1. Introduction
As the dominant terrestrial ecosystem on earth, forests occupy approximately 30% of the land surface area and contribute to 75% of land gross primary production [
1,
2]. Subtropical forests have high diversity, dense carbon and complex structure, and cover approximately one quarter of China’s total area. They provide valuable ecosystem goods and services to humanity and play a key role in the mitigation of climate change [
3,
4]. Forest structures, shaped by silvicultural practices and natural events, provide considerable information about ecosystem values such as biodiversity, water conservation and erosion control [
5]. Forest structural parameters (e.g., diameter at breast height (DBH), tree height (H), tree density (N), basal area (G), etc.) are essential for the parameterization of forest growth models and understanding forest ecosystems [
6,
7]. Timely, accurate and reliable acquisition of forest structural parameters across large areas is crucial for sustainable and multifunctional forest management [
8]. Traditionally, forest structural parameters were collected using field inventory, which is labor intensive and time-consuming [
9,
10]. Remote sensing technology is able to provide detailed continuous-spatial, multi-dimensional and massive-spectral information, allowing for precise forest structural parameter prediction based on their structural and spectral signatures [
11,
12,
13]. Remote sensing data have advantages such as spatial information quantification, high geometric precision and vast geographic coverage [
14,
15], and have been used in the prediction of forest structural parameters over a range of forest types [
16,
17,
18].
Light detection and ranging (LiDAR) has been applied as a promising technology for predicting forest structural parameters due to its capability to provide three-dimensional information about forest structures with high accuracy [
19,
20,
21]. Airborne discrete-return LiDAR systems record multiple return signals, which contain the three-dimensional position and intensity of reflected light from each transmitted pulse. The metrics extracted from discrete point clouds represent the vertical structural characteristics of canopy such as height measures, Weibull distribution parameters, and classes of crown volume zones, etc., which can be used to predict forest structural parameters [
22,
23,
24]. Forest structural parameters, i.e., H, G, V and AGB, have been predicted using discrete point cloud data in previous studies [
21,
22,
24,
25]. However, discrete-return systems record limited information in each returned signal, and can only detect the surfaces which are separated sufficiently in space [
26]. Airborne full-waveform (FWF) LiDAR systems record the whole backscattered returns, thus they can record the geometric and biophysical attributes of forests [
27]. The point cloud can be derived from FWF LiDAR data, and the number of returns extracted from FWF data is much higher than that from discrete point cloud data [
28]. The waveforms obtained by full-waveform systems depend on many factors such as target backscattering characteristics, LiDAR sensor types, scan geometry [
29], etc. In order to make pulse amplitude possible to be used as its true value, the pulse amplitude needs to be calibrated and corrected in full-waveform data processing [
30,
31]. Owing to the waveform recorded by full-waveform system being stretched by the increases of off-nadir angle and the waveforms from different trajectories often being non-vertical, the waveform processing approach needs to be developed to synthesize the raw waveforms in multiple directions into composite vertical waveforms. The full-waveform metrics (FW) extracted from FWF data describe the canopy response using parameters of waveform shape and can be applied in the prediction of forest structural parameters [
13,
32]. Lindberg et al. [
33] extracted the amplitude of waveforms in height intervals to predict the volume in hemi-boreal forest in the southwest of Sweden, and found that the predictive model of total volume had high accuracy for waveform data (relative RMSE = 31.9%). In the prediction of forest structural parameters (e.g., DBH, H, N and AGB, etc.), the accuracies of predictive models were improved when using full-waveform metrics [
34,
35].
