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  <front>
    <journal-meta><journal-id journal-id-type="publisher">TC</journal-id><journal-title-group>
    <journal-title>The Cryosphere</journal-title>
    <abbrev-journal-title abbrev-type="publisher">TC</abbrev-journal-title><abbrev-journal-title abbrev-type="nlm-ta">The Cryosphere</abbrev-journal-title>
  </journal-title-group><issn pub-type="epub">1994-0424</issn><publisher>
    <publisher-name>Copernicus Publications</publisher-name>
    <publisher-loc>Göttingen, Germany</publisher-loc>
  </publisher></journal-meta>
    <article-meta>
      <article-id pub-id-type="doi">10.5194/tc-12-1665-2018</article-id><title-group><article-title>Arctic lead detection using a waveform mixture <?xmltex \hack{\break}?> algorithm from CryoSat-2 data</article-title><alt-title>Arctic lead detection using a waveform mixture algorithm from CryoSat-2 data</alt-title>
      </title-group><?xmltex \runningtitle{Arctic lead detection using a waveform mixture algorithm from CryoSat-2 data}?><?xmltex \runningauthor{S.~Lee et al.}?>
      <contrib-group>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Lee</surname><given-names>Sanggyun</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff2">
          <name><surname>Kim</surname><given-names>Hyun-cheol</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-6831-9291</ext-link></contrib>
        <contrib contrib-type="author" corresp="yes" rid="aff1">
          <name><surname>Im</surname><given-names>Jungho</given-names></name>
          <email>ersgis@unist.ac.kr</email>
        </contrib>
        <aff id="aff1"><label>1</label><institution>School of Urban and Environmental Engineering, Ulsan National Institute of Science and Technology (UNIST), <?xmltex \hack{\break}?>  Ulsan, 44919, South Korea</institution>
        </aff>
        <aff id="aff2"><label>2</label><institution>Unit of Arctic Sea-Ice prediction, Korea Polar Research Institute (KOPRI), Incheon, 21990, South Korea</institution>
        </aff>
      </contrib-group>
      <author-notes><corresp id="corr1">Jungho Im (ersgis@unist.ac.kr)</corresp></author-notes><pub-date><day>18</day><month>May</month><year>2018</year></pub-date>
      
      <volume>12</volume>
      <issue>5</issue>
      <fpage>1665</fpage><lpage>1679</lpage>
      <history>
        <date date-type="received"><day>14</day><month>August</month><year>2017</year></date>
           <date date-type="rev-request"><day>6</day><month>September</month><year>2017</year></date>
           <date date-type="rev-recd"><day>12</day><month>April</month><year>2018</year></date>
           <date date-type="accepted"><day>26</day><month>April</month><year>2018</year></date>
      </history>
      <permissions>
        
        
      <license license-type="open-access"><license-p>This work is licensed under the Creative Commons Attribution 4.0 International License. To view a copy of this licence, visit <ext-link ext-link-type="uri" xlink:href="https://creativecommons.org/licenses/by/4.0/">https://creativecommons.org/licenses/by/4.0/</ext-link></license-p></license></permissions><self-uri xlink:href="https://tc.copernicus.org/articles/.html">This article is available from https://tc.copernicus.org/articles/.html</self-uri><self-uri xlink:href="https://tc.copernicus.org/articles/.pdf">The full text article is available as a PDF file from https://tc.copernicus.org/articles/.pdf</self-uri>
      <abstract>
    <p id="d1e108">We propose a waveform mixture algorithm to detect leads from CryoSat-2 data,
which is novel and different from the existing threshold-based lead detection
methods. The waveform mixture algorithm adopts the concept of spectral
mixture analysis, which is widely used in the field of hyperspectral image
analysis. This lead detection method was evaluated with high-resolution
(250 m) MODIS images and showed comparable and promising performance in
detecting leads when compared to the previous methods. The robustness of the
proposed approach also lies in the fact that it does not require the
rescaling of parameters (i.e., stack standard deviation, stack skewness,
stack kurtosis, pulse peakiness, and backscatter <inline-formula><mml:math id="M1" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>), as it directly
uses L1B waveform data, unlike the existing threshold-based methods. Monthly
lead fraction maps were produced by the waveform mixture algorithm, which
shows interannual variability of recent sea ice cover during 2011–2016,
excluding the summer season (i.e., June to September). We also compared the
lead fraction maps to other lead fraction maps generated from previously
published data sets, resulting in similar spatiotemporal patterns.</p>
  </abstract>
    </article-meta>
  </front>
<body>
      

