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Evaluation of Permanent Sample Surveys For Growth and Yield Studies A Swiss Example 1995 Forest Ecology and Management
Evaluation of Permanent Sample Surveys For Growth and Yield Studies A Swiss Example 1995 Forest Ecology and Management
Evaluation of Permanent Sample Surveys For Growth and Yield Studies A Swiss Example 1995 Forest Ecology and Management
Management
ELSEVIER Forest Ecology and Management 71 ( 1995) 187-l 94
Abstract
This paper compares experimental growth and yield study plots with sample plots from forest inventories. The
difference in research objectives leads to a situation where sample plots are available that are representative of the
total population, but give only limited information on site conditions and management history. However, detailed
information on site condition and management history is available for growth and yield plots, but does not repre-
sent the total population. As an example, Swiss growth and yield plots are compared with survey plots in terms of
species distribution, stem form, slope class and elevation.
A critical review is given of the two most common sampling designs for regional forest surveys. Continuous
forest inventory is recommended over the more efficient but more complex sampling with partial replacement
design for use in conjunction with growth and yield studies.
The limitations of both growth and yield plots and sample plots are discussed. Recommendations for linking
both types of plots to close information gaps are given to improve both forest surveys and growth and yield studies.
Keyworuk Forest inventory; Continuous forest inventory; Sampling with partial replacement; Forest monitoring; Permanent
plot
shown in Table 1. The Jura, Prealps and south- slope (Table 3) of the plots. Approximately 80%
ern slopes of the Alps are sufficiently repre- of the growth and yield plots are located at ahi-
sented. Most growth and yield plots are located tudes below 1000 m. The results of the NFI in-
in the Plateau region; the Alpine region is under- dicate that more than 50% of the Swiss stands
represented. are above 1000 m. A similar situation can be
Other indicator variables for site and growth found for the slope of the plots. Roughly 20% of
conditions are the elevation (Table 2) and the the NFI plots are located in areas with slopes
larger than 60%, but only 5.3% of the G&Y plots
Table 1 were established on these steep slopes.
Distribution of plots in various productive regions of The comparison of the proportion of growth
Switzerland and yield plots and permanent plots by produc-
Region Growth and NPI plots tive region, elevation and slope indicate that the
yield plots (%I G&Y plots do not represent the growth and site
(%) conditions of Swissforests. The growth and yield
plots tend to be established in lower elevations
Jura 13.3 16.4 and relatively flat terrain. A large proportion of
Plateau region 35.7 19.2
Prealps 21.8 18.3 Swiss forests are located in the unique condi-
Alps 11.9 32.2 tions of higher elevations, but these conditions
Southern slopes of 17.2 13.9 are poorly represented by G&Y plots.
the Alps Almost 29% of the growth and yield plots were
establishedto study selectively cut forests, but the
NFI results show that only about 20% of the Swiss
Table 2 forest have been managed using this regime.
Proportion of plots in each elevation class The growth and yield plots do not reflect the
proportions of tree speciesin Switzerland. Table
Elevation Growth and NFI plots 4 showsthat regarding number of stemsand basal
(ml yield plots (%I area, fir, spruce, oak, and a few other speciesare
(%I
fairly well represented. Beech is one of the most
> 1800 3.0 7.8 frequent tree speciesin Switzerland, but is poorly
1601-1800 2.9 8.6 represented in growth and yield studies.
1401-1600 2.2 10.2 Stem form can be expressed as the ratio of tree
1201-1400 7.2 11.7
1001-1200 4.8 13.5 height (h ) to diameter at breast height (d). Trees
801-1000 23.8 13.3 with a high h/d ratio are slender and are more
601-800 13.1 16.0 desirable for timber production. The h/d ratios
< 600 42.9 19.0 were grouped into three classes and are pre-
sented in Table 5. On growth and yield plots, trees
Table 3
Proportion of plots in each slope class have higher h/d ratios than those on NFI plots,
which means that poor stem forms are under-
Slope Growth and NPI plots represented and good stem forms are over-rep-
(%I yield plot (Oh) resented. This can create problems, such as in the
WI development of taper and volume equations. Any
> 100 1.8 model deficiencies will be accentuated by the
81-100 0.1 4.6 differences in how well the G&Y plots represent
61-80 5.2 12.8 the entire population.
41-60 12.8 23.3 Data on growth and yield plots were used to
21-40 24.6 27.2 develop Swissgrowth and yield tables for spruce,
<21 40.8 30.5
fir, larch and beech (Badoux, 1983a,b,c,d). They
190 M. Kiihl et al. /Forest EcologyandManagement 71(1995) 187-194
Table 4
Representation of tree species in Switzerland in studies concerning number of stems and basal area
Table 6
Forested area ( 1000 ha) where growth and yield tables can be applied
Alps are not represented at all but are essential dependency on the permanent plots. Because
forest types in those areas. plots in distinct strata or regions may be lost,
samples may not be representative over time, or
the number of sample plots will become too low
4. Sampling on successive occasions for some units of reference. Visibly marked plots
may be treated differently from the rest of the
In forest surveys, sampling on successive oc- population and become unrepresentative.
casions is commonly based on two sampling
methods: (i) continuous forest inventory (CFI); 4.2. Sampling with partial replacement
(ii) sampling with partial replacement (SPR).
