LiDAR-derived estimation of canopy cover density

Ali Fakour
MSc graduate in Gorgan University of Agricultural Sciences and Natural Resources
alifakor@ut.ac.ir
Mobina Fakour
MSc graduate in Hakim Sabzevari University
mobinafakour1999@gmail.com

Abstract
Canopy cover is of importance when it comes to assess forest attributes
qualitative and quantitative. Despite the numerus merits of traditional
methods, there are some dilemmas derived from them such as high cost
and inaccuracy. Thanks to skyrocketing progress of remote sensing
methods such as LiDAR, user can easily estimate the forest traits
ranging from tree height to canopy cover. The remote sensed data are
accessible, more accurate, timely diversified and exist in large areas. In
the last years LiDAR has been in operational use in studies related to
forestry. In this study, using LiDAR image which is related to an area
located in Turkmenistan, the forest canopy cover density is calculated.
After necessary correction on LiDAR images, the process steps are
mainly performed in ArcMap software and using its tools. The results
show that LiDAR technology can efficiently and precisely estimate the
density of canopy cover. The information is practical in various relative
studies such as monitoring the spatial changes in a specified period.
Besides, one can witness and analyze the deforestation or afforestation
procedure and then make a decision based on the information.

Keywords: LiDAR, Canopy cover, Forest, GIS

 1. Introduction

To begin with, canopy cover is among foremost attributes of forest which is being employed
in various studies such as climate change, ecological and biometric studies (Bonan and Doney,
2018; Goetz et al., 2015; Lewis et al., 2015; Saatchi et al., 2011). Canopy cover is being used as
variable in various applications including biomass and biodiversity estimation. Forest Canopy
Density (FCD) is the proportion of vegetation to ground as illustrated from above (HaoTang, et al,
2019). Vertical canopy cover plays a prominent role for a majority of these calculations embracing
mapping of leaf-area index (LAI) ((Korhonen &Morsdorf, 2014; Solberg et al., 2009).
Furthermore, it can be used in forestry programmes such as thinning (Vastaranta et al., 2011) and
detection of deforestation or afforestation (Hao Tang, et al, 2019).
Terrestrial methods, despite the considerable success in this field, can not fully meet the
needs about canopy cover quantities. In addition, using traditional remote sensing techniques, we
are still unable to record changes, especially in dense forests (HaoTang, et al, 2019).
The last years have witnessed a sharp advance in electronic devices based on laser pulse
(Erik, N et al, 2004) (Van Leuwen, M, 2010). Progressing LiDAR technology, Simultaneously, it
has become popular to use this rewarding technology to assess forest traits remotely (Elias Ayrey,
et al, 2018). Light Detection and Ranging (LiDAR) is a state-of-the-art instrument which enable
us to estimate forest attributes embracing canopy density, height and structure of a forest
(Andersen, McGaughey & Reutebuch, 2005).
A typical model that creates canopy cover from remote sensed like LiDAR data, using
relationship between reflected signals and referenced data, applies the correlation over larger areas
and longer periods (Hansen et al., 2013). Although there are some defects ranging from low
sensitivity to high cover in dense forests to processing methods, it seems that optical satellite
images have more benefits compared to traditional methods.

2. Literature Review
C.T. Anderson, et al (2021), in order to compare traditional methods and terrestrial LiDAR,
performed related surveys. They created a way to use point cloud data to assess forest attributes.
They found that LiDAR produced accurate data related to species richness and it has potential to
solve the problem of limitation of in situ surveying.
Hao Tang, et al (2019) processed worldwide canopy cover distribution using Geoscience
Laser Altimetry System (GLAS). They resulted that this technology can better characterize canopy
cover distribution compared to traditional methods.
Kamal Humagain, et al (2018) explored the relationship between canopy cover data produced
from LiDAR and Landsat data. Then they created a model to estimate canopy cover percentage on
Landsat data between 1987 and 2015. They concluded that an overall increase in medium and high
canopy cover classes is indicated.
WangLi et al (2015) estimated temperature forest canopy cover integrating airborne LiDAR
data with SPOT-6 via geostatistical modeling. They resulted the model will greatly simplify future
forest growth for large areas of forests.

3. Study area
Targeted site is located by in Turkmenistan, which is a shallow, highly-saline water-filled
depression in the northwestern corner of Turkmenistan. (Figure 1&2). Figure 3 also shows an aerial
picture of the site study. The center of study plot’s coordinates is Easting: 491626.77 m E, Northing:
2804956.11 m N, in zone 17R.
 Figure 1. Study area.

