Light Detection and Ranging LIDAR An Emerging Tool

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Light Detection and Ranging (LIDAR): An Emerging Tool for Multiple Resource
Inventory

Article in Journal of Forestry · September 2005


DOI: 10.1093/jof/103.6.286

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Light Detection and Ranging
(LIDAR): An Emerging Tool for
Multiple Resource Inventory
Stephen E. Reutebuch, Hans-Erik Andersen, and
Robert J. McGaughey
Airborne laser scanning of forests has been shown to provide accurate terrain models and, at the same providing new tools for measuring and
time, estimates of multiple resource inventory variables through active sensing of three-dimensional monitoring biospatial data across the
(3D) forest vegetation. Brief overviews of airborne laser scanning technology [often referred to as “light landscape. The basis of this revolution is
detection and ranging” (LIDAR)] and research findings on its use in forest measurement and monitoring the ability to measure directly the three-
are presented. Currently, many airborne laser scanning missions are flown with specifications designed dimensional (3D) structure (i.e., terrain,
ABSTRACT

for terrain mapping, often resulting in data sets that do not contain key information needed for vegetation, and infrastructure) of imaged
vegetation measurement. Therefore, standards and specifications for airborne laser scanning missions areas and to separate biospatial data (mea-
are needed to insure their usefulness for vegetation measurement and monitoring, rather than simply surements of aboveground vegetation)
terrain mapping (e.g., delivery of all return data with reflection intensity). Five simple, easily from geospatial data (measurements of the
understood LIDAR-derived forest data products are identified that would help insure that forestry needs terrain surface) using active remote sens-
are considered when multiresource LIDAR missions are flown. Once standards are developed, there is ing technologies. Active sensors emit en-
an opportunity to maximize the value of permanent ground plot remeasurements by also collecting ergy (e.g., light or radio waves) and record
airborne laser data over a limited number of plots each year. the reflection of this energy down through
the depth of the canopy. Two active re-
Keywords: LIDAR, airborne laser scanning, forest inventory, forest structure, forest monitoring mote sensing systems currently are com-
mercially available with this capability: (1)
airborne laser scanning, also referred to as
light detection and ranging (LIDAR), and

T
he goal of forest inventory is to pro- to a desired level of precision and are not (2) interferometric synthetic aperture ra-
vide accurate estimates of forest designed to provide spatially explicit, high- dar (IFSAR; also referred to as InSAR). Of
vegetation characteristics, includ- resolution mapped information regarding these systems, LIDAR is more technically
ing quantity, quality, extent, health, and the spatial arrangement or structure of forest mature and widely available, although IF-
composition within the area of interest. A biological components over the landscape SAR holds much potential for landscape-
forest inventory is an estimate of the makeup (Schreuder et al. 1993). However, such level applications. In this article we fo-
of plants (primarily trees) that comprise “biospatial” data are important in all aspects cused on LIDAR as a tool for multiple
aboveground forest biomass. Ideally, a forest of natural resource management: the resource inventory.
inventory system should be designed to pro- “where” often is as important as the “what.”
vide spatial data that can be used over a range For most resource management activities, Brief Overview of Airborne
of scales to support a wide variety of resource these biospatial data, characterizing how for- LIDAR Technology
management goals for a particular forest, in- est structure and composition vary over the There are several varieties of airborne
cluding silviculture, harvest planning, habi- landscape, are at least as important in eco- LIDAR systems; in this article we focused on
tat monitoring, watershed protection, and nomic, aesthetic, and habitat assessments as the most common terrain mapping system,
fuel management. However, traditional are geospatial data (e.g., slope, aspect, and namely, discrete-return, small-footprint
ground-based forest inventory methods are elevation). LIDAR (i.e., typical laser beam diameter at
designed to provide point estimates of in- Over the last 10 years, a revolution in ground level in the range of 0.2–1.0 m). Dis-
ventory parameters for relatively large areas remote sensing technology has occurred, crete-return airborne LIDAR systems were