Other sampling procedures for monitoring pur- SPR was introduced into forestry by Ware and
poseshave been described, but are in most cases Cunia ( 1962) based on former work by Patter-
derivatives of either CFI or SPR (Kohl, 1990). son ( 1950). At the first occasion,assessmentand
estimation procedures are the same as with CFI.
4.1. Continuous forest inventory At the second occasion only a portion of the plots
established at the first occasion are remeasured
CFI uses a set of permanent sample plots, and a set of new plots is added. The remeasured
which are established at the first occasion and re- plots are used to develop regression relation-
measured at each successive occasion. CFI was ships to update all unremeasured plots. A second
introduced into forestry by Stott ( 1947) . Krutsch estimator is based on the new plots. Both esti-
established the first permanent sample plots in mates are combined and result in more precise
Germany in 1938, but did not present statistical estimatesof current values than does CFI (Scott,
analysis procedures. Schmid-Haas ( 1983) de- 1984). Cunia and Chevrou ( 1969) extended
veloped a special application of CFI for forest SPR to multiple occasions and Newton et al.
management planning, called control sampling. ( 1974) extended it to the multivariate case,but
This method combines survey sampling and the problems emerged owing to the awkward esti-
control method (Biolley, 1921; Gumaud, 1878), mation procedures.
a traditional forest planning method widely used One advantage of SPR is that it reducesthe risk
in Switzerland and southern Germany. of obtaining a poorly distributed sample. New
CFI plots are selected either randomly or sys- sample plots are added and help make a sample
tematically to represent the entire forest popula- more representative if the old plots were poorly
tion. Plots are monumented, so that they can be distributed initially or if they become poorly dis-
measured on future occasions. The spatial posi- tributed. The dependence on maintaining the
tion of each tree in a plot should be recorded, so permanent plots is lessthan with CFI. SPR also
that analysis based on paired observations of offers the opportunity to place sample plots in
trees are possible. The plots should be marked new areas where no permanent plots were estab-
invisibly to ensure that their locations are not lished initially. A second advantage is that SPR
known by local foresters and that no manage- is simultaneously cost effective for estimates of
ment activities different from those of the entire current values and net change in those values.
population are applied. Finally, SPR is very flexible. The emphasis can
Estimates are easily obtained with CFI and are be altered between the estimation of current val-
particularly good for change estimation. The es- ues and change detection by changing the pro-
timation procedures are simple and results are portion of new and remeasured plots. The esti-
intuitively understood. Additive tables are ob- mation of current values can be improved by
tained, where independent estimates of cell val- adding new plots; remeasuring more of the per-
ues sum up to the row and column totals. Even manent plots can improve the estimation of
for more than two occasions the estimation pro- change.
cedures are clear. A disadvantage of CFI is the Scott (1986a) described many of the prob-
192 M. Kiihl et al. /Forest Ecology andManagement 71(1995) 187-194
lems encountered. The first disadvantage is the and Hansen, 1983). If SPR is used at the third
complexity of the design. The number of plot occasion, change estimation could take only the
types increases geometrically as the number of last two occasions into account. Scott f 1986b)
occasions increases. At two occasions, sample recommended simplification by returning to CFI
sizesfor three different types of plots (unremea- particularly now that change is at least as impor-
sured, remeasured, and new) have to be deter- tant as current values.
mined. At three occasions, the number of plot
types increases to seven.
A second disadvantage is the complex estima-
tion procedures. The first step in the analysis is 5. Link between growth 888 yi&l ad pxmameat
to develop regression estimates. The regression sample plots
equations must be carefully monitored. When
stratification is used, the sample sizesare often Permanent sample plots cover the whole area
too small to develop reliable regression coeffi- of interest and give representative results. How-
cients for individual strata. Often the strata must ever, the sampling intensity in regional invento-
be collapsed, as the number of plots in the strata ries is typically too low and the plots are too small
is too small to estimate regression coefficients to adequately character&e individual stands.
reliably. The estimation procedures become very Treatment history is normally not known and
unwieldy for more than two occasions.Scott and cannot be developed from the data assessedon
Kohl ( 1994) give estimators for SPR and strati- the plots.
fication and for up to three occasions and show On growth and yield plots, site conditions and
their complexity. It is difficult to apply those treatment history are carefuliy monitored. How-
complex procedures in practical applications. ever, they are not representative of the total for-
These estimators can be applied to indepen- est population. Low value species, non-fully
dently estimate individual row and column cells, stocked conditions, and uneven-aged or mixed
as well as row and column totals. However, esti- stands are under-represented. In Swit-zerland,
mates developed in this way are not additive; growth and yield plots established before the
cells will not sum to estimates of row and column 1950s were located in highIy accessibleareas with
totals. For statisticians, non-additive tables are only a few plots in higher elevations or in mixed
acceptable, but forest resource analysts prefer to stands. It is likely that this situation is not unique
use tables that are additive. to Switzerland.