Hyperspectral data offer large amounts of continuous-narrow bands which contain detailed spectral signatures associated with forest biophysical properties, and which can be applied to predict forest structural parameters [
16,
36,
37]. Airborne hyperspectral data usually have finer spatial resolution than space-borne data because airborne platforms commonly having lower altitudes than space-borne platforms [
38,
39]. Previous studies have demonstrated that airborne hyperspectral data perform well in forest tree species classification [
40,
41], and structural parameters prediction, e.g., DBH [
42], tree height [
43], basal area [
44], stem density [
23] and biomass [
44,
45,
46]. The visible (VIS) and near-infrared (NIR) regions of hyperspectral narrow bands are usually considered to be correlated with forest structure properties [
39,
47]. Latifi et al. [
23] found that a number of atmospheric window bands in the domains of VIS and NIR such as 540 nm, 680–730 nm and 970 nm were the most important and stable predictors of forest stem density and biomass. The hyperspectral narrow band metrics, formulated using the bands in VIS and NIR domains, rely on the pigments (e.g., chlorophyll, carotene and anthocyanin, etc.), structure and physiology of tree canopy and have great potential in the prediction of forest structural parameters [
48,
49]. Particularly, using hyperspectral narrow band metrics can relatively weaken the influences of soil background reflectance, illumination and atmospheric absorption [
17,
50]. The vegetation indices are the most commonly used narrow band metrics in the prediction of forest structural parameters [
37,
51,
52]. The vegetation indices such as the soil-adjusted vegetation index (SAVI), atmospherically resistant vegetation index (ARVI), and normalized difference vegetation index (NDVI) are considered to be correlated with N, G, V and AGB [
23,
53]. Zhang et al. [
54] used HJ-1 hyperspectral data to predict forest AGB in a subtropical forest and found that SAVI is strongly related to the AGB (
r = 0.91). Nevertheless, in a densely forest area, the hyperspectral data metrics are prone to asymptotically reach a saturation level [
55]. Moreover, since the hyperspectral data usually provide horizontal information, it has certain limitations in quantifying the vertical structure of forests [
56]. These limitations can influence the accuracy of predictions of forest structural parameters.
An integration of airborne LiDAR and hyperspectral data is expected to provide more information on the prediction of forest structural parameters. However, few studies have attempted to improve forest structural parameters predictions by integrating airborne LiDAR and hyperspectral data. Dalponte et al. [
42] integrated airborne discrete point cloud LiDAR and hyperspectral data to predict stem diameter and volume in a temperate forest and found that the improvement in accuracies of stem diameter and volume were 0.4% and 0.5%, respectively. Luo et al. [
57] integrated airborne discrete point cloud LiDAR and hyperspectral data to estimate AGB in a northern temperate deciduous forest. The results indicated that by using integrated discrete point cloud LiDAR and hyperspectral data, 2.2% more of the variability in AGB was explained. In previous studies, most have only focused on the prediction of forest biomass by integrating discrete-return LiDAR and hyperspectral data in temperate and boreal forests. Since the acquisition modalities and structures of FWF LiDAR and hyperspectral data are disparate, it is difficult to integrate FWF LiDAR and hyperspectral data at the raw data level [
58]. The integration commonly includes transforming FWF LiDAR data into two-dimensional images and adding suites of hyperspectral metrics or the information of tree-species derived from hyperspectral data into FWF data [
23,
32,
53].
However, the predictions of forest structural parameters have been mainly implemented in temperate and boreal forests, and there are few published studies from subtropical forest. Moreover, few studies have used radiometrically and geometrically calibrated FWF LiDAR data in analysis, therefore, the synergetic effects of FWF LiDAR and hyperspectral data could be influenced by the target backscattering characteristics and scan geometry. In addition, previous studies did not comprehensively extract and optimize suites of FWF LiDAR and hyperspectral metrics, and the relativities and synergetic effects of point cloud, full-waveform and hyperspectral metrics have not been fully explored in the prediction of forest structural parameters. To the best of our knowledge, no previous study has integrated simultaneously acquired airborne FWF LiDAR and hyperspectral data to predict forest structural parameters in subtropical forests. The objectives of this paper are: (1) to calibrate the airborne FWF LiDAR data by the physical process-driven and voxel-based models; (2) to integrate and assess the synergetic effects of FWF LiDAR and hyperspectral data-derived metrics for predicting forest structural parameters in subtropical forests; and (3) to validate the predictive models fitted by DPC, FW and HS individually, and in combination using field measured data and to analyze the residuals of the prediction.
2. Materials and Methods
Figure 1 shows the workflow for forest structural parameters prediction. First, the FWF LiDAR data and hyperspectral data were preprocessed to extract discrete point cloud data, calibrate the pulse amplitude and waveform shape, and reduce the influences of atmospheric interference and terrain distortion. Second, different suites of FWF LiDAR and hyperspectral metrics, i.e., point cloud (derived from full-waveform) (DPC) metrics and full-waveform (geometric and radiometric features) (FW) metrics and hyperspectral (original reflectance bands, vegetation indices and statistical indices) (HS) metrics, were extracted and selected using correlation analysis and principal component analysis (PCA), and the relativities of selected metrics were assessed using Pearson’s correlation analysis. Finally, the selected DPC, FW and HS were used to fit regression models individually, and in combination to predict DBH, H
L, N, G, V and AGB, and the capability of the predictive models and synergetic effects of metrics were assessed.
