Advances in Waveform and Photon Counting Lidar Processing for Forest Vegetation Applications

Full waveform (FW) and photon counting LiDAR (PCL) data have garnered greater attention due to increasing data availability, a wealth of information they contain and promising prospects for large scale vegetation mapping. However, many factors such as complex processing steps and scarce non-proprietary tools preclude extensive and practical uses of these data for vegetation characterization. Therefore, the overall goal of this study is to develop algorithms to process FW and PCL data and to explore their potential in real-world applications. Study I explored classical waveform decomposition methods such as the Gaussian decomposition, Richardson–Lucy (RL) deconvolution and a newly introduced optimized Gold deconvolution to process FW LiDAR data. Results demonstrated the advantages of the deconvolution and decomposition method, and the three approaches generated satisfactory results, while the best performances varied when different criteria were used. Built upon Study I, Study II applied the Bayesian non-linear modeling concepts for waveform decomposition and quantified the propagation of error and uncertainty along the processing steps. The performance evaluation and uncertainty analysis at the parameter, derived point cloud and surface model levels showed that the Bayesian decomposition could enhance the credibility of decomposition results in a probabilistic sense to capture the true error of estimates and trace the uncertainty propagation along the processing steps. In study III, we exploited FW LiDAR data to classify tree species through integrating machine learning methods (the Random forests (RF) and Conditional inference forests (CF)) and Bayesian inference method. Results of classification accuracy highlighted that the Bayesian method was a superior alternative to machine learning methods, and rendered users with more confidence for interpreting and applying classification results to real-world tasks such as forest inventory. Study IV focused on developing a framework to derive terrain elevation and vegetation canopy height from test-bed sensor data and to pre-validate the capacity of the upcoming Ice, Cloud and Land Elevation Satellite-2 (ICESat-2) mission. The methodology developed in this study illustrates plausible ways of processing the data that are structurally similar to expected ICESat-2 data and holds the potential to be a benchmark for further method adjustment once genuine ICESat-2 are available

Analytical Modeling and Performance Assessment of Micropulse Photon-counting Lidar System

The melting of polar ice sheets and evidence of global warming continue to remain prominent research interests among scientists. To better understand global volumetric change of ice sheets, NASA intends to launch Ice, Cloud and land Elevation Satellite-2 (ICESat-2) in 2017. ICESat-2 employs a high frequency photon-counting laser altimeter, which will provide significantly greater spatial sampling. However, the combined effects of sub-beam complex surfaces, as well as system effects on returning photon distribution have not been systematically studied. To better understand the effects of various system attributes and to help improve the theory behind lidar sensing of complex surfaces, an analytical model using a first principles 3-D Monte Carlo approach is developed to predict system performance. Based on the latest ICESat-2 design, this analytical model simulates photons which propagate from the laser transmitter to the scene, and reflected to the detector model. A radiometric model is also applied in the synthetic scene. Such an approach allows the study of surface elevation retrieval accuracy for landscapes, as well as surface reflectivities. It was found that ICESat-2 will have a higher precision on a smoother surface, and a surface with smaller diffuse albedo will on average result in smaller bias. Furthermore, an adaptive density-based algorithm is developed to detect the surface returns without any geometrical knowledge. This proposed approach is implemented using the aforementioned simulated data set, as well as airborne laser altimeter measurement. Qualitative and quantitative results are presented to show that smaller laser footprint, smoother surface, and lower noise rate will improve accuracy of ground height estimation. Meanwhile, reasonable detection accuracy can also be achieved in estimating both ground and canopy returns for data generated using Digital Imaging and Remote Sensing Image Generation (DIRSIG) model. This proposed approach was found to be generally applicable for surface and canopy finding from photon-counting laser altimeter data

The Use of Coincident Synthetic Aperture Radar and Visible Imagery to Aid in the Analysis of Photon-Counting Lidar Data Sets Over Complex Ice/Snow Surfaces