<sec id="Ch1.S1" sec-type="intro">
  <title>Introduction</title>
      <p id="d1e129">Sea ice leads (hereafter referred to as “leads”), linearly elongated
cracks in sea ice, are a common feature in the Arctic Ocean. Leads
facilitate an amount of heat and moisture exchanges between the atmosphere
and the ocean because of the temperature differences (Maykut,
1982; Perovich et al., 2011). Although leads occupy a small portion of the
Arctic Ocean, there is much more heat transfer between the atmosphere and
ocean through leads than sea ice (Maykut, 1978; Marcq and Weiss, 2012).
Furthermore, Lüpkes et al. (2008) showed that a 1 % change in sea ice
concentration owing to an increase in lead fraction could increase near-surface temperature in the Arctic by 3.5 K. Thus, detecting and
monitoring leads in the Arctic Ocean is crucial because they are closely
related to the Arctic heat budget and the physical interaction between the
atmospheric boundary layers and sea ice in the Arctic.</p>
      <p id="d1e132">Satellite sensors have been the most efficient way to monitor leads in the
entire Arctic region since the 1990s (Key et al., 1993; Lindsay and
Rothrock, 1995; Miles and Barry, 1998). Advanced Very High Resolution
Radiometer (AVHRR) and Defense Meteorological Satellite Program (DMSP)
satellite visible and thermal images were used to detect leads in the early 1990s.
Recently, the Moderate Resolution Imaging Spectroradiometer (MODIS)
ice surface temperature (IST) product with 1 km spatial resolution was
used to detect leads to map pan-Arctic lead presence (Willmes and Heinemann,
2015, 2016). They mitigated cloud interference using
a fuzzy cloud artefact filter and investigated lead dynamics based on a
comparison between pan-Arctic lead maps and the characteristics of the
Arctic Ocean such as shear zones, bathymetry, and currents. While optical
sensors have a finer spatial resolution, they are not pragmatic in the dark
regions during polar nights (from December to February). In addition, leads
are easily contaminated by clouds. Microwave instruments such as passive
microwave sensors and altimeters have been used to detect leads and
produce lead fractions. Röhrs and Kaleschke (2012) utilized<?pagebreak page1666?> the
polarization ratio of the Advanced Microwave Scanning Radiometer for EOS (AMSR-E)
channels and retrieved daily thin ice concentration. With the help
of the thin ice concentration, lead orientations and frequencies were
derived using an image analysis technique (i.e., Hough transform)
(Bröhan and Kaleschke, 2014). Airborne and space-borne radar altimeters
can detect leads as well. Zygmuntowska et al. (2013) used Airborne Synthetic
Aperture and Interferometric Radar Altimeter System (ASIRAS), similar to
CryoSat-2, to identify leads based on waveform characteristics and a
Bayesian classifier. Zakharova et al. (2015) and Wernecke and Kaleschke (2015)
used the space-borne altimeters Satellite with Argos and Altika (SARAL)
and CryoSat-2, respectively, to identify leads. While Zakharova et
al. (2015) applied simple thresholds to identify leads along with Satellite
with Argos and Altika (SARAL/Altika) tracks and estimated regional lead
fractions, Wernecke and Kaleschke (2015) optimized thresholds to detect
leads and produced pan-Arctic lead fraction maps using CryoSat-2 with an
analysis of lead width and sea surface height.</p>
      <p id="d1e135">Spectral mixture analysis based on the assumption that the spectra measured
by sensors for a pixel are a linear combination of the spectra for all
components within the pixel (Keshava and Mustard, 2002) was first applied to
the altimetry research field in the polar regions by Chase and Holyer (1990).
They estimated sea ice type and concentration using spectral mixture analysis
based on Geosat waveforms. However, Geosat with a relatively small number of
range bins and coarser spatial resolution is not sufficient to detect small
leads in the winter (DJF) and spring seasons (MAM) in the Arctic. In this
study, we adapted the linear mixture algorithm concept to waveforms from
Synthetic Aperture Interferometric Radar Altimeter (SIRAL), CryoSat-2, to
identify leads and produce monthly pan-Arctic lead fractions from January to
May and October to December between 2011 and 2016. Waveform endmembers are
crucial for implementing the spectral mixture algorithm (Fig. 1). The N-FINDR
(N-finder) algorithm was used to select waveform endmembers from extracted
waveforms by decision tree (DT) from Lee et al. (2016), which avoids the
subjective selection of endmembers. The detected leads were visually
evaluated with MODIS images (at 250 m resolution) and compared with other
threshold-based lead detection methods. The proposed waveform mixture
algorithm does not require changes to any of the parameters used in the
algorithm to detect leads when the CryoSat-2 baseline is updated, which is a
significant advantage compared to the existing threshold-based lead detection
methods. The main objectives of this study are to (1) develop a novel lead
detection method based on the waveform mixture algorithm, (2) compute recent
pan-Arctic lead fractions, and (3) examine the spatiotemporal distribution of
lead fractions.</p>
</sec>
<sec id="Ch1.S2">
  <title>Data</title>
<sec id="Ch1.S2.SS1">
  <title>CryoSat-2</title>
      <p id="d1e149">CryoSat-2, carrying SIRAL, was launched in April 2010 by the European Space
Agency (ESA). CryoSat-2 is a satellite dedicated to polar research. SIRAL is
a radar altimeter with a central frequency of 13.575 GHz (<inline-formula><mml:math id="M2" display="inline"><mml:mrow><mml:msub><mml:mi>K</mml:mi><mml:mi>u</mml:mi></mml:msub></mml:mrow></mml:math></inline-formula>-band) and
a bandwidth of 320 MHz. CryoSat-2 takes advantage of SIRAL when detecting
smaller leads with efficient use of the instrument's energy compared to the
previous radar altimeter missions such as GeoSat and Jason (Wingham et al.,
2006). In this study, we used synthetic aperture radar (SAR) mode, mainly
operating on sea ice regions, and SAR interferometric (SIN) mode, mainly
operating on steep regions such as the margin of an ice shelf and ice sheet
of level 1b baseline C data. The SAR and SIN modes have 256 and 1024 range
bins, respectively (Scagliola and Fornari, 2015). The period of CryoSat-2
level 1b baseline C data in this study is for January–May and
October–December 2011–2016.</p>
      <p id="d1e163">CryoSat-2 transmits bursts of radar pulses (i.e., 64) with high pulse
repetition frequency (PRF, 18.181 kHz), which forms Doppler beams because of
the along-track movement of the satellite (Wingham et al., 2006). With the
help of the high PRF, each Doppler beam is coherently correlated and pointed
at the same location on the Earth's surface. This is called beam stacking.
Multi-looking is conducting by averaging the stacking beams to reduce
speckles and thermal noises (Salvatore, 2013). Exemplary results of waveforms
in the L1b SAR data are shown in Fig. 1. These waveforms represent the
temporal distribution of reflected power when the radar pulses reach the
surface, describing a flat or rough surface. In this case, since the leading
edge of each waveform starts from a different range bins, the beginning of
the waveform was set to 1 % of the maximum echo power (Fig. 1). For a more
detailed explanation of the processes used to develop L1b waveform data,
refer to Salvatore (2013).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F1"><caption><p id="d1e168">Representative waveforms of <bold>(a)</bold> leads and <bold>(b)</bold> sea ice
over the Arctic Ocean selected by the N-FINDR algorithm from January to May and
October to December between 2011 and 2016. Refer to the methods section for
the N-FINDR algorithm.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f01.png"/>

        </fig>

<?xmltex \hack{\newpage}?>
</sec>
<?pagebreak page1667?><sec id="Ch1.S2.SS2">
  <title>Sea ice edge data</title>
      <p id="d1e191">The EUropean organization for the exploitation of METeorological SATellites (EUMETSAT)
Ocean and Sea Ice Satellite Application Facility (OSI SAF)
provides multiple sea ice products such as sea ice concentration, sea ice
edge, sea ice type, sea ice emissivity, and sea ice drift. The sea ice edge
product was developed using the polarization ratios of 19 and 91 GHz, the
spectral gradient ratios of 37 and 19 GHz from Special Sensor Microwave
Imager/Souder (SSMIS), and anisFMB from the Advanced Scatterometer (ASCAT)
with a Bayesian approach (Aaboe et al., 2016). In this study, monthly averaged
sea ice edge data were used to mask monthly lead fraction maps. The open
ice cover in the sea ice edge product was regarded as an open ocean.</p>
</sec>
<sec id="Ch1.S2.SS3">
  <title>Monthly lead fraction maps</title>
      <p id="d1e200">Lead fraction maps produced from previous studies (Röhrs and Kaleschke,
2012; Wernecke and Kaleschke, 2015; Willmes and Heinemann, 2016) were
compared to the lead fraction maps generated using the proposed waveform
mixture algorithm in this study. Röhrs and Kaleschke (2012) produced
daily thin ice concentration maps using AMSR-E data with a 6.25 km grid,
which can detect leads that are wider than 3 km. The daily thin ice
concentration that was over 0.5 (i.e., 50 %) was considered to be a lead
and binary daily lead maps were averaged to properly compare other monthly
lead fraction maps. A threshold-optimization-based lead detection method with
the CryoSat-2 was used in Wernecke and Kaleschke (2015) and monthly lead
fraction maps were calculated with the grids of 99.5 km. The thin ice
concentration maps (Röhrs and Kaleschke, 2012) and the lead fraction maps
using CryoSat-2 (Wernecke and Kaleschke, 2015) are available on their website
(<uri>http://icdc.cen.uni-hamburg.de/1/daten/cryosphere.html</uri>, last access:
16 April 2017). Willmes and Heinemann (2016) also produced daily lead maps
over the entire Arctic region, classifying land, cloud, sea ice,
lead-artefact, and lead with the spatial resolution less than 2 km. The lead
class was only considered to calculate daily binary lead fraction maps. The
sum of the lead pixels was divided into the days of the months (i.e., 28, 30,
or 31) to make monthly lead fraction maps. These data are available on their
website (<uri>http:/dx.doi.org/10.1594/PANGAEA.854411</uri>, last access: 16 April
2017). In this study, we compared the monthly lead fraction maps from January
to March 2011 as AMSR-E-based lead fraction maps were only available
until 2011.</p>
</sec>
</sec>
<sec id="Ch1.S3">
  <title>Methods</title>
<sec id="Ch1.S3.SS1">
  <title>Waveform mixture algorithm</title>
      <p id="d1e221">An endmember in remote sensing data represents a spectrally pure ground
component in a single pixel. For example, it could be pure water,
vegetation, bare ground, or a soil crust pixel in remote sensing data.
Endmembers play the most important role in conducting spectral mixture
analysis. Spectral mixture analysis assumes that the spectra measured by
sensors for a pixel is a linear combination of the spectra of all components
within the pixel (Keshava and Mustard, 2002). This technique is widely used
to resolve spectral mixture problems in image analysis (Foody and Cox, 1994;
Lu et al., 2003; Wu, 2004; Iordache et al., 2011). Spectral mixture analysis
determines the fractions of the components (i.e., classes) found in mixed
pixels by producing abundances of the components based on endmembers. The
proposed waveform mixture algorithm adopts the concept of spectral mixture
analysis. Since the waveform of altimetry within a footprint could be
considered to be a mixture of leads and various types of sea ice, spectral
mixture analysis can be applied in this framework. In this study, waveforms
of CryoSat-2 L1b data were used as endmembers such as the waveform of pure
lead and first-year ice (FYI) (Fig. 1). The lead and ice endmembers are used
as reference data for separating leads and ice. In order to successfully
implement the waveform mixture algorithm, the proper selection of lead and ice
endmembers is essential.</p>
      <p id="d1e224">The basic waveform mixture model is defined as follows in Eq. (1).

