Inversion of a lidar waveform model for forest biophysical parameter estimation

Due to its measurement principle, light detection and ranging (lidar) is particularly suited to estimate the horizontal as well as vertical distribution of forest structure. Quantification and characterization of forest structure is important for the understanding of the forest ecosystem functioning and, moreover, will help to assess carbon sequestration within forests. The relationship between the signal recorded by a lidar system and the canopy structure of a forest can be accurately characterized by physically based radiative transfer models (RTMs). A three-dimensional RTM is capable of representing the complex forest canopy structure as well as the involved physical processes of the lidar pulse interactions with the vegetation. Consequently, the inversion of such an RTM presents a novel concept to retrieve biophysical forest parameters that exploits the full lidar signal and underlying physical processes. A synthetic dataset and data acquired in the Swiss National Park (SNP) successfully demonstrated the feasibility and the potential of RTM inversion to retrieve forest structure from large-footprint lidar waveform data. The SNP lidar data consist of waveforms generated from the aggregation of small-footprint lidar returns. Derived forest biophysical parameters, such as fractional cover, leaf area index, maximum tree height, and the vertical crown extension, were able to describe the horizontal and vertical forest canopy structure.     

林木空间格局对大光斑激光雷达波形的影响模拟

激光雷达是近年来国际上发展十分迅速的主动遥感技术，在森林参数的定量测量和反演上取得了成功应用。激光雷达具有与被动光学遥感不同的成像机理，对植被空间结构和地形的探测能力很强。大光斑激光雷达系统一般指光斑直径在8—70m、连续记录激光回波波形的激光雷达系统。由于大光斑连续回波的激光雷达的光斑尺寸通常大于林木冠幅，波形中往往包含了森林冠层和许多森林元素的信息而不仅仅是单株树的信息。对于搭载在ICESAT卫星上的GLAS而言，光斑直径为70m，因此光斑对应着一片森林，包括很多棵树，在GLAS的激光光斑内树木的空间分布会有一定变化。同时激光雷达发射的脉冲信号在激光光斑内的分布也不均匀，而是从中心到边缘呈递减的分布。因此树木空间分布模式的变化对波形会产生一定的影响。通过对几种典型的树木空间格局进行模拟（包括规则分布、均匀（随机）分布和集群分布），假定激光光斑内能量呈高斯分布，模拟了各种树木分布模式林分的激光雷达信号。从模拟结果可见，森林的空间分布模式对大光斑激光雷达波形有明显的影响，对于波形面积（AWAV）和波形半能量高度（HOME），规则分布〉随机分布〉团状分布。其中对于HOME而言，规则分布和随机分布十分接近，而对于AWAV而言，聚集中心的变动不太敏感。     

利用激光雷达和多角度频谱成像仪数据估测森林垂直参数

植被的结构参数如植被高度、生物量、水平和垂直分布等，是影响陆地与大气能量交换乃至生物圈多样性的重要因素。多数遥感系统虽然可以提供植被水平结构的图像，但是不能提供植被成分垂直分布的信息。大尺度激光雷达仪器如LVIS产生的激光雷达信号，已成功地用于估计树高和森林生物量，然而大多数激光雷达仪器不具备图像能力，只能提供一个区域内的采样数据。其他的遥感数据如多角度高光谱、多频率多时相辐射计或雷达数据，可根据GLAS（Geoscience Laser Altimeter System）采样的测量用来推断出连续的森林结构区域覆盖参数。 MISR（Multi-angle Imaging Spectrometer）对陆表多角度的成像能力，可以通过BRDF的各向异性提供植被的结构信息。结合激光雷达的垂直采样和MISR的图像，区域内乃至全球性的森林空间参数的成像是可能的。ICESat卫星上的GLAS数据、Terra卫星上的MISR数据为区域或全球性森林结构参数提供了可能。本文的研究目的是评估GLAS数据，分析类似于MISR的数据对森林结构参数的估计能力。本文中使用了LVIS、AirMISR和GLAS数据。通过对GLAS树高的测量与GLAS像元内来自LVIS的平均树高对比，发现它们是高度相关的。同时还探讨了多角度频谱成像仪数据预测树高信息的能力，这将在今后区域内森林结构参数映射加以研究。     