Different methods have been described to To overcome these information gaps, the two
handle the problem of table cells that do not add types of plots can be linked. One use of growth
to row and column totals. For example Li and and yield models is to update forest inventories.
Schreuder (1985) suggested a cell adjustment This approach is used in the north-central US
procedure, which adjusts cells inversely propor- (Hahn and Hansen, 1983). The frequency of
tional to their variances in order to make them forest surveys can be reduced and therefore the
add to the total. However, in forest survey re- cost of field assessments.Becausethe growth and
ports more than one table are presented. Not only yield plots are not representative of the entire
is additivity within tables required but also be- forest area, models may not be available for all
tween tables. conditions encountered.
Experience has been gained with SPR from the Permanent sample plots can be used to com-
1960s (Bit&ford et al., 1963) through the pres- pare the forest characteristicson growth and yield
ent. However, there are only a few practical ap- plots to those in the region of interest. Similarly,
plications of SPR for more than two occasions. they can be used to define the range wheregrowth
The tendency is to abandon SPR and move back and yield models can be appropriately applied.
to CFI or to other techniques like updating tech- Growth and yield models can be cabbrat& using
niques hased on growth projection models (Hahn permanent sample plots, thus increasing the ap
M. Kijhl et al. /Forest Ecology and Management 71(1995) 187-194 193
plicability of the resulting models to new areas have to be adjusted for the presentation of the
and different stand conditions. Finally, the range results. The Continuous Forest Inventory design
of forest characteristics can be used to identify is lessefficient, but due to its simplicity, is more
potential areas for the establishment of new G&Y appropriate for most practical applications and
plots. continuous surveys with more than two
An alternative is to develop models from both occasions.
survey data and from growth and yield studies It is well-known that caution should be used in
for the primary purpose of inventory updating. applying existing growth and yield models to
The resulting models would apply to all forest conditions other than those represented by the
conditions. An example of this type of model is plots upon which they are based. Unfortunately
STEMS (Belcher et al., 1982) which is used only in very rare casesare the users of growth
widely in the US. However, the ability of this type and yield models aware of the underlying condi-
of model to respond to forest management prac- tions and assumptions.
tices is limited unless treatment history is avail- When permanent sample plots are appropri-
able for the sample plots and is accounted for in ately modified, they can be used to augment
the model development. growth and yield plots to develop models which
are more generally applicable.
6. Conclusions
Resource Inventories for Monitoring Changes and Trend, Scott, C.T., 1984. A new look at sampling with partial re-
Proc., 15-19 August 1983, Corvalhs, OR, SAF 83-14, pp. placement. For. Sci., 30( 1): 157-166.
546-549. Scott, C.T., 1986a. An evaluation of sampling with partial
Kohl, M., 1990. Stichprobenkonzepte fur das zweite replacement. In: Use of Auxiliary Information in Natural
Schweizer Landesforstinventar. Schweiz. Z. Forstwes., Resource Inventories, Blacksburg, VA, October i985, SAF
141: 745-75s. 86-01, Society of American Forestry, pp. 74-79.
Li, H.G. and Schreuder, H.T., 1985. Adjusting estimates in Scott, C.T., 1986b. Proposed northeastern forest survey em-
large two-way tables in surveys. For. Sci., 3 1: 366-372. phasizing disturbance detection. In: Use of Auxiliary In-
Newton, C., Cunia, T. and Bickford, C.A., 1974. Multivar- formation in Natural Resource Inventories, Rlacksburg,
iate estimators for sampling with partial replacement on VA, October 1985, SAF 86-O 1, Society of American Por-
two occasions. For. Sci., 20: 106-I 16. estry, pp. 146-I 5 1.
Patterson, H.D., 1950. Sampling on successive occasions with Scott, C.T. and Kdhl, M., 1994. Sampling with partial re-
partial replacement of units. J. R. Stat. Sot. B, 12: 241- placement and stratification. For. Sci., 40: 30-46.
255. Stott, C.B., 1947. Permanent growth and mortality plots in
Schmid-Haas, P., 1983. Swiss Continuous Forest Inventory: halfthe time. J. For., 45: 669-673.
Twenty years experience. In: J.F. Bell and T. Atterbury Ware, K.D. and Cunia, T., 1962. Continuous forest inven-
(Editors), Renewable Resource Inventories for Mouitor- tory with partial replacement of samples. FOT. Sci. Mon-
ing Changes and Trend, Proc., 15- 19 August 1983, Cor- OgT., 3: 40.
vallis, OR, SAF 83-14, pp. 133-140.