286 Journal of Forestry • September 2005


scanned swath width depend on the settings LIDAR-Derived Forest
and design of the scanning mechanism (e.g., Measurements
pulse rate, returns per pulse, and scanning Although the mapping community has
angle), as well as other factors such as flying embraced LIDAR as the standard technol-
height, aircraft speed, and the shape of the ogy for collecting high-resolution geospatial
topography. data over vegetated areas, the natural re-
Most LIDAR systems can detect several source management community has been
reflections or “returns” from a single laser slower to appreciate the capability of LIDAR
pulse. Multiple returns occur when the pulse to simultaneously collect high-resolution
strikes a target that does not completely
biospatial data. System manufacturers have
block the path of the pulse and the remain-
largely ignored the potential uses of the
ing portion of the pulse continues on to a
LIDAR vegetation returns (that are under-
lower object. This situation frequently oc-
standably considered “noise” in the context
curs in forest canopies that have small gaps
of terrain mapping), and only in the last few
between branches and foliage. To take ad-
Figure 1. Schematic showing LIDAR data years have natural resource scientists begun
vantage of this, most terrain mapping mis-
collection over bare ground. to realize the accuracy and value of LIDAR
sions over hardwood or mixed conifer-hard-
biospatial forest structure data, with Canada
wood forest are flown in leaf-off conditions
and Europe at the forefront (Wulder et al.
developed over the last 15 years for the ex- to maximize the percentage of pulses that
2003, Olsson and Næsset 2004). There are a
press purpose of mapping terrain (Wehr and reach the ground surface. In contrast, when
multitude of uses for such 3D forest struc-
Lohr 1999). Airborne laser scanning systems the primary objective is characterization of
ture data, not the least of which is forest in-
have four major hardware components: (1) a canopy conditions, LIDAR missions are
ventory and monitoring. Several European
laser emitter-receiver scanning unit, (2) dif- sometimes flown in leaf-on conditions to
countries have initiated programs to use
ferential global positioning systems (GPS; maximize the number of returns from tree
LIDAR for large-scale forest inventory;
aircraft and ground units), (3) a highly sen- crowns and other vegetation layers.
however, forest analysis procedures are not
sitive inertial measurement unit (IMU) at- System manufacturers have expended
tached to the scanning unit, and, of course, great efforts to develop methods for distin- as well refined as are those for terrain map-
(4) a computer to control the system and guishing between laser reflections from the ping products. Scandinavian researchers
store data from the first three components. ground surface (terrain measurements) and (Næsett et al. 2004) have reported generally
Laser scanners designed for terrain those from vegetation. LIDAR system man- very good results with LIDAR measure-
mapping emit near-infrared laser pulses at a ufacturers typically quote root mean squared ments of height, volume, stocking, and basal
high rate (typically 10,000 –100,000/sec- errors of 10 –15 cm vertical and 50 –100 cm area in coniferous areas with LIDAR point
ond). The precise position and attitude of horizontal for terrain mapping products un- densities ranging from 0.1 to 10 points m⫺2.
the laser scanner unit at the time each pulse der optimal conditions. In several studies the Although there is growing interest in the op-
is emitted are determined from flight data vertical accuracy of LIDAR terrain measure- erational use of LIDAR for large-scale re-
collected by the GPS and IMU units. The ments was found to be in the range of 15–50 source inventory applications in the United
range or distance between the scanner and cm over a variety of ground and cover con- States, to date, most of the activity has been
an object that reflects the pulse is computed ditions from open flat areas (Pereira and limited to research applications.
using the time it takes for the pulse to com- Janssen 1999) to variable forest cover (rang-
plete the return trip distance from scanner to ing from clearcuts to mature stands; Kraus
LIDAR-Based Measurement of
object. This range information and the po- and Pfeifer 1998, Reutebuch et al. 2003). Individual Tree Attributes
sition and orientation of the scanner are used Airborne LIDAR scanning system ca- Individual tree crowns composing the
to calculate a precise coordinate for each re- pabilities have dramatically increased over canopy surface can be detected and measured
flection point. the last 10 years. Data acquisition costs have automatically with relatively high accuracy
A swath of terrain under the aircraft is correspondingly decreased as advances in in- through the application of computer vision al-
surveyed through the lateral deflection of the ertial navigation systems, computing capa- gorithms (Figure 2) when LIDAR data are ac-
laser pulses and the forward movement of bility, and GPS technology have allowed quired at a high density (4 –5 points m2). Sev-
the aircraft. The scanning pattern within the LIDAR to move into the mainstream com- eral studies have shown that when the canopy
swath is established by an oscillating mirror mercial terrain mapping sector. Today, sev- is composed of a single canopy stratum, mor-
or rotating prism, which causes the pulses to eral vendors market LIDAR systems, and phological computer vision techniques can be
sweep across the landscape in a consistent several third-party vendors offer specialized used effectively to identify automatically tree
pattern below the aircraft (Figure 1). Large LIDAR data processing software for efficient crown structures and measure individual tree
areas are surveyed with a series of swaths that terrain mapping. Numerous LIDAR survey attributes, including total height, crown
often overlap one another by 20% or more. firms offer a complete range of mapping ser- height, and crown diameter (Ziegler et al.
This results in acquisition of a 3D “point vices including the generation of digital ter- 2000, Persson et al. 2002, Schardt et al. 2002,
cloud” from vegetation and terrain, often rain models, contour maps, extraction of in- Andersen 2003, Straub 2003). Popescu et al.
with several million measurements per frastructure locations and characteristics, (2003) have shown that although individual
square kilometer. The final pattern of pulse and delivery of processed scanner data in a tree heights can be estimated using lower-den-
reflection points on the ground and the variety of formats. sity LIDAR data (1 point m⫺2), it is difficult to