Lidar-aided analysis of boreal forest backscatter at Ku band

This paper analyzes the backscatter of the microwave signal in a boreal forest environment based on a Ku -band airborne Frequency-Modulated Continuous Waveform (FMCW) profiling radar—Tomoradar. We selected a half-managed boreal forest in the southern part of Finland for a field test. By decomposing the waveform collected by the Tomoradar, the vertical canopy structure was achieved. Based on the amplitude of the waveform, the Backscattered Energy Ratio of Canopy-to-Total (BERCT) was calculated. Meanwhile, the canopy fraction was derived from the corresponding point cloud recorded by a Velodyne VLP-16 LiDAR mounted on the same platform. Lidar-derived canopy fraction was obtained by counting the number of the first/ the strongest returns versus the total amount of returns. Qualitative and quantitative analysis of radar-derived BERCT on lidar-derived canopy fraction and canopy height are investigated. A fitted model is derived to describe the Ku-band microwave backscatter in the boreal forest to numerically analyze the proportion contributed by four factors: lidar-derived canopy fraction, radar-derived canopy height, the radar-derived distance between trees and radar sensor and other factors, from co-polarization Tomoradar measurements. The Root Mean Squared Error (RMSE) of the proposed model was 0.0958, and the coefficient of determination R2 was 0.912. The fitted model reveals that the correlation coefficient between radar-derived BERCT and lidar-derived canopy fraction is 0.84, which illustrates that lidar surface reflection explains the majority of the profiling /waveform radar response. Thus, vertical canopy structure derived from lidar can be used for the benefit of radar analysis.     

Above ground biomass estimation in an African tropical forest with lidar and hyperspectral data

The estimation of above ground biomass in forests is critical for carbon cycle modeling and climate change mitigation programs. Small footprint lidar provides accurate biomass estimates, but its application in tropical forests has been limited, particularly in Africa. Hyperspectral data record canopy spectral information that is potentially related to forest biomass. To assess lidar ability to retrieve biomass in an African forest and the usefulness of including hyperspectral information, we modeled biomass using small footprint lidar metrics as well as airborne hyperspectral bands and derived vegetation indexes. Partial Least Square Regression (PLSR) was adopted to cope with multiple inputs and multicollinearity issues; the Variable of Importance in the Projection was calculated to evaluate importance of individual predictors for biomass. Our findings showed that the integration of hyperspectral bands (R² = 0.70) improved the model based on lidar alone (R² = 0.64), this encouraging result call for additional research to clarify the possible role of hyperspectral data in tropical regions. Replacing the hyperspectral bands with vegetation indexes resulted in a smaller improvement (R² = 0.67). Hyperspectral bands had limited predictive power (R² = 0.36) when used alone. This analysis proves the efficiency of using PLSR with small-footprint lidar and high resolution hyperspectral data in tropical forests for biomass estimation. Results also suggest that high quality ground truth data is crucial for lidar-based AGB estimates in tropical African forests, especially if airborne lidar is used as an intermediate step of upscaling field-measured AGB to a larger area.     

Assessment of terrain elevation derived from satellite laser altimetry over mountainous forest areas using airborne lidar data

