Seeing the Trees in the Forest : Using Lidar and Multispectral Data Fusion with Local Filtering and Variable Window Size for Estimating Tree Height

The main study objective was to develop robust processing and analysis techniques to facilitate the use of small-footprint lidar data for estimating plot-level tree height by measuring individual trees identifiable on the three-dimensional lidar surface. Lidar processing techniques included data fusion with multispectral optical data and local filtering with both square and circular windows of variable size. The lidar system used for this study produced an average footprint of 0.65 m and an average distance between laser shots of 0.7 m. The lidar data set was acquired over deciduous and coniferous stands with settings typical of the southeastern United States. The lidar-derived tree measurements were used with regression models and cross-validation to estimate tree height on 0.017-ha plots. For the pine plots, lidar measurements explained 97 percent of the variance associated with the mean height of dominant trees. For deciduous plots, regression models explained 79 percent of the mean height variance for dominant trees. Filtering for local maximum with circular windows gave better fitting models for pines, while for deciduous trees, filtering with square windows provided a slightly better model fit. Using lidar and optical data fusion to differentiate between forest types provided better results for estimating average plot height for pines. Estimating tree height for deciduous plots gave superior results without calibrating the search window size based on forest type. Introduction Laser scanner systems currently available have experienced a remarkable evolution, driven by advances in the remote sensing and surveying industry. Lidar sensors offer impressive performance that challange physical barriers in the optical and electronic domain by offering a high density of points at scanning frequencies of 50,000 pulses/second, multiple echoes per laser pulse, intensity measurements for the returning signal, and centimeter accuracy for horizontal and vertical positioning. Given a high density of points, processing algorithms can identify single trees or groups of trees in order to extract various measurements on their three-dimensional representation (e.g., Hyyppä and Inkinen, 2002). Seeing the Trees in the Forest: Using Lidar and Multispectral Data Fusion with Local Filtering and Variable Window Size for Estimating Tree Height Sorin C. Popescu and Randolph H. Wynne The foundations of lidar forest measurements lie with the photogrammetric techniques developed to assess tree height, volume, and biomass. Lidar characteristics, such as high sampling intensity, extensive areal coverage, ability to penetrate beneath the top layer of the canopy, precise geolocation, and accurate ranging measurements, make airborne laser systems useful for directly assessing vegetation characteristics. Early lidar studies had been used to estimate forest vegetation characteristics, such as percent canopy cover, biomass (Nelson et al., 1984; Nelson et al., 1988a; Nelson et al., 1988b; Nelson et al., 1997), and gross-merchantable timber volume (Maclean and Krabill, 1986). Research efforts investigated the estimation of forest stand characteristics with scanning lasers that provided lidar data with either relatively large laser footprints, i.e., 5 to 25 m (Harding et al., 1994; Lefsky et al., 1997; Weishampel et al., 1997; Blair et al., 1999; Lefsky et al., 1999; Means et al., 1999) or small footprints, but with only one laser return (Næsset, 1997a; Næsset, 1997b; Magnussen and Boudewyn, 1998; Magnussen et al., 1999; Hyyppä et al., 2001). A small-footprint lidar with the potential to record the entire time-varying distribution of returned pulse energy or waveform was used by Nilsson (1996) for measuring tree heights and stand volume. As more systems operate with high performance, research efforts for forestry applications of lidar have become very intense and resulted in a series of studies that proved that lidar technology is well suited for providing estimates of forest biophysical parameters. Needs for timely and accurate estimates of forest biophysical parameters have arisen in response to increased demands on forest inventory and analysis. The height of a forest stand is a crucial forest inventory attribute for calculating timber volume, site potential, and silvicultural treatment scheduling. Measuring of stand height by current manual photogrammetric or field survey techniques is time consuming and rather expensive. Tree heights have been derived from scanning lidar data sets and have been compared with ground-based canopy height measurements (Næsset, 1997a; Næsset, 1997b; Magnussen and Boudewyn, 1998; Magnussen et al., 1999; Næsset and Bjerknes, 2001; Næsset and Økland, 2002; Persson et al., 2002; Popescu, 2002; Popescu et al., 2002; Holmgren et al., 2003; McCombs et al., 2003). Despite the intense research efforts, practical applications of P H OTO G R A M M E T R I C E N G I N E E R I N G & R E M OT E S E N S I N G May 2004 5 8 9 Department of Forestry, Virginia Tech, 319 Cheatham Hall (0324), Blacksburg, VA 24061 (wynne@vt.edu). S.C. Popescu is presently with the Spatial Sciences Laboratory, Department of Forest Science, Texas A&M University, 1500 Research Parkway, Suite B223, College Station, TX 778452120 (s-popescu@tamu.edu). Photogrammetric Engineering & Remote Sensing Vol. 70, No. 5, May 2004, pp. 589–604. 0099-1112/04/7005–0589/$3.00/0 © 2004 American Society for Photogrammetry and Remote Sensing 02-099.qxd 4/5/04 10:44 PM Page 589