                <disp-formula id="Ch1.E1" content-type="numbered"><mml:math id="M3" display="block"><mml:mstyle class="stylechange" displaystyle="true"/><mml:mrow><mml:mstyle class="stylechange" displaystyle="true"/><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mi>k</mml:mi></mml:msub><mml:mo>=</mml:mo><mml:munderover><mml:mo movablelimits="false">∑</mml:mo><mml:mrow><mml:mi>k</mml:mi><mml:mo>=</mml:mo><mml:mn mathvariant="normal">1</mml:mn></mml:mrow><mml:mi>K</mml:mi></mml:munderover><mml:msub><mml:mi>a</mml:mi><mml:mrow><mml:mi>i</mml:mi><mml:mi>k</mml:mi></mml:mrow></mml:msub><mml:msub><mml:mi mathvariant="bold-italic">E</mml:mi><mml:mi>k</mml:mi></mml:msub><mml:mo>+</mml:mo><mml:msub><mml:mi>r</mml:mi><mml:mi>k</mml:mi></mml:msub><mml:mo>,</mml:mo></mml:mrow></mml:math></disp-formula>

          where <inline-formula><mml:math id="M4" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mi>p</mml:mi></mml:msub></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M5" display="inline"><mml:mo>=</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M6" display="inline"><mml:mrow><mml:mo mathvariant="italic">{</mml:mo><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>, <inline-formula><mml:math id="M7" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>,
<inline-formula><mml:math id="M8" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mn mathvariant="normal">3</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>, …, <inline-formula><mml:math id="M9" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">Y</mml:mi><mml:mi>k</mml:mi></mml:msub><mml:mo mathvariant="italic">}</mml:mo></mml:mrow></mml:math></inline-formula> represents waveform vectors and
<inline-formula><mml:math id="M10" display="inline"><mml:mi>k</mml:mi></mml:math></inline-formula> means a range bin in the waveform. <inline-formula><mml:math id="M11" display="inline"><mml:mrow><mml:msub><mml:mi>a</mml:mi><mml:mrow><mml:mi>i</mml:mi><mml:mi>k</mml:mi></mml:mrow></mml:msub></mml:mrow></mml:math></inline-formula> is an abundance fraction,
which provides lead and ice proportions in terms of lead and ice endmembers.
<inline-formula><mml:math id="M12" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">E</mml:mi><mml:mi>k</mml:mi></mml:msub></mml:mrow></mml:math></inline-formula> is the endmember vector. The <inline-formula><mml:math id="M13" display="inline"><mml:mrow><mml:msub><mml:mi>r</mml:mi><mml:mi>k</mml:mi></mml:msub></mml:mrow></mml:math></inline-formula> represents the unmodeled
residual. Equation (1) is constrained
under <inline-formula><mml:math id="M14" display="inline"><mml:mrow><mml:munderover><mml:mo movablelimits="false">∑</mml:mo><mml:mrow><mml:mi>k</mml:mi><mml:mo>=</mml:mo><mml:mn mathvariant="normal">1</mml:mn></mml:mrow><mml:mi>k</mml:mi></mml:munderover><mml:msub><mml:mi>a</mml:mi><mml:mrow><mml:mi>i</mml:mi><mml:mi>k</mml:mi></mml:mrow></mml:msub></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M15" display="inline"><mml:mo>=</mml:mo></mml:math></inline-formula> 1 and <inline-formula><mml:math id="M16" display="inline"><mml:mrow><mml:msub><mml:mi>a</mml:mi><mml:mrow><mml:mi>i</mml:mi><mml:mi>k</mml:mi></mml:mrow></mml:msub></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M17" display="inline"><mml:mo>≥</mml:mo></mml:math></inline-formula> 0. The
abundance can be derived by using a least square method to minimize the
unmodeled residual (<inline-formula><mml:math id="M18" display="inline"><mml:mrow><mml:msub><mml:mi>r</mml:mi><mml:mi>k</mml:mi></mml:msub></mml:mrow></mml:math></inline-formula>).</p>
      <p id="d1e452">Chase and Holyer (1990) were concerned by two problems with the application
of spectral mixture analysis to the waveform of altimeter data. First, the
waveform within a footprint may not be linearly mixed between leads and sea
ice. CryoSat-2 is more sensitive to the specular reflection of leads than
the diffuse reflection of sea ice when both leads and sea ice exist within
the same footprint, which implies the waveform may tend to be similar to the
endmember of the leads (Chase and Holyer, 1990). Since CryoSat-2 data have a
large number of range bins than Geosat, indicating higher vertical resolution, they could be used to reduce the overestimation of
leads. Secondly, the waveform of the altimeter (i.e., Geosat) is somewhat
weighted on the center of a footprint rather than representing an entire
footprint. This could be an error source when applying spectral mixture
analysis to waveform data (Chase and Holyer, 1990). However, the CryoSat-2
L1b waveform is produced by averaging more<?pagebreak page1668?> than 200 weighted waveforms with
various incidence angles, which can alleviate this a problem.</p>
</sec>
<sec id="Ch1.S3.SS2">
  <title>Endmember selection</title>
      <p id="d1e461">The selection of endmembers is essential in the framework of the waveform
mixture algorithm. Among CryoSat-2 orbit files from January to May and October to
December between 2011 and 2016, a total of 48 orbit files were selected to
extract endmember samples by month (15th day of the month for January to
May and October to December), which fully transverse the broad Arctic Ocean
(Fig. 2). The lead and ice waveforms are extracted by using the DT
algorithm developed for lead detection by Lee et al. (2016). The DT has
proven to be very effective in various remote sensing classification tasks
(Kim et al., 2015; Torbick and Corbiere, 2015; Amani et al., 2017; Tadesse
et al., 2017; Hisabayashi et al., 2018). The lead and sea ice endmembers
(i.e., the most representative waveforms) are a key factor in the successful
implementation of the waveform mixture algorithm. In order to avoid the
subjective selection of endmembers, a number of endmember candidates were
extracted by the DT algorithm (Lee et al., 2016) and the N-FINDR algorithm
determined the optimum lead and ice endmembers. The N-FINDR algorithm
basically uses the fact that the N spectral dimension and the N-volume (<inline-formula><mml:math id="M19" display="inline"><mml:mi>V</mml:mi></mml:math></inline-formula>),
defined by a simplex with pure pixels, are always greater than any other
combination (Winter, 1999). It operates by inflating a simplex inside of the
data (endmembers), starting with any pixel set. The endmember is replaced
with another endmember, and the volume is recalculated. The endmember is
replaced with the spectrum of the new pixel if the volume increases. This
process repeats until the volume does not increase (i.e., until there is no replacement).