Gaussian decomposition has been used to extract terrain elevation from waveforms of the satellite lidar GLAS (Geoscience Laser Altimeter System), on board ICESat (Ice, Cloud, and land Elevation Satellite). The common assumption is that one of the extracted Gaussian peaks, especially the lowest one, corresponds to the ground. However, Gaussian decomposition is usually complicated due to the broadened signals from both terrain and objects above over sloped areas. It is a critical and pressing research issue to quantify and understand the correspondence between Gaussian peaks and ground elevation. This study uses ～2000 km² airborne lidar data to assess the lowest two GLAS Gaussian peaks for terrain elevation estimation over mountainous forest areas in North Carolina. Airborne lidar data were used to extract not only ground elevation, but also terrain and canopy features such as slope and canopy height. Based on the analysis of a total of ～500 GLAS shots, it was found that (1) the lowest peak tends to underestimate ground elevation; terrain steepness (slope) and canopy height have the highest correlation with the underestimation, (2) the second to the lowest peak is, on average, closer to the ground elevation over mountainous forest areas, and (3) the stronger peak among the lowest two is closest to the ground for both open terrain and mountainous forest areas. It is expected that this assessment will shed light on future algorithm improvements and/or better use of the GLAS products for terrain elevation estimation.     

机载激光雷达数据分析与反演青海云杉林结构信息

利用机载激光雷达点云数据,计算了9种度量指标,并将其分为冠层的高度指标、结构复杂度指标和覆盖度指标。利用高度指标和结构复杂度指标,结合大量实测单木结构与年龄估测数据,从样点和区域尺度分别分析了青海云杉林冠层垂直结构分布,分析得知实验区内主要以中龄林和成熟林为主,冠层垂直分布复杂程度偏低,高度分化程度一般。通过回归分析发现首次回波覆盖度指标FCI与实测的有效植被面积指数PAI_e有良好的相关性（R²=0.66）,在此基础上基于辐射传输模型反演了实验区内PAI_e的水平分布,且用实测数据验证发现反演的PAI_e略高于实测值（R²=0.67）,绝对平均误差为0.65。分析结果很好地反映了激光雷达在森林空间结构信息提取方面的应用潜力。     

面向森林植被的星载大光斑激光雷达回波仿真

利用星载激光雷达的大光斑全波形数据估测植被结构参数、监测森林生态已受到广泛关注。为了更准确地理解森林植被的结构参数和光学特性对激光雷达回波波形的影响,利用实测森林植被数据提取植被空间分布的统计规律,考虑地形坡度变化和植被冠层反射特性的影响,生成参数化的森林植被空间轮廓反射模型,结合星载激光雷达的回波理论,建立了面向植被的星载激光雷达波形仿真器。由大兴安岭地区的实测植被数据提取的统计规律生成的森林目标仿真波形与地球科学激光测高仪系统（Geoscience Laser Altimeter System,GLAS）真实回波波形具有较好的一致性,平均相关系数R2达到0.91。通过波形仿真分析发现,光斑尺寸减小有利于大坡度地形的森林信息反演,研究成果对中国未来研制星载激光雷达载荷的系统参数设计具有参考意义。     

The Potential of Virtual Reality Technology for Analysis of Remotely Sensed Data: A Lidar Case Study

Abstract

Although the GIS community has been quick to exploit the advantages of virtual reality (VR) for display and analysis of spatial data, VR does not appear to have been exploited widely for remote sensing data analysis. A case study of high resolution lidar data acquired over a deciduous forest near Morgantown, WV was used to investigate the potential and limitations of current VR software for remote sensing analysis. The functionality within a standard remote sensing software package was found to provide a good overview of interpolated, smoothed lidar data, but was less useful for gridded data that had not been interpolated. With gridded data, it was possible to drape orthophotographs or other images over the lidar data, providing a useful method for investigating relationships between lidar and other data. Alternatively, using a commercial VR package, it was possible to view the original lidar point data, and thus visualize the multiple returns from within the canopy of each tree. The point data were preferable for identification of surfaces within the data cloud, especially the ground surface. For a fully integrated remote sensing VR package, functionality will be needed to link point and interpolated coverages, and also to enhance the interactive selection of data for further statistical analysis.     