Qualitative and quantitative analysis of multi-sensor data is becoming increasingly useful as a method of improving our understanding of complex environments, and can be an effective tool in the arsenal to help climate scientists to predict sea level rise due to change in the mass balance of large glaciers in the Arctic and Antarctic. A novel approach to remote sensing of the continuously changing polar environment involves the use of coincident RADARSAT-2 synthetic aperture radar (SAR) imagery and Landsat 7 visible/near-infrared imagery, combined with digital elevation models (DEM) developed from Multiple Altimeter Beam Experimental Lidar (MABEL) data sets. MABEL is a scaled down model of the lidar altimeter that will eventually be flown on ICESat-2, and provides dense along-track and moderate slope (cross-track) elevation data over narrow (~198 m) aircraft transects. Because glacial terrain consists of steep slopes, crevices, glacial lakes, and outflow into the sea, accurate slope information is critical to our understanding of any changes that may be happening in the ice sheets. RADARSAT-2 operates in the C-band, at a wavelength of 5.55 cm, and was chosen partly for its ability to image the Earth under all atmospheric conditions, including clouds. The SAR images not only provide spatial context for the elevation data found using the lidar, but also offer key insights into the consistency of the snow and ice making up the glacier, giving us some idea of mean temperature and surface conditions on the ice sheet. Finally, Landsat 7 images provide us with information on the extent of the glacier, and additional understanding of the state of the glacial surface. To aid in the analysis of the three data sets, proper preparation of each data set must first be performed. For the lidar data, this required the development of a new data reduction technique, based on statistical analysis, to reduce the number of received photons to those representing only the surface return. Accordingly, the raw SAR images require calibration, speckle reduction, and geocorrection, before they can be used. Landsat 7 bands are selected to provide the most contrast between rock, snow, and other surface features, and compiled into a three-band red, green, blue (RGB) image. By qualitatively analyzing images and data taken only a short time apart using multiple imaging modalities, we are able to accurately compare glacial surface features to elevation provided by MABEL, with the goal of increasing our understanding of how the glacier is changing over time. Quantitative analysis performed throughout this thesis has indicated that there is a strong correlation between top-of-the-atmosphere reflectance (Landsat 7), σ,0-calibrated HH and HV polarized backscatter coefficients (RADARSAT-2), elevation (MABEL), and various surface features and glacial zones on the ice sheet. By comparing data from unknown or mixed surfaces to known quantities scientists can effectively estimate the type of glacial zone the area of interest occurs in. Climate scientists can then use this data, along with long-term digital elevations models, as a measure of predicting climate change

Spaceborne Lidar for Estimating Forest Biophysical Parameters

The Ice, Cloud and land Elevation Satellite-2 (ICESat-2) was launched on September 15th, 2018 and while this mission primarily serves to capture ice topography measurements of the earth’s surface, it also offers a phenomenal opportunity to estimate biophysical forest parameters at multiple spatial scales. This study served to develop approaches for utilizing ICESat-2 data over vegetated areas. The main objectives were to: (1) derive a simulated ICESat-2 photon-counting lidar (PCL) vegetation product using airborne lidar data and examine the use of simulated PCL metrics for modeling AGB and canopy cover, (2) create wall-to-wall AGB maps at 30-m spatial resolution and characterize AGB uncertainty by using simulated PCL-estimated AGB and predictor variables from Landsat data and derived products, and (3) investigate deep learning (DL) neural networks for producing an AGB product with ICESat-2, using simulated PCL-estimated AGB Landsat imagery, canopy cover and land cover maps. The study was carried out in Sam Houston National Forest located in south-east Texas, using existing airborne lidar data and known ICESat-2 track locations for the first two years of the mission. Three scenarios were analyzed; 1) simulated data without the addition of noise, 2) processed simulated data for nighttime and 3) daytime scenarios. AGB model testing with no noise, nighttime and daytime scenarios resulted in R^2 values of 0.79, 0.79 and 0.63 respectively, with root mean square error (RMSE) values of 19.16 Mg/ha, 19.23 Mg/ha, and 25.35 Mg/ha. Canopy cover (4.6 m) models achieved R^2 values of 0.93, 0.75 and 0.63 and RMSE values of 6.36%, 12.33% and 15.01% for the no noise, nighttime and daytime scenarios respectively. Random Forest (RF) and deep neural network (DNN) models used with predicted AGB estimates and the mapped predictors exhibited moderate accuracies (0.42 to 0.51) with RMSE values between 19 Mg/ha to 20 Mg/ha. Overall, findings from this study suggest the potential of ICESat-2 for estimating AGB and canopy cover and generating a wall-to-wall AGB product by adopting a combinatory approach with spectral metrics derived from Landsat optical imagery, canopy cover and land cover

Advances in Waveform and Photon Counting Lidar Processing for Forest Vegetation Applications

