is a local smoothing process. and (A-lO) the white diamonds.. Points in the lower left corner of the desired grid are represented by the black circles. and w may be increased as T is increased. then ~E and TIE are both zero and the above matrix is singular. 1982. only the zij change. we have determined empirically that W = 1. Implementing boundary conditions.-0--FIG. One iteration consists of one application of the appropriate equation at each position zij to update each value. From equations (A-4) and (A-7) and Figure 2. For programming convenience. We therefore compute arrays of these coefficients once. Spectral analysis of the iteration operator may.- -. Difference expressions for boundary conditions Application of equations (A-4) and (A-7) throughout the desired domain of (x. We derived our method by a generalization of a technique in the minimum-curvature algorithm of Swain (1976). e.. Press et aI.4 works well for T = 0. In the iterative solution. 1986). 1986). o-------~. 1982: Brandt. The system is considered "converged" to the limit e when • _new max I "-ij _ old zij I < f.--6. The array containing the desired grid is augmented by two additional rows and columns surrounding each boundary. Press et aI. y) requires two additional outside rows or columns of auxiliary points (Figure A-2). We express the boundary conditions at an x edge here. (A-9). 1984. In our application the best W depends on the tension used. the expression for the y edges are analogous. 1954. we use boundary condition equation (5) to set the auxiliary "corner" point: (A-9) The second outside points may then be set using boundary condition equation (4): w Zu ) old + WZijnew . we use an overrelaxation parameter I < W < 2 to accelerate convergence. (A-8). Multiple grid strategy We use a system of grids of various mesh sizes to enhance the efficiency of convergence of the system (A-4) and (A-7). 1910.g. However. Only one corner of the array is shown here but the entire boundary is set in a similar manner..- 0 -. A-2. Young. The difference equation is used to compute a new value for zij' and the change in zij is increased by the overrelaxation factor: new "'. In the iteration loop itself.0 -.---6. yield an optimal value for w.e -- 0 --.---e----.org/ .E9------~------~. During each iteration. and (A-IO) iteratively. 1986). Fulton et aI.e -------e--. We set the first outside points using boundary condition equation (9): After equation (A-8) has been applied. see Terms of Use at http://segdl.-----------------.71. and computing and storing the b k used with each constraint. The grey triangles and diamonds on the y boundaries are set using analogous expressions but including the anisotropy factor a.

Gridding with Splines in Tension 305 nents of ~z are found quickly. This allows the user to choose a reasonable limit to be used on the final grid when the iterations are slow. 1982. We use the simpler approach of starting with the coarsest convenient grid and successively fining (one half of one V-cycle). In practice. and better overall visual quality of the surface. We find that these extra states result in faster total run time. where E is the convergence limit set by the user for the final stage. We continue this cycle until N = I and the full system has been solved. and thus the prediction error of the surface would be zero if the equations could converge to E = O. However. The coarse stages run so fast that we actually use EIN as the convergence limit at each stage. The computing time spent on the coarse meshes is small because the number of points in each lattice is only l/N 2 of the final number of points. Multigrid techniques (Hackbush and Trottenberg.251. Fulton et al. For this reason our algorithm does not begin iteration on the array which is ultimately desired. Our algorithm allows any N and finds the initial N automatically. Brandt. see Terms of Use at http://segdl. Equation (A-7) is constructed from the condition that the grid must interpolate the data constraints exactly (to second order in the Taylor series).71. 1986) include both coarsening and fining mesh transfers in sequences called V-cycles. in this sense we are starting with optimal initial values at each successive stage. These local corrections are exactly what iteration of equations (A-4) and (A-7) performs efficiently. but makes a better approximation of the long-wavelength components without much increase in total run time.. the grid dimensions commonly have factors of 3 and 5 as well as 2. since only short-wavelength perturbations to the solution need to be found. Downloaded 06 Jun 2011 to 158. These new points are initialized by interpolation from the previous mesh. Then we divide N by its largest prime factor.6. In map applications using a latitude-longitude mesh in minutes of arc. With the use of multiple grids. instead.. The minimum-curvature solver of Swain (1976) uses a similar sequence of coarse grids. exposing new nodes in a finer mesh. and then the system of equations on this new mesh is again iterated to convergence.org/ . we have observed that this sequence of coarse grids with division of N by its largest prime factor at each stage results in a smaller prediction error than any other solution strategies we tried. We have retained this feature as an option to be used when the grid dimensions have few common factors and the coarseness factor N starts near 1. Redistribution subject to SEG license or copyright. In Swain's (1976) algorithm. 1967) that a coarse-mesh spline is the best estimator of a fine-mesh spline. we first find a long-wavelength solution on a coarser mesh consisting of every Nth point in the x and y dimensions of the final (desired) array. because we have removed a planar trend from the data prior to iteration. and in these cases our mesh system goes through more intermediate stages than Swain's algorithm. Conversely. the use of a series of meshes results in fewer iterations on the final (N = 1) stage and less total run time than if the solution had begun directly on the final grid. each lattice is initialized by an interpolation from the previous stage. 1984. It can be shown (Ahlberg et al. iteration does not efficiently propagate the effects of data constraints to long wavelengths. we find that in most cases involving several regional grid stages it is adequate to begin with the coarse-lattice values initialized to zero. We begin with the largest N which divides both grid dimensions (and leaves at least four points in each direction so that some work needs to be done). The above system is solved to convergence on this sparse lattice. and therefore only the first (coarsest) lattice needs to be seeded with initial values prior to iteration. except that his sequence of grid mesh N values is limited to powers of two and the initial N must be chosen by the user. smaller prediction error. this is done by a weighted average of points inside a user-specified radius.

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