Assessing the potential for leaf-off LiDAR data to model canopy closure in temperate deciduous forests

Estimates of canopy closure have many important uses in forest management and ecological research. Field measurements, however, are typically not practical to acquire over expansive areas or for large numbers of locations. This problem has been addressed, in recent years, through the use of airborne light detection and ranging (LiDAR) technology which has proven effective in modeling canopy closure remotely. The techniques developed to use LiDAR for this purpose have been designed and evaluated for datasets acquired during leaf-on conditions. However, a large number of LiDAR datasets are acquired during leaf-off conditions since their primary purpose is to generate bare-earth Digital Elevation Models. In this paper, we develop and evaluate techniques for leveraging small-footprint leaf-off LiDAR data to model leaf-on canopy closure in temperate deciduous forests.We evaluate three techniques for modeling canopy closure: (1) the canopy-to-total-return-ratio (CTRR), (2) the canopy-to-total-pixel-ratio (CTPR), and (3) the hemispherical-viewshed (HV). The first technique has been used widely, in various forms, and has been shown to be effective with leaf-on LiDAR datasets. The CTRR technique that we tested uses the first-return LiDAR data only. The latter two techniques are new contributions that we develop and present in this paper. These techniques use Canopy Height Models (CHM) to detect significant gaps in the forest canopy which are of primary importance in estimating closure.The techniques we tested each showed good promise for predicting canopy closure using leaf-off LiDAR data with the CTPR and HV models having particularly high correlations with closure estimates from hemispherical photographs. The CTRR model had performance on par with results from previous studies that used leaf-on LiDAR, although, with leaf-off data the model tended to be negatively biased with respect to species having simple and compound leaf types and positively biased for coniferous species. The CTPR and HV models also showed some slight negative biases for compound-leaf species. The biases for the CTPR and HV models were mitigated when the CHM data were smoothed to fill in small gaps. The CHM-based models were robust to changes in the CHM model resolution which suggests that these methods may be applicable to a variety of small-footprint LiDAR datasets. In this research, the new CTPR and HV methods showed a strong ability to predict canopy closure using leaf-off data, however, future work will be needed to test the applicability of the models to variations in LiDAR datasets, forest types, and topography.     

A Growth Prediction System for Local Stand Volume Derived from LIDAR Data

Recent advances in light detection and ranging (LIDAR) technology have enabled the estimation of valuable canopy parameters (e.g., crown diameter, leaf area, and canopy structure) that are difficult to obtain through in situ surveys. The objective of this study was to assess the utility of LIDAR-derived measurements of crown and growth parameters to model and predict the growth of sugi (Cryptomeria japonica) stands located in the University of Tokyo Forest, Chiba Prefecture, Japan. Initially, we confirmed that crown lengths and widths of trees in stands of various densities obtained from LIDAR data correlated with those measured in situ. Then, we developed a crown growth model from repeated LIDAR measurements of stands, suggesting that LIDAR data are adequate for this purpose, and indicating that crown surface area and tree volume growth were linearly related (R² = 0.90; p < 0.01; RMSE tree volume < 0.02 m³). The model also provided robust predictions of the volume growth of local forests in 10 × 10 m plots based on LIDAR-derived estimates of crown surface areas. Future work should test the applicability of this growth model to facilitate practical forest management.     

An improved method for estimating forest canopy height using ICESat-GLAS full waveform data over sloping terrain: A case study in Changbai mountains,China

Light Detection And Ranging (LiDAR) has a unique capability for estimating forest canopy height, which has a direct relationship with, and can provide better understanding of the aboveground forest carbon storage. The full waveform data of the large-footprint LiDAR Geoscience Laser Altimeter System (GLAS) onboard the Ice, Cloud, and land Elevation Satellite (ICESat), combined with field measurements of forest canopy height, were employed to achieve improved estimates of forest canopy height over sloping terrain in the Changbai mountains region, China. With analyzing ground-truth experiments, the study proposed an improved model over Lefsky's model to predict maximum canopy height using the logarithmic transformation of waveform extent and elevation change as independent variables. While Lefsky's model explained 8–89% of maximum canopy height variation in the study area, the improved model explained 56–92% of variation within the 0–30° terrain slope category. The results reveal that the improved model can reduce the mixed effects caused by both sloping terrain and rough land surface, and make a significant improvement for accurately estimating maximum canopy height over sloping terrain.     

