Advances in measuring forest structure by terrestrial laser scanning with the Dual Wavelength ECHIDNA® LIDAR (DWEL)

Leaves in forests assimilate carbon from the atmosphere and woody components store the net production of that assimilation. Separate structure measurements of leaves and woody components advance the monitoring and modeling of forest ecosystem functions. This dissertation provides a method to determine, for the first time, the 3-D spatial arrangement and the amount of leafy and woody materials separately in a forest by classification of lidar returns from a new, innovative, lidar scanner, the Dual-Wavelength Echidna® Lidar (DWEL). The DWEL uses two lasers pulsing simultaneously and coaxially at near-infrared (1064 nm) and shortwave-infrared (1548 nm) wavelengths to locate scattering targets in 3-D space, associated with their reflectance at the two wavelengths. The instrument produces 3-D bispectral "clouds" of scattering points that reveal new details of forest structure and open doors to three-dimensional mapping of biophysical and biochemical properties of forests. The three parts of this dissertation concern calibration of bispectral lidar returns; retrieval of height profiles of leafy and woody materials within a forest canopy; and virtual reconstruction of forest trees from multiple scans to estimate their aboveground woody biomass. The test area was a midlatitude forest stand within the Harvard Forest, Petersham, Massachusetts, scanned at five locations in a 1-ha site in leaf-off and leaf-on conditions in 2014. The model for radiometric calibration assigned accurate values of spectral apparent reflectance, a range-independent and instrument-independent property, to scattering points derived from the scans. The classification of leafy and woody points, using both spectral and spatial context information, achieved an overall accuracy of 79±1% and 75±2% for leaf-off and leaf-on scans, respectively. Between-scan variation in leaf profiles was larger than wood profiles in leaf-off seasons but relatively similar to wood profiles in leaf-on seasons, reflecting the changing spatial heterogeneity within the stand over seasons. A 3-D structure-fitting algorithm estimated wood volume by modeling stems and branches from point clouds of five individual trees with cylinders. The algorithm showed the least variance for leaf-off, woody-points-only data, validating the value of separating leafy and woody points to the direct biomass estimates through the structure modeling of individual trees

Achieving improved leaf area index estimations from digital hemispherical imagery through destructive sampling methods

Destructive sampling of 20 trees of four tree species in a mixed New England conifer/hardwood stand shows that leaf area comprises 72, 77, and 78 percent of plant area as measured with digital hemispherical photography of the stand in (1) leaf-off, (2) leaf-out and pre-harvest, and (3) leaf-out and post-harvest conditions. Leaf area index values for the stand, estimated through destructive sampling, were 4.42, 5.98, and 5.08 respectively, documenting the progression of leaf growth through post-harvest. Terrestrial lidar scans (TLS) of the stand in (1) leaf-off and (2) leaf-out and pre-harvest conditions provided leaf area index values of 4.49 and 6.00 using the correction applied to observed plant area index, showing good agreement. The method relies on destructive sampling to relate the weight of foliage removed from sample trees to leaf area and fine twig area within the foliage as measured by a flatbed scanner. Two conifer species, eastern hemlock and white pine, and two deciduous species, red maple and red oak, in five diameter-size classes, were harvested from the 50 x 50-m stand in late summer. Leaf and twig areas of these trees provided species-specific allometric equations relating stem basal area to leaf and twig area, and a stand map provided species, counts and diameters of all trees in the plot. These data then allowed estimation of the leaf area of the stand as a whole for comparison with optical methods. The ratios of leaf to fine-branch area for each species vary, with values of 5.33, 25.38, 260.88 and 140.35 for eastern hemlock, white pine, red maple, and red oak respectively. This variance shows that woody-to-total area constants, which are used for calculating leaf area index from plant area index values determined by optical gap probability methods, will be quite dependent on stand composition and questions the common usage of literature constants for this purpose. This study shows how destructive sampling can lead to better estimation of forest leaf area index and wood area index from hemispherical photography and terrestrial lidar scanning, which has the potential to improve modeling of nutrient cycling and carbon balance in ecosystem models

Multispectral terrestrial lidar : State of the Art and Challenges

The development of multispectral terrestrial laser scan-ning (TLS) is still at the very beginning, with only four instruments worldwide providing simultaneous three-dimensional (3D) point cloud and spectral measurement. Research on multiwavelength laser returns has been carried out by more groups, but there are still only about ten research instruments published and no commercial availability. This chapter summarizes the experiences from all these studies to provide an overview of the state of the art and future developments needed to bring the multispectral TLS technology into the next level. Alt-hough the current number of applications is sparse, they already show that multispectral lidar technology has po-tential to disrupt many fields of science and industry due to its robustness and the level of detail available