                <disp-formula id="Ch1.E2" content-type="numbered"><mml:math id="M20" display="block"><mml:mstyle displaystyle="true" class="stylechange"/><mml:mrow><mml:mstyle class="stylechange" displaystyle="true"/><mml:mi>E</mml:mi><mml:mo>=</mml:mo><mml:mfenced open="[" close="]"><mml:mtable class="array" columnalign="center center center center"><mml:mtr><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd><mml:mtd><mml:mi mathvariant="normal">…</mml:mi></mml:mtd><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd></mml:mtr><mml:mtr><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:mtd><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:mtd><mml:mtd><mml:mi mathvariant="normal">…</mml:mi></mml:mtd><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">3</mml:mn></mml:msub></mml:mrow></mml:mtd></mml:mtr></mml:mtable></mml:mfenced><mml:mo>,</mml:mo></mml:mrow></mml:math></disp-formula>

          where <inline-formula><mml:math id="M21" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula> represents a column vector of the endmember <inline-formula><mml:math id="M22" display="inline"><mml:mi>i</mml:mi></mml:math></inline-formula>.

                <disp-formula id="Ch1.E3" content-type="numbered"><mml:math id="M23" display="block"><mml:mstyle displaystyle="true" class="stylechange"/><mml:mrow><mml:mstyle class="stylechange" displaystyle="true"/><mml:mi>V</mml:mi><mml:mo>(</mml:mo><mml:mi>E</mml:mi><mml:mo>)</mml:mo><mml:mo>=</mml:mo><mml:mfenced open="|" close="|"><mml:mrow><mml:mi mathvariant="normal">det</mml:mi><mml:mfenced open="(" close=")"><mml:mtable class="array" columnalign="center center center center"><mml:mtr><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd><mml:mtd><mml:mi mathvariant="normal">…</mml:mi></mml:mtd><mml:mtd><mml:mn mathvariant="normal">1</mml:mn></mml:mtd></mml:mtr><mml:mtr><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">1</mml:mn></mml:msub></mml:mrow></mml:mtd><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:mrow></mml:mtd><mml:mtd><mml:mi mathvariant="normal">…</mml:mi></mml:mtd><mml:mtd><mml:mrow><mml:msub><mml:mi mathvariant="bold-italic">e</mml:mi><mml:mn mathvariant="normal">3</mml:mn></mml:msub></mml:mrow></mml:mtd></mml:mtr></mml:mtable></mml:mfenced></mml:mrow></mml:mfenced><mml:mo>/</mml:mo><mml:mo>(</mml:mo><mml:mi>i</mml:mi><mml:mo>-</mml:mo><mml:mn mathvariant="normal">1</mml:mn><mml:mo>)</mml:mo><mml:mi mathvariant="normal">!</mml:mi></mml:mrow></mml:math></disp-formula>

          The volume (<inline-formula><mml:math id="M24" display="inline"><mml:mi>V</mml:mi></mml:math></inline-formula>) of the simplex-containing synthetic endmember sets is
proportional to the determinant. This algorithm has been widely used for
automatically selecting representative endmembers (Winter, 1999; Zortea and
Plaza, 2009; Ertürk and Plaza, 2015; Ji et al., 2015; Chi et al., 2016).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F2"><caption><p id="d1e630">The 48 CryoSat-2 orbit files from January 2011 to December 2016 used
for extraction endmember waveforms. The CryoSat-2 orbit files
almost cover the entire Arctic Ocean.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f02.jpg"/>

        </fig>

      <p id="d1e639">The DT model from Lee et al. (2016) was developed using data (i.e., stack
standard deviation, stack skewness, stack kurtosis, pulse peakiness, and
backscatter <inline-formula><mml:math id="M25" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>) collected in March–April from 2011 to 2014. Thus,
the waveforms in other months and years should be compared with the waveforms
in March–April from 2011 to 2014 through visual analysis to identify whether
the waveforms derived by the DT model during the study period can
appropriately implement the waveform mixture algorithm. Waveforms from March
to April between 2011 and 2014 were compared to those from January to May,
and October to December between 2011 and 2016 (not shown), resulting in
little difference between them. This justified the use of the DT algorithm to
extract waveform samples of leads and sea ice, proposed by Lee et al. (2016).
The total numbers of sea ice and lead waveforms are 420 858 and 8501,
respectively. However, visual analysis cannot guarantee that the waveforms
are quantitatively different by month and year.</p>
      <p id="d1e653">The lead classification based on the waveform mixture algorithm was evaluated
with 250 m MODIS images collected from March to May and in October. We used
Earth View 250 m Reflective Solar Bands Scaled Integers in MOD02QKM and
adjusted the contrast to emphasize leads from sea ice in the images. It
should be noted that since MODIS images with a spatial resolution of 250 m
were not available in January, February, November, and December due to polar
nights, the evaluation with MODIS images and lead classification results
based on CryoSat-2 could not be used. To secure the reliability of the
comparison, the temporal difference between the MODIS images and CryoSat-2
data was always under 30 min.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F3" specific-use="star"><caption><p id="d1e659">Lead and ice abundance derived by the waveform mixture algorithm on
10 October 2015. <bold>(a)</bold> Lead abundance, <bold>(b)</bold> ice abundance. The
color bar expresses abundances from 0 to 1.</p></caption>
          <?xmltex \igopts{width=341.433071pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f03.png"/>

        </fig>

      <p id="d1e674">The waveform mixture model produces abundance data (i.e., lead and sea ice
abundance) at along-track points with respect to each endmember of the leads
and sea ice (Fig. 3). While the lead abundances are high on the leads, the
ice abundances are low on the leads, and vice versa (Fig. 3). Thresholds
have to be determined for a binary classification between leads and sea
ice. Optimum thresholds to produce binary lead classification from lead and
sea ice abundances<?pagebreak page1669?> were identified through an automated calibration. To
implement the automated calibration, reference point data of leads and sea
ice were determined by visual inspection of four MODIS images collected on
17 April 2014, 25 May 2015, 10 October 2015, and 27 March 2016. While the
calibration was conducted using half of the randomly
selected reference data, the validation was performed using the remaining data. The size of
the leads detected by the proposed waveform mixture algorithm is
250 m or greater because the calibration and validation processes were
conducted using MODIS images with 250 m spatial resolution. It should be
noted that leads smaller than 250 m are hardly seen in MODIS images, which
implies that there is some uncertainty in the comparison of the lead
detection methods for small leads. Threshold combinations from 0.2 to 0.9
with a step size of 0.01 for both lead and sea ice abundances were tested,
and the one resulting in the highest accuracy was determined to be the
optimum threshold combination.</p>
      <p id="d1e677">Lead detection results were evaluated using three accuracy
metrics – producer accuracy, user accuracy, and overall accuracy (Table 1).
Producer accuracy (i.e., <inline-formula><mml:math id="M26" display="inline"><mml:mrow><mml:mi>a</mml:mi><mml:mo>/</mml:mo><mml:mo>(</mml:mo><mml:mi>a</mml:mi></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M27" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M28" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula>) in the table), which is associated
with omission errors, is calculated as the percentage of correctly
classified pixels in terms of all reference samples for each class. User
accuracy (i.e., <inline-formula><mml:math id="M29" display="inline"><mml:mrow><mml:mi>a</mml:mi><mml:mo>/</mml:mo><mml:mo>(</mml:mo><mml:mi>a</mml:mi></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M30" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M31" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula>) in the table), which is related to commission
errors, is calculated as the fraction of correctly classified pixels with
regards to the classified pixels. Overall accuracy (i.e.,
(<inline-formula><mml:math id="M32" display="inline"><mml:mi>a</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M33" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M34" display="inline"><mml:mrow><mml:mi>d</mml:mi><mml:mo>)</mml:mo><mml:mo>/</mml:mo><mml:mo>(</mml:mo><mml:mi>a</mml:mi></mml:mrow></mml:math></inline-formula> <inline-formula><mml:math id="M35" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M36" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M37" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M38" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M39" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M40" display="inline"><mml:mi>d</mml:mi></mml:math></inline-formula>) in the table) is calculated as the total number of
correctly classified samples divided by the total number of validation
sample data. The lead and ice reference data using MODIS images and
CryoSat-2 tracks were labeled through visual interpretation.</p>