2.1. Study Area
The nearly 1103 ha study area is located in the Yushan forest (120°42′9.4″ E, 31°40′4.1″ N), situated in the southern Jiangsu provinces, southeast China (
Figure 2). The annual mean temperature and precipitation are 15.6 °C and 1062.5 mm, respectively. The elevation of the Yushan forest ranges from 20 to 261 m above sea-level. The Yushan forest is north subtropical secondary forest and has three types of forests: coniferous tree species dominated, broadleaved tree species dominated and mixed tree species forests [
59]. Chinese fir (
Cunninghamia lanceolata (Lamb.) Hook.) and Masson pine (
Pinus massoniana Lamb.) are the main coniferous tree species. Sweet gum (
Liquidambar formosana Hance) and Sawtooth oak (
Quercus acutissima Carruth.) are the major broadleaved tree species in the study area.
2.2. Field Data
Field surveys were conducted under leaf-on condition in June and August 2012 and August 2013. Guided by the pre-stratified stand inventory data in 2012, a total of 67 square (30 × 30 m2) field plots were established. These plots covered multiple site indices, age classes and tree species, which can be classified into three types according to the composition of the tree species: (i) coniferous tree species forest (n = 15); (ii) broadleaved tree species forest (n = 18); and (iii) mixed tree species forest (n = 34).
The coordinates of the plot corners were acquired using Trimble GPS measurements with the result of sub-meter accuracy. All the live trees within each plot, which have a DBH > 5 cm were measured. The measurement of individual tree parameters can be seen in [
41]. The dead wood and small trees which has a DBH < 5 cm within the plot were also recorded, but excluded in the calculations of biomass and volume. The six plot-level forest structural parameters, including DBH, H
L, N, G, V and AGB, were calculated using the measured individual tree data. Species-specific allometric equations and general volume equations of local or nearby provinces were used to calculate AGB and V, respectively (
Table A1 and
Table A2). Within each plot, the AGB and V of each individual tree were calculated according to the DBH and H measured in the field, and then summed to the plot-level AGB and V.
Table 1 provides a summary of the six forest structural parameters at plot-level.
2.3. Remote Sensing Data
In August 2013, the airborne full-waveform LiDAR and hyperspectral data were simultaneously obtained using the LiCHy System [
60]. The platform was flown at the height of 900 m above ground and the datasets covered the whole Yushan Forest. Full-waveform LiDAR data were obtained using the Riegl LMS-Q680i scanner. The scanning angle was ±15° from nadir, and the pulse repetition frequency was 360 kHz. The temporal sample spacing for recording returned waveforms was 1 ns (15 cm in distance approximately), and the size of the footprint at nadir was 0.45 m in diameter. In the overlapping regions, the pulse density was three times higher than a single strip. Hyperspectral data were acquired using an AISA Eagle II sensor with 64 bands and the spectral resolution was 3.3 nm. The sensor obtained hyperspectral images in the pattern of push-broom imaging and the spectrum ranges covered from 400 nm to 970 nm. The spatial and radiative resolution of the hyperspectral data were 0.6 m and 12 bit, respectively. The geometric accuracy of each pixel was less than one meter with an inertial measurement unit (IMU), which utilized real-time differential corrections by a 12-channel GPS receiver.
Table 2 summarizes the characteristics of the full-waveform LiDAR and hyperspectral sensors.
2.4. Remote Sensing Data Pre-Processing
2.4.1. Full-Waveform LiDAR Data Pre-Processing
First, a de-noising algorithm and a Gaussian filter were applied to suppress and smooth the background noise of each returned waveform. The full width at half-maximum (FWHM) was used to calculate the kernel size of Gaussian filter [
61]. Then, the locations and amplitudes of each peak within the waveform were extracted using a local maxima peak detection filter [
62]. Finally, the returned waveform was decomposed using the Gaussian decomposed algorithm.
The LiDAR point clouds can be derived from the FWF LiDAR data using the Gaussian decomposed algorithm. Generally, the following equation can be used to decompose the backscattered waveform into Gaussian components:
where
f(
x) stands for the returned waveform,
b represents the background noise, and
n is the number of decomposed Gaussian components. The
ai,
ti and
σi are the parameters corresponding to pulse amplitude, time of round trip, and the pulse width, respectively [
31]. Then, the Levenberg-Marquardt algorithm and a nonlinear least squares method were applied to fit multiple Gaussian components into the backscattered waveform. The LiDAR point clouds extracted from FWF LiDAR data were stored as the format of LAS 1.3 and used for analysis.