Journal of Forestry • September 2005 287


Figure 2. (A) Orthophotograph of selected area (courtesy of Washington Department of Natural Resources), and (B) individual tree-level
segmentation of the LIDAR canopy height model via morphological watershed algorithm (color-coded by height; black lines indicate
boundaries around crowns).

mates of critical inventory variables such as


height, stem volume, basal area, biomass, and
stem density (McCombs et al. 2003, Popescu
et al. 2004).
When high-density LIDAR data sets
are available from different years, the differ-
ence in the individual tree canopy measure-
ments generated from the multitemporal
LIDAR data sets represents an estimate of
the tree growth over the intervening period
(Yu et al. 2004). In Figure 3, one can clearly
see the expansion of individual tree crowns
and the removal (due to windthrow in this
case) of an individual crown by comparing
LIDAR data clouds from 1999 and 2003 for
the same strip of forest. The use of multi-
temporal LIDAR therefore has the potential
for monitoring growth and mortality for all
overstory trees within a certain area. As an
example, in a study performed at the Capitol
State Forest study area in western Washing-
ton State, Andersen et al. (2005a) used high-
density LIDAR data acquired in early 1999
Figure 3. Comparison of 1999 and 2003 LIDAR crown measurements in a heavily thinned
and late 2003 to extract individual tree
strip of mature forest in the Capitol State Forest study area. (From top to bottom) 1999 height growth measurements for 1.2 km2 of
orthophotograph; profile view of all 1999 LIDAR points (color-coded by height mountainous second-growth, naturally re-
aboveground) measured within the yellow box shown in the orthophotograph; plan view generated Douglas-fir forest (Pseudotsuga
of all 1999 points; and, plan view of all 2003 points. Note the crown expansion between menziesii (Mirb.) Franco var. menziesii).
1999 and 2003 that is apparent in the red square and the tree that was removed (because Preliminary results of this analysis showed
of windthrow) apparent in the red circle. that subtle differences in growth between
thinning treatment units can be detected
measure accurately other crown attributes, shown that the combined use of LIDAR and even over this relatively short period of time
such as crown width, especially in mixed de- multispectral digital imagery can lead to more (five growing seasons). Height growth was
ciduous forest types. Several studies have accurate individual tree- and plot-level esti- less pronounced in the mature (age 75 years)