<?xmltex \floatpos{t}?><table-wrap id="Ch1.T1"><caption><p id="d1e813">Error matrix for calculation of user, producer and overall accuracy
in terms of lead and ice classification.</p></caption><oasis:table frame="topbot"><oasis:tgroup cols="5">
     <oasis:colspec colnum="1" colname="col1" align="left"/>
     <oasis:colspec colnum="2" colname="col2" align="left"/>
     <oasis:colspec colnum="3" colname="col3" align="left"/>
     <oasis:colspec colnum="4" colname="col4" align="left"/>
     <oasis:colspec colnum="5" colname="col5" align="left"/>
     <oasis:thead>
       <oasis:row>  
         <oasis:entry colname="col1"/>  
         <oasis:entry colname="col2"/>  
         <oasis:entry rowsep="1" namest="col3" nameend="col5" align="center">MODIS references </oasis:entry>
       </oasis:row>
       <oasis:row rowsep="1">  
         <oasis:entry colname="col1"/>  
         <oasis:entry colname="col2"/>  
         <oasis:entry colname="col3">Lead</oasis:entry>  
         <oasis:entry colname="col4">Ice</oasis:entry>  
         <oasis:entry colname="col5">Sum</oasis:entry>
       </oasis:row>
     </oasis:thead>
     <oasis:tbody>
       <oasis:row>  
         <oasis:entry colname="col1">CryoSat-2</oasis:entry>  
         <oasis:entry colname="col2">Lead</oasis:entry>  
         <oasis:entry colname="col3"><inline-formula><mml:math id="M41" display="inline"><mml:mi>a</mml:mi></mml:math></inline-formula></oasis:entry>  
         <oasis:entry colname="col4"><inline-formula><mml:math id="M42" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula></oasis:entry>  
         <oasis:entry colname="col5">(<inline-formula><mml:math id="M43" display="inline"><mml:mi>a</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M44" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M45" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula>)</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">based</oasis:entry>  
         <oasis:entry colname="col2">Ice</oasis:entry>  
         <oasis:entry colname="col3"><inline-formula><mml:math id="M46" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula></oasis:entry>  
         <oasis:entry colname="col4"><inline-formula><mml:math id="M47" display="inline"><mml:mi>d</mml:mi></mml:math></inline-formula></oasis:entry>  
         <oasis:entry colname="col5">(<inline-formula><mml:math id="M48" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M49" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M50" display="inline"><mml:mi>d</mml:mi></mml:math></inline-formula>)</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">classification</oasis:entry>  
         <oasis:entry colname="col2">Sum</oasis:entry>  
         <oasis:entry colname="col3">(<inline-formula><mml:math id="M51" display="inline"><mml:mi>a</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M52" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M53" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula>)</oasis:entry>  
         <oasis:entry colname="col4">(<inline-formula><mml:math id="M54" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M55" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M56" display="inline"><mml:mi>d</mml:mi></mml:math></inline-formula>)</oasis:entry>  
         <oasis:entry colname="col5">(<inline-formula><mml:math id="M57" display="inline"><mml:mi>a</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M58" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M59" display="inline"><mml:mi>b</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M60" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M61" display="inline"><mml:mi>c</mml:mi></mml:math></inline-formula> <inline-formula><mml:math id="M62" display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> <inline-formula><mml:math id="M63" display="inline"><mml:mi>d</mml:mi></mml:math></inline-formula>)</oasis:entry>
       </oasis:row>
     </oasis:tbody>
   </oasis:tgroup></oasis:table></table-wrap>

      <p id="d1e1072">The monthly lead fraction was derived by dividing the number of lead
observations by the number of total observations within a 10 km grid in a
month. It is noted that, while there are more than 30 CryoSat-2 observations
in the 10 km grid around the center of the Arctic, fewer than five observations
are generally found in each 10 km grid in the marginal zones of Arctic
Ocean. This will be dealt with in the results section in more detail. It
also should be noted that it is hard for the altimeter-based lead detection
methods to be used to identify the propagating, opening and closing of leads,
such as in Wernecke and Kaleschke (2015) and this study, because sea ice and
leads generally move when the altimeters revisit a certain grid.</p>
</sec>
<sec id="Ch1.S3.SS3">
  <?xmltex \opttitle{Calculation of sensitivity in a 10\,km\,$\times$\,10\,km grid}?><title>Calculation of sensitivity in a 10 km <inline-formula><mml:math id="M64" display="inline"><mml:mo>×</mml:mo></mml:math></inline-formula> 10 km grid</title>
      <p id="d1e1089">Since each grid has a different number of CryoSat-2 observations, a
sensitivity analysis was conducted in terms of the number of observations by
grid. We tested various percentage values to identify which percentage
appropriately represents grid sensitivity. As the percentage increased, the
grid sensitivity (i.e., standard deviation) also increased but the spatial
difference was not significant; hence 30 % was chosen. Thirty percent of
the lead and ice observations in 10 km <inline-formula><mml:math id="M65" display="inline"><mml:mo>×</mml:mo></mml:math></inline-formula> 10 km grids was randomly
permuted 50 times, and the standard deviation of the resultant lead fractions
through the 50 iterations were calculated using the grids. The higher the
standard deviation in a grid, the more sensitive the observed lead fraction
is to the number of available observations. It should be noted that the
standard deviation is zero when no lead observation is found, which means the
lead fraction is also zero. Sensitivities were calculated from<?pagebreak page1670?> January to
April 2011 because these months were used to compare the lead fractions from
the proposed waveform mixture algorithm to those in the existing literature.</p>
</sec>
</sec>
<sec id="Ch1.S4">
  <title>Results</title>
<sec id="Ch1.S4.SS1">
  <title>Performance of lead classification</title>
      <p id="d1e1111">Figure 1 shows representative waveforms of leads and sea ice extracted by the
N-FINDR algorithm as endmembers. The waveform of leads is dominated by
specular reflection, resulting in a narrow peak curve. The representative
waveform of sea ice has a wider distribution due to its rough surface when
compared to that of leads. Considering different types of sea ice such as
young ice, FYI, and multiyear ice (MYI), the representative waveform of sea
ice is not significantly different from that of FYI based on visual
inspection (Zygmuntowska et al., 2013; Ricker et al., 2015; Lee et al., 2016).</p>
      <p id="d1e1114">The optimum thresholds for the lead and sea ice abundances were determined
to be 0.84 and 0.57 through the automated calibration, respectively.
According to the thresholds, leads were identified with the conditions of
lead abundance <inline-formula><mml:math id="M66" display="inline"><mml:mo>&gt;</mml:mo></mml:math></inline-formula> 0.84 and sea ice abundance <inline-formula><mml:math id="M67" display="inline"><mml:mo>&lt;</mml:mo></mml:math></inline-formula> 0.57.
Selected examples of lead detection results based on the waveform mixture
algorithm are presented in Fig. 4 with threshold-based lead detection
results from the existing literature (Rose et al., 2013; Laxon et al., 2013;
Lee et al., 2016). Simple thresholding approaches based on two waveform
parameters, pulse peakiness (PP) and stack standard deviation (SSD) were
used in Rose et al. (2013), Laxon et al. (2013), and Lee et al. (2016),
respectively. It should be noted that since the existing methods were
developed using parameters such as beam behavior parameters and backscatter
<inline-formula><mml:math id="M68" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula> extracted from baseline B data, rescaling was conducted on the
parameters extracted from newly updated baseline C data for reasonable
comparison. Since the contrast between the parameters of baselines B and
C data is not linear, we rescaled the parameters by adding their differences between the two baseline data to baseline C data.</p>
      <p id="d1e1142">Multiple lead classification methods based on CryoSat-2 data were evaluated
by visual inspection with high-resolution (250 m) MODIS images. Leads (i.e.,
red dots) and sea ice (i.e., light blue dots) are distinguished, depending on
the surface conditions of lead and sea ice (Fig. 4). For better comparisons,
a quantitative assessment is required (Fig. 4). DT from Lee et al. (2016)
produced the highest overall accuracy (95.19 %), followed by the waveform
mixture algorithm (95 %), Rose et al. (2013) (93.26 %), and Laxon et
al. (2013) (91.70 %). DT from Lee et al. (2016) produced the highest user
accuracy for leads, while the proposed approach produced the highest producer
accuracy for leads, which implies a slight overdetection of leads by the
proposed waveform mixture algorithm. The user accuracy for leads of Laxon et
al. (2013) is the lowest, resulting in much overdetection of leads (i.e.,
many leads on sea ice; Fig. 4). Similarly, the user accuracy for ice in Rose
et al. (2013) is lower than that of the proposed waveform mixture algorithm,
indicating the detection of leads on sea ice, which is shown in Fig. 4b
and c. While the performance of the waveform mixture algorithm was comparable
to the DT algorithm from Lee et al. (2016), the waveform mixture algorithm
slightly overestimated leads, resulting in a lower user accuracy for leads
than that by DT (Figs. 4 and 5). These are inevitable results because
waveforms used in the waveform mixture algorithm are basically extracted
by DT from Lee et al. (2016). The lead classification results should be
assessed during all months (i.e., January to May, and October to December)
and years (i.e., 2011 to 2016), using MODIS images to thoroughly evaluate the
proposed waveform-based algorithm for lead detection. However, the lead
classification results in January, February, November, and December were not
assessed using MODIS images due to polar nights. Thus, the lead
classification results in these months possibly have uncertainties. It should
also be noted that the validation was limited as the MODIS images did not
fully cover the entire Arctic region (top of Fig. 4).</p>