Selection of Forest Stands for Stem Volume Retrieval From Stable ERS Tandem InSAR Observations

Environmental factors influence the accuracy in stem volume retrieval using European Remote Sensing Satellite (ERS) tandem synthetic aperture radar (SAR) interferometry. Some forest stands are more sensitive than others to heterogeneity of environmental properties, forest properties, and noise. It is shown that the consistency of coherence observations between different image pairs or the consistency of the estimated stem volume can be used to sort forest stands according to increasing errors in stem volume estimates associated with varying forest properties. Fifteen ERS tandem pairs were used to determine the relative root mean square error (RMSE) of stem volume estimated from C-band SAR interferometry. The test site, Tuusula in Finland, contains 210 forest stands with stem volumes up to 539 m³/ha. RMSE varies between 17% and 63% depending on number and type of stands included in the retrieval accuracy analysis. The more homogeneous forest stands with larger area and higher stem volumes of spruce and pine are those with highest retrieval accuracy     

基于遥感的区域尺度森林地上生物量估算研究

森林是陆地生态系统最大的碳库,精确估算森林生物量是陆地碳循环研究的关键。首先从机载LiDAR数据中提取高度和密度统计量,采用逐步回归模型进行典型样区生物量估算;然后利用机载LiDAR数据估算的生物量作为样本数据,与多光谱遥感数据Landsat8 OLI的波段反射率及植被指数建立回归模型,实现区域尺度森林地上生物量估算。实验结果显示,机载LiDAR数据估算的鼎湖山样区生物量与地面实测生物量的相关性R2达0.81,生物量RMSE为40.85 t/ha,说明机载LiDAR点云数据的高度和密度统计量与生物量存在较高的相关性。以机载LiDAR数据估算的生物量为样本数据,结合多光谱遥感数据Landsat8 OLI估算粤西北地区的森林地上生物量,精度验证结果为:R2为0.58,RMSE为36.9 t/ha;针叶林、阔叶林和针阔叶混交林等3种不同森林类型生物量的估算结果为:R2分别为0.51(n=251)、0.58(n=235)和0.56(n=241),生物量RMSE分别为24.1 t/ha、31.3 t/ha和29.9 t/ha,估算精度相差不大。总体上看,利用遥感数据可以开展区域尺度的森林地上生物量估算,为森林固碳监测提供有力的参考数据。     

Estimation of forest leaf water content through inversion of a radiative transfer model from LiDAR and hyperspectral data

The accurate estimation of leaf water content (LWC) and knowledge about its spatial variation are important for forest and agricultural management since LWC provides key information for evaluating plant physiology. Hyperspectral data have been widely used to estimate LWC. However, the canopy reflectance can be affected by canopy structure, thereby introducing error to the retrieval of LWC from hyperspectral data alone. Radiative transfer models (RTM) provide a robust approach to combine LiDAR and hyperspectral data in order to address the confounding effects caused by the variation of canopy structure. In this study, the INFORM model was adjusted to retrieve LWC from airborne hyperspectral and LiDAR data. Two structural parameters (i.e. stem density and crown diameter) in the input of the INFORM model that affect canopy reflectance most were replaced by canopy cover which could be directly obtained from LiDAR data. The LiDAR-derived canopy cover was used to constrain in the inversion procedure to alleviate the ill-posed problem. The models were validated against field measurements obtained from 26 forest plots and then used to map LWC in the southern part of the Bavarian Forest National Park in Germany. The results show that with the introduction of prior information of canopy cover obtained from LiDAR data, LWC could be retrieved with a good accuracy (R² = 0.87, RMSE = 0.0022 g/cm², nRMSE = 0.13). The adjustment of the INFORM model facilitated the introduction of prior information over a large extent, as the estimation of canopy cover can be achieved from airborne LiDAR data.     