Full waveform (FW) and photon counting LiDAR (PCL) data have garnered greater attention due to increasing data availability, a wealth of information they contain and promising prospects for large scale vegetation mapping. However, many factors such as complex processing steps and scarce non-proprietary tools preclude extensive and practical uses of these data for vegetation characterization. Therefore, the overall goal of this study is to develop algorithms to process FW and PCL data and to explore their potential in real-world applications. Study I explored classical waveform decomposition methods such as the Gaussian decomposition, Richardson–Lucy (RL) deconvolution and a newly introduced optimized Gold deconvolution to process FW LiDAR data. Results demonstrated the advantages of the deconvolution and decomposition method, and the three approaches generated satisfactory results, while the best performances varied when different criteria were used. Built upon Study I, Study II applied the Bayesian non-linear modeling concepts for waveform decomposition and quantified the propagation of error and uncertainty along the processing steps. The performance evaluation and uncertainty analysis at the parameter, derived point cloud and surface model levels showed that the Bayesian decomposition could enhance the credibility of decomposition results in a probabilistic sense to capture the true error of estimates and trace the uncertainty propagation along the processing steps. In study III, we exploited FW LiDAR data to classify tree species through integrating machine learning methods (the Random forests (RF) and Conditional inference forests (CF)) and Bayesian inference method. Results of classification accuracy highlighted that the Bayesian method was a superior alternative to machine learning methods, and rendered users with more confidence for interpreting and applying classification results to real-world tasks such as forest inventory. Study IV focused on developing a framework to derive terrain elevation and vegetation canopy height from test-bed sensor data and to pre-validate the capacity of the upcoming Ice, Cloud and Land Elevation Satellite-2 (ICESat-2) mission. The methodology developed in this study illustrates plausible ways of processing the data that are structurally similar to expected ICESat-2 data and holds the potential to be a benchmark for further method adjustment once genuine ICESat-2 are available

Determining Amplitude Corrections for the Assessment of Surface Roughness Within A Lidar Footprint

The research presented in this thesis is under the context of the OSIRIS-REx mission, a NASA led asteroid sample return mission being launched in 2016 towards the asteroid 101955 Bennu. Aboard the spacecraft is the OSIRIS-REx Laser Altimeter (OLA), which is using the backscattered intensity for instrument calibration. By applying the novel solution of amplitude correction, it is possible to gain additional functionality out of this instrument. This thesis presents a simulation written by the author that accurately models laser altimeter performance. The simulation is used successfully to study OLA’s receiver to reduce error in the range measurements and to remove the effects of large-scale topographic features on the amplitude. The remaining amplitude variations will be interpreted as mineralogical or morphological variations that may impact the viability or the desirability of the site for sample collection

Eighth International Workshop on Laser Ranging Instrumentation

The Eighth International Workshop for Laser Ranging Instrumentation was held in Annapolis, Maryland in May 1992, and was sponsored by the NASA Goddard Space Flight Center in Greenbelt, Maryland. The workshop is held once every 2 to 3 years under differing institutional sponsorship and provides a forum for participants to exchange information on the latest developments in satellite and lunar laser ranging hardware, software, science applications, and data analysis techniques. The satellite laser ranging (SLR) technique provides sub-centimeter precision range measurements to artificial satellites and the Moon. The data has application to a wide range of Earth and lunar science issues including precise orbit determination, terrestrial reference frames, geodesy, geodynamics, oceanography, time transfer, lunar dynamics, gravity and relativity

Mapping Nearshore Bathymetry with Spaceborne Data Fusion and State Space Modeling