      <?xmltex \floatpos{p}?><fig id="Ch1.F4" specific-use="star"><caption><p id="d1e1147">Visual comparison of lead classifications
<bold>(a)</bold>–<bold>(d)</bold>  based on Rose et al. (2013),
<bold>(e)</bold>–<bold>(h)</bold>  based on Laxon et al. (2013),
<bold>(i)</bold>–<bold>(l)</bold> based on decision trees from Lee et al. (2016),
and <bold>(m)</bold>–<bold>(p)</bold> based on the proposed waveform mixture
algorithm. The MODIS data were collected on 27 March 2016 <bold>(a, e, i, m)</bold>, 17 April 2014 <bold>(b, f, j, n)</bold>, 25 May 2015 <bold>(c, g, k, o)</bold>,
and 10 October 2015 <bold>(d, h, l, p)</bold>. An overview map of the location of
cropped MODIS images is at the top of the figure.</p></caption>
          <?xmltex \igopts{width=455.244094pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f04.jpg"/>

        </fig>

      <?xmltex \floatpos{t}?><fig id="Ch1.F5"><caption><p id="d1e1197">Accuracy assessment results for lead detection with three
existing methods and the proposed waveform mixture algorithm (WMA).</p></caption>
          <?xmltex \igopts{width=199.169291pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f05.png"/>

        </fig>

</sec>
<sec id="Ch1.S4.SS2">
  <title>Spatiotemporal distribution of lead fraction maps</title>
      <?pagebreak page1672?><p id="d1e1212">The monthly lead fraction maps with a 10 km grid from January to May, and
October to December from 2011 to 2016 are shown in Figs. 6 and 7. The period
from June to September is generally considered to be the melting season. In
this season, the presence of leads as well as melt pond in sea ice are
dominant. It is difficult to accurately distinguish leads from sea ice due to
the fact that the waveform of the melt pond is quite similar to that of
leads. Since the lead detection methods for the retrieval of sea ice
thickness do not work well in the melting season, the sea ice thickness
during the melting season is still unavailable (Tilling et al., 2017). We
have compared lead fraction maps to the different spatial resolutions (i.e.,
10, 50, and 100 km) to decide the proper spatial resolution. The spatial
distribution of all lead fraction maps looked similar (not shown) because the
ratios of lead observations to the entire CryoSat-2 observations did not
significantly change among different spatial resolutions. Although the number
of CryoSat-2 observations with a 10 km grid around the coastline is
small (5–10), the greater number of observations in larger grids (50 and
100 km) resulted in a similar distribution of lead fraction around the
coastline. It is believed that the lead fraction maps with 10 km spatial
resolution better represent the detailed spatial distribution of leads. The
areas in the marginal ice zones of the Arctic Ocean clearly show a high lead
fraction due to the shear zone (i.e., an area of deformed sea ice along the
coast and outflow of sea ice (Serreze and Barry, 2005). In particular, the
high lead fraction was found around the Beaufort Sea during the spring
season (MAM) because of the Beaufort Gyre, a wind-driven ocean current. It is
widely known that the Chukchi Sea is the main strait through which warm
Pacific water flows into the Arctic (Woodgate et al., 2006, 2010). However,
the lead fraction around the Chuckchi Sea was lower than the lead fraction
around the Beaufort Sea from January to April (i.e., winter season) 2011
and 2016, excluding 2015. While the lead fraction decreases from October to
March (i.e., freezing season) with a minimum in March, the lead fraction
starts to increase from April.</p>
      <p id="d1e1215">Changes in the Arctic Ocean circulation have contributed to the change in
state of sea ice. The lead fraction along the coast of northwestern
Greenland in Figs. 6 and 7 is low because of the convergence of sea ice by
two major circulations, as shown in Kwok (2015). Kwok et al. (2013) revealed
that the currents speed of Beaufort Gyre and Transpolar Drift increased
from 1982 to 2009, leading to a decrease in the fraction of MYI.
However, we do not find an increase in lead fraction between 2011 and 2016,
likely due to the high interannual variability in lead fraction (Fig. 8).
In order to properly compare the Arctic current circulations and lead
fraction, long-term lead fraction data are needed.</p>

      <?xmltex \floatpos{p}?><fig id="Ch1.F6" specific-use="star"><caption><p id="d1e1220">Monthly lead fraction maps based on the waveform mixture algorithm from
January to May and October to December between 2011 and 2013. The range of the
color bar was set from 0 to 0.5 to emphasize lower values.</p></caption>
          <?xmltex \igopts{width=455.244094pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f06.jpg"/>

        </fig>

      <?xmltex \floatpos{p}?><fig id="Ch1.F7" specific-use="star"><caption><p id="d1e1232">Monthly lead fraction maps based on the waveform mixture algorithm from
January to May and October to December between 2014 and 2016. The range of the
color bar was set from 0 to 0.5 to emphasize lower values.</p></caption>
          <?xmltex \igopts{width=469.470472pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f07.jpg"/>