In this study, the points in the ground and upper surface of the forest canopy were applied to create the digital terrain model (DTM) and digital surface model (DSM), respectively. The cell size of DTM and DSM was 0.6 m, the same as the resolution of the hyperspectral data. The value in each cell was calculated as the mean elevation of these points, and the cells which had no points were interpolated using neighboring cells by a linear interpolation approach. The value of the DTM was subtracted from each point elevation to calculate the normalized point cloud of whole study area.
The returned pulse width (
WiГ, the standard deviation of pulse) and amplitude (
IiГ, the integral of returned waveform, which represent the pulse energy) were derived from Gaussian components [
63]. In this study, the pulse width (
WiГ) and amplitude (
IiГ) were calibrated using a physical process-driven approach [
31]. The values of the pulse width (
We) and amplitude (
Ie) of the scanner emitted pulses were used to calibrate
WiГ and
IiГ, and the
IiГ was corrected for the loss of signal using the distance between the sensor and the object (
Di) and the normalization distance of
Do [
30]:
where
Wic and
Iic is the calibrated pulse width and amplitude, respectively. The value of
k which depended on the attenuation of signal occur in the atmosphere was set to 2 [
30], and the
Do was set to 900 m (the mean height of the platform).
It has been demonstrated in previous studies that the waveform is stretched by the increase in the off-nadir angle [
64,
65]. Moreover, due to the obtained airborne FWF LiDAR data are normally comprised of multiple overlapping strips, the waveforms in a specific location may come from several strips [
66,
67]. In this study, a voxel-based approach to composite waveforms was used to correct FWF data to avoid the influences of off-nadir angle in the waveform shape and to integrate non-vertical waveforms from multiple strips into composited vertical waveforms. This approach first decomposed the forest canopies into voxels by vertical space partition (0.6 × 0.6 × 0.3 m
3), and then synthesized raw waveforms from multiple strips into composite vertical waveforms using the maximum amplitude value in each voxel (
Figure 3). Each composite vertical waveform was normalized using the digital terrain model (DTM).
2.4.2. Hyperspectral Data Pre-Processing
The radiance hyperspectral images covering the whole Yushan forest were geometrically rectified with Global Navigation Satellite System (GNSS) and Inertial Navigation System (INS) data. Then, the geometric-rectified images were mosaicked into a single scene. Atmospheric correction was applied using an empirical line model, combined with field-measured reflectance spectra of different target objects obtained by ASD FieldSpec spectrometer, to get the surface reflectance of covers. In this study, the FWF LiDAR and hyperspectral data were integrated at feature level based on a common coordinate frame. The framework of integration usage of these two datasets can be seen in
Figure 3. In order to have the best possible geographical matches between the FWF LiDAR and hyperspectral data, the hyperspectral data were co-registered to the digital surface model (DSM) which calculated from FWF LiDAR data. In the area of each plot, more than 30 ground control points (GCPs) were used on the hyperspectral image (30 × 30 m
2). The root mean square error of co-registration was lower than 0.3 m (half of one pixel).
2.5. Full-Waveform LiDAR Metrics
2.5.1. Point Cloud Metrics
The metrics derived from the height normalized LiDAR point cloud were applied to describe the canopy structure of the plots. In this study, the calculated point cloud metrics (DPC) were: (i) the selected height measures (n = 11); (ii) the Weibull parameters fitted to the profile of apparent foliage density (n = 2); and (iii) the crown volume zones (n = 4). A summary of the point cloud metrics and their descriptions is given in
Table 3.
To exclude the influences of below-canopy and non-canopy returns, the point cloud metrics such as percentile heights and canopy return densities were calculated using the points that were two meters above ground [
68]. The parameters α and β of the Weibull curve were extracted from the profile of apparent foliage density as follows [
22]:
where
α and
β are the parameters of Weibull,
z is the height and
H is the maximum canopy height in a plot.
The zones of crown volume model (i.e., O
g, C
g, E and O) were used to characterize the forest crown volume and spatial arrangement of the canopy materials in three-dimensions [
69]. First, the forest canopy was decomposed into a matrix of voxels, the size of each voxel was 0.6 × 0.6 × 0.3 m
3. Second, the voxels within the matrix were classified into “filled” if there was energy returned from the voxel and classified into “empty” if there was no energy returned from the voxel. Third, the “filled” voxels were classified as “euphotic” and “oligophotic” depending on whether the voxel was above or below the threshold height of the uppermost 65% for all “filled” voxels. Finally, the “empty” voxels were classified into “open” and “closed” gap zones depending on whether they were located above or below the filled voxels.