Despite numerous techniques for measuring and estimating water depth, bathymetry in the nearshore zone is notoriously difficult to map. Dangerous sea states, noisy environmental conditions, and expensive survey operations, particularly in remote areas, contribute to the difficulties of obtaining data along the coast. Global datasets, derived mainly from satellite altimetry methods, do exist, but they have significant limitations nearshore. Numerous high-resolution datasets, conventionally acquired with acoustic and lidar techniques, also exist, but they cover only a small percentage of the world's coasts. Spaceborne data fusion employing multispectral satellite derived bathymetry (SDB) offers the potential to significantly reduce the global lack of nearshore bathymetry, coined the "white ribbon" by the hydrographic community, referring to the alongshore data gap on many nautical charts. A broad term, multispectral SDB spans a diverse spectrum of methods that have been used extensively in specific case studies, but the application of multispectral SDB on a global or regional scale is significantly limited by the availability of in situ reference depths needed to tune derived values. Additionally, many existing approaches only use a single multispectral image, which can result in significant errors or missing data if the image contains environmental or sensor noise, such as clouds, sediment plumes, or detector-edge artifacts. This dissertation presents two spaceborne empirical multispectral SDB methods to address shortcomings of existing SDB approaches and reduce the global shortage of nearshore bathymetry – (1) active/passive spaceborne data fusion combining MABEL/ICESat-2 and multispectral data and (2) state space modeling of Sentinel-2 and Landsat 8 multispectral data to generate gap-free models of relative SDB (rSDB) with corresponding uncertainty estimates. The recently launched ICESat-2 mission offers an opportunity for a completely spaceborne active-passive data fusion approach to nearshore bathymetry by potentially providing a global source of nearshore reference depths to tune empirical multispectral SDB algorithms. The main objectives of the ICESat-2 mission are to measure ice-sheet elevations, sea-ice thickness, and global biomass, but ICESat-2’s 532-nm wavelength photon-counting Advanced Topographic Laser Altimeter System (ATLAS) was first posited, then demonstrated capable of detecting bathymetry in certain nearshore environments. Presented in two studies conducted prior to ICESat-2’s launch, the active-passive approach is demonstrated with data from MABEL, NASA’s high-altitude ATLAS simulator system. The first study assessed the ability to derive bathymetry from MABEL and then evaluated the accuracy and reliability of MABEL bathymetry using data acquired in Keweenaw Bay, Lake Superior. The study also developed and verified a baseline model to predict numbers of bottom returns as a function of water depth. The second study completed the demonstration of the spaceborne active/passive data fusion method by synergistically fusing MABEL-derived bathymetry and Landsat 8 multispectral Operational Land Imager (OLI) imagery over the entire Keweenaw Bay study site using the Stumpf band-ratio algorithm. The study also assessed the spatiotemporal viability of the data fusion approach by characterizing the variability of global coastal water clarity as interpreted from Visible Infrared Imaging Radiometer Suite (VIIRS) Kd(490) data. The calculated SDB agreed with a high-resolution topobathymetric lidar dataset to within an RMSE of 0.7 m, and the spatiotemporal viability analysis indicated that the spaceborne active-passive data fusion approach may be viable over many regions of the globe throughout the course of a year. State space modeling of empirical multitemporal SDB overcomes limitations of single-image SDB by leveraging the bathymetric signal in multispectral time series to create gap-free models of relative SDB (rSDB) for an arbitrary date, enabling SDB for dates with noisy or no data. State space models (SSMs) are well established in many applications but are absent in empirical SDB literature. Consisting of a state equation, which relates consecutive state vectors, and an observation equation, which relates observations to the state vector, SSMs are typically solved using Kalman filtering techniques, which provide estimates of uncertainties along with state estimates. SSMs also provide a mechanism for data fusion by allowing an observation equation for multiple observed time series. The third study demonstrates a state space approach to empirical multispectral SDB by applying local level SSMs to Landsat 8 OLI and Sentinel-2 MSI rSDB time series, both separately and fused. A representative single-sensor SSM (Landsat 8) was transformed to SDB that agreed with a high-resolution topobathymetric lidar dataset to within an RMSE of 0.29 m, which indicates the promising performance of the state space framework. Internally consistent fused-sensor SSMs verified that state space modeling also offers a data-fusion method capable of incorporating time series from a diverse suite of multispectral sensors

Study of Seasonal change and Water Stress Condition in Plant Leaf Using Polarimetric Lidar Measurement

Study of vegetation is of great importance to the improvement of agriculture and forest management. Although there have been various attempts to characterize vegetation using remote sensing techniques, polarimetric lidar is a novel remote sensing tool that has shown potential in vegetation remote sensing. In this thesis, a near-infrared polarimetric lidar at 1064 nm was used to investigate the effects of seasonal change and water stress condition on plant leaves. Two variables, time and water content, affected the plant leaf laser depolarization ratio measurement. The first study focused on the maple tree in order to figure out how seasonal change affected the maple leaf depolarization. Seasonal trendline was obtained and revealed an overall downward trend over time. In the second study, the leaves from maple, lemon, and rubber trees were investigated to study the effect of water stress on the depolarization ratio. It was discovered that the leaf depolarization ratio increased for more water content and went down for less water content. In addition, leaf samples were collected in the morning, afternoon, and evening, respectively, to study the diurnal change. Statistical analysis suggested that depolarization ratio did not change significantly for the different times of a day. It was suggested that the seasonal change had a greater effect on depolarization than the diurnal change. This study demonstrates that the near-infrared polarimetric lidar system has an ability to remotely characterize the vegetation internal conditions that may not be visible to the human eyes. Furthermore, the lidar system has the potential to differentiate the various plant species based on the depolarization ratio. In conclusion, the polarimetric lidar system at 1064-nm is an effective and sensitive enough remote sensing tool which can be widely used in active remote sensing