        </fig>

      <?xmltex \floatpos{t}?><fig id="Ch1.F8"><caption><p id="d1e1243">Averaged seasonal lead fraction in spring (MAM), fall (ON), and
winter (DJF) between 2011 and 2016. The lead fraction from June to September
was not available because leads were hard to distinguish from melt ponds using
CryoSat-2 in the summer season.</p></caption>
          <?xmltex \igopts{width=170.716535pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f08.png"/>

        </fig>

</sec>
<sec id="Ch1.S4.SS3">
  <title>Grid sensitivity analysis</title>
      <p id="d1e1258">The high standard deviation values around the coastline of the Arctic Ocean
imply that the reliability of lead fractions was low. This might further
explain why we do not observe an increase in the lead fraction in marginal
zones as reported in the literature. On the other hand, the relatively large
number of CryoSat-2 observations around the North Pole produced low standard
deviations, indicating less sensitivity (Fig. 9i–l). As mentioned in
Sect. 3.2, the number of CryoSat-2 observations decreases from the North Pole
toward the coastline of Arctic Ocean. This results in an increase in
statistical uncertainties when calculating monthly lead fraction around the
coastline of Arctic Ocean based on the small number of CryoSat-2
observations. The number of lead and ice observations is shown in Fig. 9a–h.
While there are a few lead observations in the central Arctic, a large number
of ice observations was found in the central Arctic. The high standard
deviation values around the coastline of the Arctic Ocean imply that the
reliability of lead fractions was low, while the relatively large number of
CryoSat-2 observations around the North Pole produced low standard deviation
indicating less sensitivity (Fig. 9i–l). There was a spatial difference of
sensitivity by month (i.e., January to April) because of the different number
of lead observations. Especially since there was no lead observation in the
East Siberian coast and eastern Laptev Sea, the sensitivity (i.e., standard
deviation) was also zero (Fig. 9c and d). It should be noted that the
corresponding lead fraction might not represent an actual lead fraction in a
10 km <inline-formula><mml:math id="M69" display="inline"><mml:mo>×</mml:mo></mml:math></inline-formula> 10 km grid. This is a drawback when calculating monthly
lead fraction maps with satellite altimeters.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F9" specific-use="star"><caption><p id="d1e1270"><bold>(a–d)</bold> The number of lead observations, <bold>(e–h)</bold> the
number of ice observations, and <bold>(i–l)</bold> the standard deviation of the results
based on the sensitivity analysis of lead fraction from January to April 2011.</p></caption>
          <?xmltex \igopts{width=455.244094pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f09.jpg"/>

        </fig>

</sec>
</sec>
<sec id="Ch1.S5">
  <title>Discussion</title>
<sec id="Ch1.S5.SS1">
  <title>Comparison of lead classification methods</title>
      <p id="d1e1300">Since the overall accuracy metrics of the proposed waveform mixture algorithm
approach was comparable to those of the existing methods, especially DT, the
waveform-based method can be used for estimating sea surface height anomaly. Threshold-based lead
detection methods have to be rescaled whenever baseline data are updated. For
example, beam behavior parameters and backscatter <inline-formula><mml:math id="M70" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula> changed
slightly between usage of baseline B and C data. Thus, thresholds must also
be updated in order to appropriately identify leads using the threshold-based
methods. However, the waveform mixture algorithm is less affected by the
change in baseline data because waveforms can still be used to detect leads
using updated baseline data. This is the strong point of the waveform mixture
algorithm when compared to the existing methods.</p>
      <?pagebreak page1675?><p id="d1e1314">The use of the waveform mixture algorithm might not work well for detecting
refreezing leads. In Fig. 4 c, g, k, and o, the dark area in the MODIS scenes
around the latitude of 84.26<inline-formula><mml:math id="M71" display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> N and longitude of 43<inline-formula><mml:math id="M72" display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> W was
determined to be a lead class with visual inspection of the images and
waveforms. Rose et al. (2013) classified this region as ice. Laxon et
al. (2013) and the waveform mixture algorithm detected one lead in that
region. In Lee et al. (2016), DT detected more leads in that region than the
other methods, but the validation could not entirely cover the dark area. In
fact, since the leads are often refrozen, the shape of the waveforms in that
region were likely more similar to the FYI waveform than the lead waveform
(Zygmuntowska et al., 2013; Ricker et al., 2015; Lee et al., 2016). In the
context of the waveform mixture algorithm, this region could be classified as
ice. Therefore, in order to more accurately detect leads, a surface elevation
anomaly is needed as well as beam behavior parameters, backscatter
<inline-formula><mml:math id="M73" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>, and the waveform mixture algorithm because the surface
elevation anomaly on refreezing leads would be low, as in other leads.</p>
</sec>
<sec id="Ch1.S5.SS2">
  <title>Comparison to other lead fraction maps</title>
      <p id="d1e1352">Four monthly lead fraction maps (Röhrs and Kaleschke, 2012; Wernecke and
Kaleschke, 2015; Willmes and Heinemann, 2015) were compared to evaluate the
pros and cons of each method used to produce the maps (Fig. 10). All four methods represent the spatiotemporal pattern of leads well for the
freezing season from January to March. Scene-based lead fraction maps (i.e.,
AMSR-E in Fig. 10a–c, and MODIS in Fig. 10d–f) and
altimeter-based lead fraction maps (i.e., CryoSat-2 in Fig. 10g–l) have
fundamentally different spatial characteristics, as AMSR-E and MODIS are
sensitive to different surface features. Scene-based lead fraction maps
better represent the linear feature of leads and coastal polynya than
altimeter-based lead fraction maps. Since the AMSR-E-based approach only
detects relatively large (<inline-formula><mml:math id="M74" display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 3 km) leads, lead fractions are
generally lower than in the fraction maps using the other approaches. While
altimeter-based lead fractions in January 2011 (Fig. 10g and j) in the
Chuckchi Sea were high, scene-based lead fractions (Fig. 10a–f) were low
in January 2011. There are deformed and fragmented sea ices in the Chukchi
Sea, which are different from the general lead shape. Altimeter-based lead
detection methods identified leads between deformed and fragmented sea ices,
generating a higher lead fraction in the Chukchi Sea in January 2011
(Fig. 10g and j). However, scene-based lead fraction methods did not detect leads
in the Chukchi Sea well, resulting in a lower lead fraction. The MODIS-based
lead detection method that used IST did not detect
leads in the Chukchi Sea (Fig. 10d–f). In the AMSR-E images, sea
ice signals were dominant in the footprint around the Chukchi Sea and cracks
between deformed and fragmented sea ices were identified as ice.</p>
      <p id="d1e1362">Altimeter-based monthly fraction maps might be insufficient to represent
monthly lead fractions in the coastline of the Arctic Ocean due to the
limited number of CryoSat-2 observations in a month. Nonetheless,
altimeter-based lead fraction maps documented the overall spatial
distribution of leads reasonably, in particular for high lead fractions in the
shear zone. Wernecke and Kaleschke (2015) used a random cross-validation
technique to derive optimum thresholds based on ground references (i.e.,
MODIS images). They identified leads conservatively to reduce false
classifications. The classification results strongly depend on ground
reference data. Since relatively high-resolution (250 m) MODIS images were
used to construct reference data in this study, the waveform mixture
algorithm was able to identify small leads through the calibration process
of the abundance data (Fig. 4). Although the proposed waveform mixture
algorithm produced lead fraction maps with higher spatial resolution than
those in Wernecke and Kaleschke (2015), the lead fractions around the
coastline of the Arctic Ocean from Wernecke and Kaleschke (2015) appeared to
have less sensitivity. This is because of the larger number of lead
observations in a much coarser grid than that from our results. The grid
sensitivity analysis should be considered when interpreting the lead
fraction maps around the coastline of the Arctic Ocean derived by the
proposed waveform mixture algorithm.</p>
      <p id="d1e1365">The choice of monthly lead fraction maps depends on the user's interest.
Scene-based lead fraction maps better represent coastal polynya and the
intrinsic form of leads (Röhrs and Kaleschke, 2012; Willmes and
Heinemann, 2016). CryoSat-2-based lead fraction maps might not represent the
linear shape of typical leads well like cracks which include deformed and
fragmented sea ices that are not in linear form. This is also a way to
exchange heat and momentum transfer between the atmosphere and ocean, which
can be detected as leads.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F10" specific-use="star"><caption><p id="d1e1370">Comparison to other lead fraction maps from January to March 2011.
<bold>(a–c)</bold> Monthly mean thin ice concentration maps using AMSR-E from
Röhrs and Kaleschke (2012). <bold>(d–f)</bold> Monthly mean lead fraction
maps using MODIS from Willmes and Heinemann (2015). <bold>(g-i)</bold> Monthly
lead fraction maps using CryoSat-2 from Wernecke and Kaleschke (2015).
<bold>(j–l)</bold> Monthly lead fraction maps based on the waveform mixture
algorithm using Cryosat-2 in this study.</p></caption>
          <?xmltex \igopts{width=455.244094pt}?><graphic xlink:href="https://tc.copernicus.org/articles/12/1665/2018/tc-12-1665-2018-f10.jpg"/>