2.5.2. Full-Waveform Metrics
Full-waveform metrics (FW) provide three-dimensional forest structure information by extracting radiometric and geometric properties of recorded backscattered waveforms. In this study, 18 full-waveform metrics including the mean (μ) and standard deviation (σ) within each plot were extracted from composite waveforms (
Figure 3). First, the full-waveform metrics (
Table 3) of each composite waveform were calculated; second, the mean and standard deviation of all the full-waveform metrics in each plot were calculated as the full-waveform metrics at plot-level.
Table 3 gives the summary of these full-waveform metrics and descriptions.
2.6. Hyperspectral Metrics
The hyperspectral metrics (HS) are good indices in the prediction of forest structural properties, due to their ability to describe crown structures, which are related to vegetation pigments, physiology and stress, directly or indirectly. In this study, 112 hyperspectral metrics were derived from the preprocessed hyperspectral image, including: (i) reflectance values from AISA Eagle II channels; (ii) vegetation indices; (iii) first 10 components of the principal component transformation (PCT), independent components transformation (ICT) and minimum noise fraction transformation (MNF).
The spectral reflectance was strongly correlated with the structural properties (e.g., leaf area index, the amount of biomass and spatial arrangement of structures) of forests [
70]. In this study, all channels in the domains of VIS, RE, and NIR were used. The mean values of 50 × 50 pixels within the plots were calculated from the reflectance of the entire 64 channels. The same procedure for calculation was followed to extract the other hyperspectral metrics (vegetation indices and first 10 components of PCT, ICT and MNF).
Hyperspectral vegetation indices, which rely on specific absorption features, are the most commonly used narrow band metrics. The vegetation indices calculated from the hyperspectral image have great advantages in predicting forest structural parameters [
23,
49]. In this study, 18 vegetation indices were extracted and summarized in
Table 4.
The principal component analysis (PCA), minimum noise fraction analysis (MNF) and independent components analysis (ICA) are three algorithms which are commonly used to de-noise and extract primary information from hyperspectral images. We used these three approaches to calculate 192 components (64 components for each approach), out of which we used the first 10 of each approach for analysis, to explore whether there was a component that summarized the forest structural parameters-related channels to one value, and therefore, to ensure the models’ conciseness [
48,
86].
2.7. Metrics Optimization and Regression Analysis
Previous studies have demonstrated that optimization of the candidate metrics can reduce irrelevant and redundant information and help create highly efficient, transferable and robust productive models. In this study, all of the FWF LiDAR and hyperspectral metrics were first optimized using correlation analysis. The 15 metrics, which had relatively high correlation with the forest structural parameters, were correspondingly selected from point cloud metrics (DPC), full-waveform metrics (FW) and hyperspectral metrics (HS). Then, the 45 metrics (15 point cloud, 15 full-waveform and 15 hyperspectral metrics) were analyzed using the biplot of PCA, which can be used to select the important metrics in the clusters [
87]. The 12 point cloud, 8 full-waveform and 10 hyperspectral metrics which highly correlated with the first and second principal component (
r > 0.7) and were selected from the three groups divided by the PCA. Finally, the five metrics that had the highest correlations with the first and second principal component in each group were selected as the best metrics to fit the combo models.
The backward stepwise regression approach was applied to relate FWF LiDAR and hyperspectral metrics to field-measured forest structural parameters. In the models, three predictor variables at the 5% significance level were selected. To ensure the metrics in the models had no serious collinearity, the models which had the condition number (k) < 30 were selected. Finally, according to the value of the Akaike information criterion (AIC), the best fitting models with the lowest AIC were selected.
In the study, three types of predictive models of DBH, HL, N, G, V and AGB were developed using DPC, FW, HS and an integration of two or three of these for the combo models. First, the DPC models (DPC based models) were fitted using 12 DPC alone to predict the six forest structural parameters; second, the FW models (DPC and FW based models) were fitted using the integration of 12 DPC and 8 FW to predict the six forest structural parameters; third, the combo models were fitted using the integration of the best metrics (each of the five metrics selected from PCA groups) to predict the six forest structural parameters. All of the models were assessed by adjusted coefficient of determination (Adj-R2), Root-Mean-Square-Error (RMSE), and relative RMSE (rRMSE). The leave-one-out (LOO) cross validation was applied to assess the accuracy of prediction models and assess the synergetic effects of FWF LiDAR and hyperspectral metrics.