Innovations in ground and airborne technologies as reference and for training and validation : terrestrial laser scanning (TLS)

The use of terrestrial laser scanning (TLS) to provide accurate estimates of 3D forest canopy structure and above-ground biomass (AGB) has developed rapidly. Here, we provide an overview of the state of the art in using TLS for estimating forest structure for AGB. We provide a general overview of TLS methods and then outline the advantages and limitations of TLS for estimating AGB. We discuss the specific type of measurements that TLS can provide, tools and methods that have been developed for turning TLS point clouds into quantifiable metrics of tree size and volume, as well as some of the challenges to improving these measurements. We discuss the role of TLS for enabling accurate calibration and validation (cal/val) of Earth observation (EO)-derived estimates of AGB from spaceborne lidar and RADAR missions. We give examples of the types of TLS equipment that are in use and how these might develop in future, and we show examples of where TLS has already been applied to measuring AGB in the tropics in particular. Comparing TLS with harvested AGB shows r(2)>0.95 for all studies thus far, with absolute agreement to within 10% at the individual tree level for all trees and to within 2% in the majority of cases. Current limitations to the uptake of TLS include the capital cost of some TLS equipment, processing complexity and the relatively small coverage that is possible. We argue that combining TLS measurements with the existing ground-based survey approaches will allow improved allometric models and better cal/val, resulting in improved regional and global estimates of AGB from space, with better-characterised, lower uncertainties. The development of new, improved equipment and methods will accelerate this process and make TLS more accessible

Quantifying structural change in UK woodland canopies with a dual-wavelength full-waveform terrestrial laser scanner

Vegetation structure provides a direct link between forest ecosystem productivity and earth-atmosphere fluxes, and is both a result and driver of these interactions. Therefore, the ability to collect objective, quantitative and three-dimensional measurements of vegetation structure is essential, particularly in light of climate change. However, a significant challenge still remains as to how to best measure changes in forests and prepare for future climatic scenarios. Terrestrial Laser Scanning (TLS) has shown its potential to provide such measurements, offering a new approach to monitoring how forest systems change through time and space. The overall aim of this thesis was to improve the characterisation of the seasonal dynamics of UK woodland vegetation structure using the Salford Advanced Laser Canopy Analyser (SALCA), a research TLS with dual-wavelength full-waveform capabilities.There were three key objectives to this research: (1) the development of a radiometric calibration for the SALCA instrument to produce an apparent reflectance product, (2) the separation of SALCA point clouds into leaf and wood on a tree and plot scale using dual-wavelength lidar, and (3) the examination of the seasonal dynamics of vegetation structure in a range of UK forest types. To address these objectives, two field campaigns were conducted. SALCA measurements of artificial reflectance targets were acquired from both field campaigns to generate a calibration dataset to address Objective 1. The two field campaigns comprised a tree-scale validation experiment at Alice Holt Forest (to address Objective 2), and a multi-temporal monitoring experiment using SALCA and hemispherical photography at Delamere Forest in five different plots (to address Objective 3).Key findings relating to Objective 1 have highlighted the complexities of SALCA intensity response, such as the effect of internal temperature. As a result, a novel approach to radiometric calibration was developed using artificial neural networks which produced an apparent reflectance product with measured accuracy comparable with other approaches. A key conclusion of this research relating to Objective 2, is that dual-wavelength TLS has the potential to aid separation of leaf and wood material. However, there still remain significant ecological, instrumental, and processing challenges to be overcome. Temporally and vertically resolved plot measurements have provided a quantitative analysis of foliage dynamics to address Objective 3 and results have shown how this differences between species. The research presented in this thesis has explored the use of dual-wavelength full-waveform TLS for improved characterisation of forest vegetation. Future research priorities should focus on the radiometric calibration and investigation of other methods for leaf-wood separation to extend and complement this research

A Density-Based Approach for Leaf Area Index Assessment in a Complex Forest Environment Using a Terrestrial Laser Scanner