中国南方森林冠顶高度Lidar反演—以江西省为例

激光雷达(Lidar)与光学遥感的有效结合对中国南方区域森林冠顶高度反演意义重大,而国产卫星将为中国森林生态研究提供新的数据源。本文联合利用大脚印激光雷达GLA和国产MERSI数据,在实现GLAS波形数据处理和不同地形条件下森林冠顶高度反演算法基础上,建立了区域尺度不同森林类型林分冠顶高度GLAS+MERSI联合反演关系模型,进行了江西地区森林冠顶高度反演。总体上,GLAS激光雷达森林冠顶高度估算精度较高;且在与MERSI 250 m数据的联合反演模型中,针叶林模型精度较好(R²=0.7325);阔叶林次之(R²=0.6095);混交林较差(R²=0.4068)。分析发现,考虑了光学遥感生物物理参数的GLAS+MERSI联合关系模型在区域森林冠顶高度估算中有较高精度,且在空间分布上与土地覆盖数据分布特征非常一致。     

Mapping forest biomass from space – Fusion of hyperspectral EO1-hyperion data and Tandem-X and WorldView-2 canopy height models

Spaceborne sensors allow for wide-scale assessments of forest ecosystems. Combining the products of multiple sensors is hypothesized to improve the estimation of forest biomass. We applied interferometric (Tandem-X) and photogrammetric (WorldView-2) based predictors, e.g. canopy height models, in combination with hyperspectral predictors (EO1-Hyperion) by using 4 different machine learning algorithms for biomass estimation in temperate forest stands near Karlsruhe, Germany. An iterative model selection procedure was used to identify the optimal combination of predictors. The most accurate model (Random Forest) reached a r² of 0.73 with a RMSE of 14.9% (29.4 t/ha). Further results revealed that the predictive accuracy depended highly on the statistical model and the area size of the field samples. We conclude that a fusion of canopy height and spectral information allows for accurate estimations of forest biomass from space.     

Estimation of forest LAI by inverting canopy reflectance models and multi-angle imagery

Computer simulation models have seldom been applied for estimating the structural and biophysical variables of forest canopy. In this study, an approach for the estimation of leaf area index (LAI) using the information contained in hyperspectral, multi-angle images and the inversion of a computer simulation model are explored. For this purpose, L-systems combined with forest growth model ZELIG were applied to render 3-D forest architectural scenarios. The Radiosity-graphics combined model (RGM) was used to estimate forest LAI from the Compact High-Resolution Imaging Spectrometer/Project for On-Board Autonomy (CHRIS/PROBA) data. LAI inversion was performed using the look-up table (LUT) method. The estimated LAI was evaluated against in situ LAI measurement and compared against the LAI predictions from CHRIS data obtained using the Li-Strahler geometric-optical canopy reflectance model (GOMS). The results indicated that the method used in this study can be efficient strategy to estimate LAI by RGM model inversion.     

多源遥感数据支持下的区域性森林冠层高度估测

结合机载LiDAR数据,提出了一种改进的GLAS光斑点冠层高度地形校正模型,以校正后的GLAS光斑点作为输入样本,结合MODIS遥感影像,利用支持向量回归（SVR）的方法对研究区森林冠层高度进行分生态区估测,并利用野外调查数据和机载LiDAR冠层高度结果对估测结果进行验证。结果显示:研究区的坡度等级直接影响GLAS光斑点森林冠层高度估测精度,改进的地形校正模型可以较好的减小坡度对GLAS光斑点森林冠层高度估测的影响,模型精度RMSE稳定在3.25~3.48 m;不同生态分区的SVR模型估测精度较为稳定,其RMSE=6.41~7.56 m;与算数平均高相比,样地的Lorey's高与制图结果拟合最好,不同生态分区平均估测精度为80.3%。机载LiDAR冠层高度结果的验证平均精度为79.5%,和Lorey's高验证结果呈现较好的一致性。