288 Journal of Forestry • September 2005


Figure 4. LIDAR-based measurement of individual conifer tree growth (1999 –2003). (A) Selected area within Capitol State Forest study area
shown in LIDAR canopy height model color-coded by canopy height, and (B) LIDAR-derived individual tree height growth measurement
color-coded by height growth. A significant difference in height growth between stands is evident [control (75-year-old, unthinned stand)
approximately 1–3 m in growth; young (35-year-old stand) approximately 3–5 m; heavily thinned (75-year-old stand) approximately 0 –2
m]. Segments colored white indicate hardwoods that were excluded from this conifer growth analysis.

heavily thinned unit (approximately 0 –2 component). The metrics used to describe the
m), where the primary response to the treat- spatial distribution of LIDAR returns in a plot
ment was increased crown expansion, than area include height percentiles, mean height,
in the mature unthinned control unit, where maximum height, coefficient of variation of
the height growth was in the range of 1–3 m height, and a LIDAR-derived measure of can-
(Figure 4). Not surprisingly, the height opy cover (e.g., percentage of LIDAR first re-
growth within a younger (age 35 years) turns above 2 m). This plot-level approach has
stand was much higher (approximately 3–5 been used by researchers in North America
m) than in the mature stands. The capability and Europe to estimate stand inventory pa-
of LIDAR to measure accurately the growth rameters in several different forest types, where
rates of individual dominant and codomi- predictive regression models were shown to ex- Figure 5. LIDAR-derived canopy fuel weight
map (30-m resolution), Capitol State Forest
nant trees across an entire forest clearly pro- plain from 80 to 99% of the variation (i.e., R2)
study area (Andersen et al. 2005b).
vides an opportunity for much more accu- in field-measured values (Means et al. 2000,
rate and spatially explicit assessment of site Næsset and Økland 2002, Lim and Treitz
quality and growth analysis. 2004). In a study performed using 99 field metric data (Brandtberg et al. 2003). These
plots in second-growth Douglas-fir (P. men- intensity data likewise can be helpful to dis-
Plot-Level LIDAR-Based Forest ziesii (Mirb.) Franco var. menziesii) measured tinguish between live and dead crowns when
Structure Measurement at the Capitol State Forest study area in Wash- LIDAR data are collected during leaf-on
The basic principles of allometry, or laws ington State, strong regression relationships conditions.
of proportional growth, can be used to quan- between LIDAR-derived predictors and field- Another promising application of
titatively model the relationship between the measured values were found for several critical LIDAR technology to forest inventory is in the
dimensions of various components of a forest inventory parameters, including basal area (R2 area of canopy fuel mapping (Riano et al.
system, including canopy height, biomass, ⫽ 0.91), stem volume (R2 ⫽ 0.92), dominant 2004). Resource managers rely on accurate
basal area, and foliar surfaces (West et al. height (R2 ⫽ 0.96), and biomass (R2 ⫽ 0.91; and spatially explicit estimates of forest canopy
1997). These principles can be used to develop Andersen et al. 2005a). Because this approach fuel parameters, including canopy cover, can-
regression models relating the spatial distribu- relies on a single mathematical model to relate opy height, crown bulk density, and canopy
tion of LIDAR returns within a plot area to the LIDAR metrics to a given inventory pa- base height to support fire behavior modeling
plot-level stand inventory variables (e.g., rameter over a range of different stand types, it and fuel mitigation programs. In a study per-
height, volume, stocking, and basal area) be- is important to obtain representative plot-level formed at the Capitol State Forest, regression
cause LIDAR measurements essentially repre- field data that capture the full range of variabil- analysis was used to develop strong predictive
sent a detailed measurement of all reflecting ity present in the area of LIDAR coverage. Re- models relating a variety of LIDAR-based for-
surfaces within a canopy volume (foliage, cent research in the West Virginia mixed hard- est structure metrics to plot-level canopy fuel
branches, and stems). This approach is appro- wood forests also has indicated that the estimates derived from field inventory data
priate when LIDAR data are collected at a intensity data (sometimes referred to as “reflec- [sqrt(crown fuel weight), R2 ⫽ 0.86; ln(crown
lower density (i.e., 1- to 2-m spacing between tance”) of the NIR reflection from LIDAR bulk density), R2 ⫽ 0.84; canopy base
points) or the vertical structure of the forest is data acquired in leaf-off conditions are useful height, R2 ⫽ 0.77; canopy height, R2 ⫽ 0.98
complex (i.e., composed of multiple canopy for some hardwood species classifications (Andersen et al. 2005b)]. These regression
strata, perhaps with a significant understory when used in conjunction with LIDAR geo- models then can be used to generate digital