Forests are an important part natural ecosystems, by for example providing food, fiber, habitat, and biodiversity, all of which contribute to stable natural systems. Assessing and modeling the structure and characteristics of forests, e.g., Leaf Area Index (LAI), volume, biomass, etc., can lead to a better understanding and management of these resources. In recent years, Terrestrial Laser Scanning (TLS) has been recognized as a tool that addresses many of the limitations of manual and traditional forest data collection methods. In this study, we propose a density-based approach for estimating the LAI in a structurally-complex forest environment, which contains variable and diverse structural attributes, e.g., non-circular stem forms, dense canopy and below-canopy vegetation cover, and a diverse species composition. In addition, 242 TLS scans were collected using a portable low-cost scanner, the Compact Biomass Lidar (CBL), in the Hawaii Volcanoes National Park (HAVO), Hawaii Island, USA. LAI also was measured for 242 plots in the site, using an AccuPAR LP-80 ceptometer. The first step after cleaning the point cloud involved detecting the higher forest canopy in the light detection and ranging (lidar) point clouds, using normal change rate assessment. We then estimated Leaf Area Density (LAD), using a voxel-based approach, and divided the canopy point cloud into five layers in the Z (vertical) direction. These five layers subsequently were divided into voxels in the X direction, where the size of these voxels were obtained based on inter-quartile analysis and the number of points in each voxel. We hypothesized that the intensity returned to the lidar system from woody materials, like branches, would be higher than from leaves, due to the liquid water absorption feature of the leaves and higher reflectance for woody material at the 905 nm laser wavelength. We also differentiated between foliar and woody materials using edge detection in the images from projected point clouds and evaluated the density of these regions to support our hypothesis. Density of points, or the number of points divided by the volume of a grid, in a 3D grid size of 0.1 m, was calculated for each of the voxels. The grid size was determined by investigating the size of the branches in the lower portion of the canopy. Subsequently, we fitted a Kernel Density Estimator (KDE) to these values, with the threshold set based on half of the area under the curve in each of the density distributions. All the grids with a density below the threshold were labeled as leaves, while those grids above the threshold were identified as non-leaves. Finally, we modeled LAI using the point densities derived from the TLS point clouds and the listed analysis steps. This model resulted in an R 2 value of 0.88. We also estimated the LAI directly from lidar data using the point densities and calculating LAD, which is defined as the total one-sided leaf area per unit volume. LAI can be obtained as the sum of the LAD values in all the voxels. The accuracy of LAI estimation was 90%, with an RMSE value of 0.31, and an average overestimation of 9% in TLS-derived LAI, when compared to field-measured LAI. Algorithm performance mainly was affected by the vegetation density and complexity of the canopy structures. It is worth noting that, since the LAI values cannot be considered spatially independent throughout all the plots in this site, we performed semivariogram analysis on the field-measured LAI data. This analysis showed that the LAI values can be assumed to be independent in plots that are at least 30 m apart. As a result, we divided the data into six subsets in which the plots were 30 m spaced. The R 2 values for these subsets, based on modeling of the field-measured LAI using leaf point density values, ranged between 0.84–0.96. The results bode well for using this method for efficient, automatic, and accurate/precise estimation of LAI values in complex forest environments, using a low-cost, rapid-scan TLS

On the use of rapid-scan, low point density terrestrial laser scanning (TLS) for structural assessment of complex forest environments