        </fig>

</sec>
<sec id="Ch1.S5.SS3">
  <title>Novelty and limitations</title>
      <p id="d1e1397">In this study, we developed an alternative lead detection method (i.e.,
waveform mixture algorithm) using CryoSat-2 L1b data, which can overcome the
drawbacks of the previous threshold-based lead detection methods. Regardless
of an update in CryoSat-2 baseline data, the proposed waveform mixture
algorithm can consistently identify leads without rescaling parameters such
as beam behavior parameters, pulse peakiness, and backscatter <inline-formula><mml:math id="M75" display="inline"><mml:mrow><mml:msub><mml:mi mathvariant="italic">σ</mml:mi><mml:mn mathvariant="normal">0</mml:mn></mml:msub></mml:mrow></mml:math></inline-formula>.
Such parameters must be re-scaled to implement threshold-based lead detection
methods when using updated CryoSat-2 baseline data. In addition, the proposed
waveform mixture algorithm outperformed the existing simple
thresholding-based methods<?pagebreak page1676?> (Rose et al., 2013; Laxon et al., 2013) and was
comparable to the machine-learning-based thresholding method (Lee et al.,
2016). These advantages make the proposed waveform mixture algorithm useful
for integration in operational systems.</p>
      <p id="d1e1411">However, the waveform mixture algorithm depends on the quality of
the endmembers. Although the use of the N-FINDR algorithm decreased the
subjective selection of endmembers, waveform samples of leads and sea ice
derived by DT algorithm from Lee et al. (2016) may introduce uncertainty
because the algorithm was validated for March and April from 2011 to 2014.
The leads that are not identifiable in the MODIS images were not considered
in this study. Detecting leads smaller than the along track resolution of
CryoSat-2 (<inline-formula><mml:math id="M76" display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 300 m) with various lead detection methods should
be further discussed in detail in future research using high-resolution
Landsat or SAR imagery. This is quite important in the retrieval of sea ice
thickness using an altimeter because leads are used as the tie points for
the sea surface height (SSH). For example, how the leads smaller than the
along-track resolution of CryoSat-2 affect the waveform and SSH should be
further investigated. The spatial resolution of monthly lead fraction maps
improved up to 10 km, showing a detailed spatial distribution of leads in
the Arctic. For example, 10 km lead fractions showed significant variations
in some regions, while 50 or 100 km lead fractions did not because lead
fractions are averaged, resulting in blurred spatial patterns.</p>
</sec>
</sec>
<sec id="Ch1.S6" sec-type="conclusions">
  <title>Conclusions</title>
      <p id="d1e1428">The waveform mixture algorithm was proposed to detect leads with
CryoSat-2 L1b data. The lead and sea ice waveforms were considered to be
endmembers that are essential<?pagebreak page1677?> for implementing the waveform mixture
algorithm. The endmembers (i.e., representative waveforms of leads and sea
ice) were extracted by the N-FINDR algorithm among numerous waveforms (i.e.,
420 858 waveforms of sea ice and 8501 waveforms of leads). The thresholds
used for the binary classification were determined by calibrating lead and
sea ice abundances with reference data extracted from a high-resolution
(250 m) MODIS images. The results show that the proposed approach robustly
classified leads with comparable performance to DT from Lee et al. (2016) and
slightly better than the existing simple thresholding approaches for lead
detection (Rose et al., 2013; Laxon et al., 2013). Furthermore, the lead
detection of the waveform mixture algorithm was comparable to the DT-based
lead detection method (Lee et al., 2016), suggesting that a sea ice freeboard
can be retrieved with the robust lead detection method using the waveform
mixture algorithm. Monthly lead fraction maps were produced using the
proposed waveform mixture approach, showing clear interannual variability.
The results of the lead fraction maps are consistent with the findings of
recent studies (Tilling et al., 2015; Ricker et al., 2017; Kim et al., 2017).</p>
      <p id="d1e1431">Threshold-based lead detection methods heavily depend on beam behavior
parameters. However, the proposed waveform mixture algorithm
directly uses waveforms, which does not require it to change any parameters
when the CryoSat-2 baseline version is updated. This method can be easily
adapted to future missions. In this context, this waveform mixture algorithm
can be used to consistently produce monthly lead fraction maps during the
extended CryoSat-2 mission for monitoring Arctic sea ice. In addition, this
study showed the high interannual variability of pan-Arctic lead fractions
in recent years (i.e., 2011–2016).</p>
</sec>

      
      </body>
    <back><notes notes-type="dataavailability">

      <p id="d1e1438">The research data can be obtained by request to the
corresponding author (ersgis@unist.ac.kr).</p>
  </notes><notes notes-type="competinginterests">

      <p id="d1e1444">The authors declare that they have no conflict of
interest.</p>
  </notes><ack><title>Acknowledgements</title><p id="d1e1450">This study was supported by the Korea Polar Research Institute (KOPRI) grant
PE18120 (Research on analytical techniques for satellite observations of
Arctic sea ice).<?xmltex \hack{\newline}?><?xmltex \hack{\newline}?>
Edited by: Bert Wouters <?xmltex \hack{\newline}?>
Reviewed by: Sascha Willmes and two anonymous referees</p></ack><ref-list>
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<abstract-html><p>We propose a waveform mixture algorithm to detect leads from CryoSat-2 data,
which is novel and different from the existing threshold-based lead detection
methods. The waveform mixture algorithm adopts the concept of spectral
mixture analysis, which is widely used in the field of hyperspectral image
analysis. This lead detection method was evaluated with high-resolution
(250 m) MODIS images and showed comparable and promising performance in
detecting leads when compared to the previous methods. The robustness of the
proposed approach also lies in the fact that it does not require the
rescaling of parameters (i.e., stack standard deviation, stack skewness,
stack kurtosis, pulse peakiness, and backscatter <i>σ</i><sub>0</sub>), as it directly
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lead fraction maps were produced by the waveform mixture algorithm, which
shows interannual variability of recent sea ice cover during 2011–2016,
excluding the summer season (i.e., June to September). We also compared the
lead fraction maps to other lead fraction maps generated from previously
published data sets, resulting in similar spatiotemporal patterns.</p></abstract-html>
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