Journal of Forestry • September 2005 289


maps of canopy fuel parameters over the ex-
tent of the LIDAR coverage. Canopy fuel
weight, e.g., can be mapped over the land-
scape (Figure 5).

Need for LIDAR Mission


Standards and Specifications
Today, we are in a position with
LIDAR technology similar to where our
predecessors were with aerial photography
in the early part of the last century. By
1930, it was obvious that aerial photogra-
phy was providing new data on the extent,
composition, and volume of forests, as
well as information for many other natural
resource management activities; yet it
took many more years for agencies to de- Figure 6. Comparison of a traditional color orthophotograph to LIDAR-derived images for
velop flight specifications and cooperative, the same area: (A) orthophotograph; (B) bare-ground DEM; (C) CHM (canopy height is less
cost-sharing agreements to allow periodic than 2 m in gray areas); and (D) canopy cover image colored by leaf-off
wide-area photography missions. It is in- LIDAR intensity, where brown low-intensity areas indicate hardwood cover and green
creasingly evident that LIDAR provides high-intensity areas indicate conifer cover.
3D geo- and biospatial data at an unprec-
edented level of detail and accuracy, but
standards and specifications have not been nanced to insure that future data acquisi- ated easily, assuming consistent data collec-
established for collecting LIDAR data tions meet multiresource needs. The Federal tion standards are implemented:
suitable for use in a wide range of natural Emergency Management Agency (FEMA)
resource management activities. At the has taken the lead in establishing guidelines 1. High-resolution (1–5 m) bare-ground
same time, many large LIDAR projects and specifications for LIDAR terrain map- DEM. These DEMs provide improved
(county- and statewide acquisitions) are ping for flood hazard mapping (FEMA data for many applications including hy-
being flown by a multitude of local, state, and 2003); however, there has not been a similar drologic and erosion process modeling,
federal agencies for single-use management coordinated effort between natural resource landscape modeling, road and harvest
needs (e.g., flood risk mapping, updated digi- management agencies. The FEMA stan- planning and design, and geographic in-
tal elevation models (DEM), or geologic fault dards provide a good starting point on formation system analysis (Figure 6B).
detection), often without consideration as to which to build more comprehensive stan- 2. Canopy height models (CHM). CHMs
how the data might be used for forest vege- dards that meet multiresource needs. provide spatially explicit stand structure
tation measurements and monitoring. Many Standards and specifications are needed data over the landscape for estimation of
LIDAR data sets, for instance, are being flown growing stock, input for habitat and fire
for LIDAR missions (sensor settings and flight
without collecting (or without requiring deliv- models, and any other resource planning
specifications) and for delivered products.
ery to the client) return intensity information activities where spatial arrangement and
There has been limited research on needed
that is very useful for discerning forest types or tree height are important considerations
flight and sensor specifications. Evans et al.
identifying mortality, and in some cases, spe- (Figure 6C).
(2001) proposed research to examine the ef-
cies differences. Furthermore, many contracts 3. Canopy cover maps. These images pro-
fects of LIDAR flight and sensor specifications
also have not required delivery of all returns— vide a direct measurement of cover by
over forests of differing density and spatial ar- height aboveground. Figure 6D illus-
they simply specify bare-ground DEMs or a
filtered subset of the data that only includes rangements. A more coordinated, comprehen- trates canopy cover where canopy height
ground points. Vegetation data often are lost sive research effort is needed to develop data is greater than 2 m.
or must be repurchased from the vendor. collection standards and specifications over a 4. LIDAR intensity images. These high-
There is an immediate need to start more complete range of forest conditions. In resolution images can be matched with
developing standards and specifications addition, standards are needed for products of existing orthophotographs and other
for LIDAR data collections so that data are LIDAR missions to insure their usefulness for digital imagery for change detection and
more widely available for use by local, forest measurements. monitoring over time. They also are use-
state, and federal natural resource man- To stimulate development of both ful in verifying the registration of LIDAR
agement agencies. Again, the multiagency types of standards and specifications, there data with other geospatial data layers. As
working groups and agreements estab- are several simple, easily understood and shown in Figure 6D, intensity data can
lished to organize the collection and dis- widely recognized LIDAR-derived forest be used in conjunction with CHMs to
tribution of periodic aerial photography mapping products that many agencies and identify hardwood (brown) and conifer
provide models for how coordinated specialists within organizations would find canopy areas (green).
LIDAR projects could be planned and fi- useful. The following five could be gener- 5. All returns data set. This archive of all the