Forests fulfill an important role in natural ecosystems, e.g., they provide food, fiber, habitat, and biodiversity, all of which contribute to stable ecosystems. Assessing and modeling the structure and characteristics in forests can lead to a better understanding and management of these resources. Traditional methods for collecting forest traits, known as “forest inventory”, is achieved using rough proxies, such as stem diameter, tree height, and foliar coverage; such parameters are limited in their ability to capture fine-scale structural variation in forest environments. It is in this context that terrestrial laser scanning (TLS) has come to the fore as a tool for addressing the limitations of traditional forest structure evaluation methods. However, there is a need for improving TLS data processing methods. In this work, we developed algorithms to assess the structure of complex forest environments – defined by their stem density, intricate root and stem structures, uneven-aged nature, and variable understory - using data collected by a low-cost, portable TLS system, the Compact Biomass Lidar (CBL). The objectives of this work are listed as follow: 1. Assess the utility of terrestrial lidar scanning (TLS) to accurately map elevation changes (sediment accretion rates) in mangrove forest; 2. Evaluate forest structural attributes, e.g., stems and roots, in complex forest environments toward biophysical characterization of such forests; and 3. Assess canopy-level structural traits (leaf area index; leaf area density) in complex forest environments to estimate biomass in rapidly changing environments. The low-cost system used in this research provides lower-resolution data, in terms of scan angular resolution and resulting point density, when compared to higher-cost commercial systems. As a result, the algorithms developed for evaluating the data collected by such systems should be robust to issues caused by low-resolution 3D point cloud data. The data used in various parts of this work were collected from three mangrove forests on the western Pacific island of Pohnpei in the Federated States of Micronesia, as well as tropical forests in Hawai’i, USA. Mangrove forests underscore the economy of this region, where more than half of the annual household income is derived from these forests. However, these mangrove forests are endangered by sea level rise, which necessitates an evaluation of the resilience of mangrove forests to climate change in order to better protect and manage these ecosystems. This includes the preservation of positive sediment accretion rates, and stimulating the process of root growth, sedimentation, and peat development, all of which are influenced by the forest floor elevation, relative to sea level. Currently, accretion rates are measured using surface elevation tables (SETs), which are posts permanently placed in mangrove sediments. The forest floor is measured annually with respect to the height of the SETs to evaluate changes in elevation (Cahoon et al. 2002). In this work, we evaluated the ability of the CBL system for measuring such elevation changes, to address objective #1. Digital Elevation Models (DEMs) were produced for plots, based on the point cloud resulted from co-registering eight scans, spaced 45 degree, per plot. DEMs are refined and produced using Cloth Simulation Filtering (CSF) and kriging interpolation. CSF was used because it minimizes the user input parameters, and kriging was chosen for this study due its consideration of the overall spatial arrangement of the points using semivariogram analysis, which results in a more robust model. The average consistency of the TLS-derived elevation change was 72%, with and RMSE value of 1.36 mm. However, what truly makes the TLS method more tenable, is the lower standard error (SE) values when compared to manual methods (10-70x lower). In order to achieve our second objective, we assessed structural characteristics of the above-mentioned mangrove forest and also for tropical forests in Hawaii, collected with the same CBL scanner. The same eight scans per plot (20 plots) were co-registered using pairwise registration and the Iterative Closest Point (ICP). We then removed the higher canopy using a normal change rate assessment algorithm. We used a combination of geometric classification techniques, based on the angular orientation of the planes fitted to points (facets), and machine learning 3D segmentation algorithms to detect tree stems and above-ground roots. Mangrove forests are complex forest environments, containing above-ground root mass, which can create confusion for both ground detection and structural assessment algorithms. As a result, we needed to train a supporting classifier on the roots to detect which root lidar returns were classified as stems. The accuracy and precision values for this classifier were assessed via manual investigation of the classification results in all 20 plots. The accuracy and precision for stem classification were found to be 82% and 77%, respectively. The same values for root detection were 76% and 68%, respectively. We simulated the stems using alpha shapes in order to assess their volume in the final step. The consistency of the volume evaluation was found to be 85%. This was obtained by comparing the mean stem volume (m3/ha) from field data and the TLS data in each plot. The reported accuracy is the average value for all 20 plots. Additionally, we compared the diameter-at-breast-height (DBH), recorded in the field, with the TLS-derived DBH to obtain a direct measure of the precision of our stem models. DBH evaluation resulted in an accuracy of 74% and RMSE equaled 7.52 cm. This approach can be used for automatic stem detection and structural assessment in a complex forest environment, and could contribute to biomass assessment in these rapidly changing environments. These stem and root structural assessment efforts were complemented by efforts to estimate canopy-level structural attributes of the tropical Hawai’i forest environment; we specifically estimated the leaf area index (LAI), by implementing a density-based approach. 242 scans were collected using the portable low-cost TLS (CBL), in a Hawaii Volcano National Park (HAVO) flux tower site. LAI was measured for all the plots in the site, using an AccuPAR LP-80 Instrument. The first step in this work involved detection of the higher canopy, using normal change rate assessment. After segmenting the higher canopy from the lidar point clouds, we needed to measure Leaf Area Density (LAD), using a voxel-based approach. We divided the canopy point cloud into five layers in the Z direction, after which each of these five layers were divided into voxels in the X direction. The sizes of these voxels were constrained based on interquartile analysis and the number of points in each voxel. We hypothesized that the power returned to the lidar system from woody materials, like branches, exceeds that from leaves, due to the liquid water absorption of the leaves and higher reflectivity for woody material at the 905 nm lidar wavelength. We evaluated leafy and woody materials using images from projected point clouds and determined the density of these regions to support our hypothesis. The density of points in a 3D grid size of 0.1 m, which was determined by investigating the size of the branches in the lower portion of the higher canopy, was calculated in each of the voxels. Note that “density” in this work is defined as the total number of points per grid cell, divided by the volume of that cell. Subsequently, we fitted a kernel density estimator to these values. The threshold was set based on half of the area under the curve in each of the distributions. The grid cells with a density below the threshold were labeled as leaves, while those cells with a density above the threshold were set as non-leaves. We then modeled the LAI using the point densities derived from TLS point clouds, achieving a R2 value of 0.88. We also estimated the LAI directly from lidar data by using the point densities and calculating leaf area density (LAD), which is defined as the total one-sided leaf area per unit volume. LAI can be obtained as the sum of the LAD values in all the voxels. The accuracy of LAI estimation was found to be 90%. Since the LAI values cannot be considered spatially independent throughout all the plots in this site, we performed a semivariogram analysis on the field-measured LAI data. This analysis showed that the LAI values can be assumed to be independent in plots that are at least 30 m apart. As a result, we divided the data into six subsets, where each of the plots were 30 meter spaced for each subset. LAI model R2 values for these subsets ranged between 0.84 - 0.96. The results bode well for using this method for automatic estimation of LAI values in complex forest environments, using a low-cost, low point density, rapid-scan TLS