Figure2. Satellite image of the study plot Figure3. Garabogazköl from space,
Produced from Google Earth September 1995

3. Method

3.1. Creation of LAS dataset

Related data is collected by an air-borne LiDAR device. After irradiation of the laser pulse,
backscatters are recorded. The produced 3D point cloud by Lidar then is converted to LAS file and is
added in ArcMap (Figure 4).
 Figure 4. LAS data file

3.2. Density calculation

Evidently, canopy cover density is calculated by dividing the area that is filled by tree cover to all
area including other features. In figure 5, it can be seen that white pixels represents canopy covers. On
the other hand, black pixels show other features. Dividing the area occupied by white pixels to area of
all pixels, canopy cover density can be calculated. Thus, we need to classify pixels into ground returns
against non-ground returns, which is generally done by service provider. Next, the season should be
considered. For instance, collecting data in Autumn (leaf off) will be inappropriate.

Figure 5. Pixels represented canopy cover against other features.

Firstly, pixels represent canopy cover and ground pixels should be extracted using related filter at
LiDAR’s properties tab and be exported (Figure 6 and 7). When LAS dataset is ready, using filter tab
we should determine which point will be used. Mainly, there are two sets of pixels embracing ground
and above ground features. LAS points are generally organized based on American Society for
Photogrammetry and Remote Sensing (ASPRS), which is a globally accepted standard (Figure 6).
 Figure 6. LAS filter tab

Figure 7. Schematic presentation of canopy and ground pixels

All canopy pulses ground pulses

To calculate density, it has to be more appropriate to convert LiDAR data to raster. There are
three steps here, which are raster creation using vegetation cover data, ground data, total of vegetation
cover and ground data. Esri ArcMap® software is employed in this research to manage and analyze
data. The prominent method is that to partition the area into equal-sixed pixels. Comparing number of
canopy cells to the total, the density could be measured.
In the toolbox, “LAS point statistics as raster” is selected. This tool produces a raster whose cell
values represents statistical information about measurements from LAS files referenced by a LAS
dataset. It is strongly advised that the pixel size should be at least for times of point spacing in LiDAR
data, which is accessible via Arc Catalog in the properties section. The smaller pixel size, the lesser
NULL data.
As a necessary step, LiDAR pixels should be checked for null values. The tool “is Null” is
employed to seek these values, which can cause errors in calculations. This tool specify which cells
from the input raster has No Data on a cell-by-cell basis. Returns a value of 1 if the input value is No
Data and 0 for cells that are not. If there are null values, using “condition” tool, null values should be
converted to zero. It executes a conditional if/else evaluation on each of the input cells of an input
raster. Indeed, as the result, pixels that had have no value, have the zero value now.
 Afterwards, using “Plus” tool, ground and canopy layers are sum up. It sums the values of two
rasters on a cell-by-cell basis. In other words, non-ground and ground cells are added together and
make the total. Considering the fact that the density is a value between 0.0 and 1.0, all pixel values
should be converted to float type. This function is run by “Float’ tool which is accessible from
toolbox. This tool converts each cell value of a raster into a floating-point representation.
Finally, to calculate canopy cover density, this layer is divided to ground plus canopy layer. This
function is done by “divide” tool in ArcMap software (Figure 8). Using this tool, the values of two
rasters are divided on a cell-by-cell basis. Actually, Aboveground and ground cells are compared.
Then, they be allocated a value between zero and one which represent no canopy and very dense
canopy, respectively.

4. Results

The following image illustrates canopy cover. Considering Figure 8, it can be seen evidently that
the majority of the study site covered by forest. But there is a diversity in the canopy density. In
addition, Figure 9 unfolds the ground cells backscatters.

Figure 8. LiDAR pixels represented canopy cover Figure 9. LiDAR pixels represented ground

Figure 8 unfolds canopy density. Red cells have little to no vegetation. These are areas where a
major proportion of lidar waves could hit the ground. The dark green cells, where lidar radiations
could not penetrate through the foliage, shows denser vegetation canopy.

As aforementioned, finally, to estimate canopy cover density, the canopy cover layer (Figure 8) is
divided to the total layer including ground and canopy layers. In the final map, each cell has a value
between zero and one which shows no canopy and very dense canopy, and they are illustrated by red
and dark green, respectively.
 Figure 8. LiDAR pixels represented canopy

5. Conclusion
In conclusion, LiDAR as a state-of-the-art technology can plays an important role in assessing
various attributes of the forest including canopy cover density. This is more accurate, rapid and precise
compared terrestrial methods. The result information can be used to monitor the changes in a specified
period. Spatial temporal monitoring is of high importance in the forest studies and LiDAR has paved
the way to aid researchers to calculate various data such as canopy cover. Using aforementioned
information, one can investigate about deforestation or afforestation procedure. As it mentioned in the
research, LiDAR derived data related to the study area are used to calculate the canopy cover density
after necessary processes and by related equations. The result suggests that LiDAR information are
sufficiently valid and accurate to be used in the forestry researches even in larger areas and longer
time periods.
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