290 Journal of Forestry • September 2005


LIDAR returns and their associated re- be available for development of regression LIDAR data from the eastern deciduous forest
flectance intensity could be used for a models. These regressions would then be in North America. Remote Sens. Environ.
wide range of specialized analysis and available for use with any large-area LIDAR 85(3):290 –303.
EVANS, D.L., S.D. ROBERTS, J.W. MCCOMBS,
provides baseline data on current terrain data set (past or future) to estimate forest AND R.L. HARRINGTON. 2001. Detection of
and vegetation structure that could be inventory parameters or other vegetation regularly spaced targets in small-footprint lidar
used in the future for change detection variables for use in a multitude of land-man- data—research issues for consideration. Photo-
and monitoring (e.g., crown expansion agement exercises. This would provide a gramm. Eng. Remote Sens. 67(10):1133–1136.
or dieback). At a minimum, this data set valuable method for spatially explicit moni- FEDERAL EMERGENCY MANAGEMENT AGENCY.
toring of forest change with unprecedented 2003. Appendix A: Guidance for aerial map-
should include pulse number, return
ping and surveying P. A39 –A57 in Guidelines
number, east coordinate, north coordi- accuracy and resolution.
and specifications for flood hazard mapping part-
nate, elevation, and return intensity for ners. Available online at www.fema.gov/pdf/
each LIDAR return and metadata docu- Conclusions fhm/frm_gsaa.pdf; last accessed Sept. 2005.
menting the LIDAR mission flight pa- Over the last 5 years, numerous studies KRAUS, K., AND N. PFEIFER. 1998. Determination
rameters, sensor type and settings, GPS have shown that LIDAR data can provide of terrain models in wooded areas with air-
high-resolution biospatial data for multire- borne laser scanner data. ISPRS J. Photo-
control, horizontal and vertical datum,
source management and analyses including gramm. Remote Sens. 53:193–203.
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and time of mission. Ideally, all return traditional forest inventory and more spe- above ground forest biomass from airborne
data files should be in the American So- cialized single-use analysis (e.g., canopy fuel discrete return laser scanner data using cano-
ciety for Photogrammetry and Remote estimates for fire behavior modeling). Si- py-based quantile estimators. Scand. J. For.
Sensing LIDAR data exchange format. multaneously, LIDAR has emerged as the Res. 19(6):558 –570.
leading technology for high-resolution ter- MCCOMBS, J.W., S.D. ROBERTS, AND D.L.
EVANS. 2003. Influence of fusing lidar and
Leveraging Ongoing Ground rain mapping, spurring the development of
multispectral imagery on remotely sensed esti-
Plot Measurements national guidelines and standards in this do-
mates of stand density and mean tree height in
main. It appears there is a similar need to a managed loblolly pine plantation. For. Sci.
Several projects have reported excellent
develop national standards and guidelines 49(3):457– 466.
results using LIDAR in double-sampling
for LIDAR data collection for forest vegeta- MEANS, J.E., A.A. ACKER, B.J. FITT, M. REN-
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292 Journal of Forestry • September 2005

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