Understanding the measurement of forests with waveform lidar

The measurement of forests is essential for monitoring and predicting the role and response of the land surface to global climate change. Globally consistent and frequent measurements can only be made by satellites; unfortunately many current system’s measurements saturate at moderate canopy densities and are not directly related to forest properties, requiring tenuous empirical relationships that are insensitive to many of the Earth’s most important, Carbon rich forests. Lidar (laser radar) is a relatively new technology that offers the potential to make direct measurements of forest height, vertical density and, when ground based, explicit measurements of structure. In addition measurements do not saturate until much higher forest densities. In recent years there has been much interest in the measurement of forests by lidar, with a number of airborne and terrestrial and one spaceborne lidar developed. Measuring a forest leaf by leaf is impractical and very tedious, so more rapid ground based methods are needed to collect data to validate satellite derived estimates. These rapid methods are themselves not directly related to forest properties causing uncertainty in any validation of remotely sensed estimates. This thesis uses Monte Carlo ray tracing to simulate the measurement of forests by full waveform lidars over explicit geometric forest models for both above and below canopy instruments. Existing methods for deriving forest properties from measurements are tested against the known truth of these simulated forests, a process impossible in reality. Causes of disagreements are explored and new methods developed to attempt to overcome any shortcomings. These new methods include dual wavelength lidar for correcting satellite based measurements for topography and a voxel based method for more directly relating terrestrial lidar signals to forest properties

Diversity of 3D APAR and LAI dynamics in broadleaf and coniferous forests: Implications for the interpretation of remote sensing-based products

Forests substantially mediate the water and carbon dioxide exchanges between terrestrial ecosystems and the atmosphere. The rate of this exchange, including evapotranspiration (ET) and gross primary production (GPP), depends mainly on the underlying vegetation type, health state, and the composition of abiotic environmental drivers. However, the complex 3D structure of forest canopies and the inherent top-view perspective of optical and thermal remote sensing complicate remote sensing-based retrievals of biotic and abiotic factors that eventually determine ET and GPP. This study investigates the sensitivity of remote sensing approaches to 3D variation of abiotic and biotic environmental drivers. We use 3D virtual scenes of two structurally different Swiss forests and the radiative transfer model DART to simulate the 3D distribution of solar irradiance and reflected radiance in the forest canopy. These simulations, in combination with LiDAR data, are used to derive the absorbed photosynthetic active radiation (APAR) and the leaf area index (LAI) in 3D space. The 3D variation of both parameters was quantified and analyzed. We then simulated images of the top-of-canopy bi-directional reflectance factor (BRF) and compared them with the hemispheric-conical reflectance factor (HCRF) data derived from HyPlant airborne imaging spectrometer measurements. The simulated BRF data was used to derive APAR and LAI, and the results were compared to their respective 3D representations. We unravel considerable spatial differences between both representations. We discuss possible reasons for the disagreement, including a potential insensitivity of the inherent top-of-canopy view for the real 3D product dynamics and limitations of the processing of remote sensing data, especially the approximation of effective surface irradiance. Our results can help understanding sources of uncertainties in remote sensing based gas exchange products and defining mitigation strategies