RETRIEVAL OF FOREST STRUCTURE AND BIOMASS FROM

ALOS PALSAR AND LANDSAT DERIVED FPC USING

BACKSCATTER INVERSION

Clewley, D1., Lucas, R.M.1, Moghaddam, M.2,

Armston, J.D.3, Bunting, P.J1, Dwyer, J4.
1
Institute of Geography and Earth Sciences, Aberystwyth University,
Aberystwyth, Ceredigion, SY23 3DB, UK.
ddc06@aber.ac.uk
2
Electrical Engineering and Computer Science, University of Michigan, Ann Arbor,
MI 48109-2122
3
Joint Remote Sensing Research Program, School of Geography, Planning and
Environmental Management, The University of Queensland, Remote Sensing
Centre, Queensland Department of Environment and Resource Management,
80 Meiers Road, Indooroopilly, Queensland, Australia.
4
School of Biological Sciences, The University of Queensland, Brisbane,
Queensland, Australia.

Abstract
An estimation algorithm that facilitates retrieval of structural parameters from a
combination of Japan’s Advanced Land Observing Satellite (ALOS) Phased
Array L-band SAR (PALSAR) data and Landsat derived Foliage Projective
Cover (FPC) is described. The estimation algorithm used a two-layered
approach whereby the FPC was utilised to adjust total ALOS PALSAR
backscatter for canopy scattering and attenuation. Stem parameters (height and
density) were retrieved subsequently from the adjusted backscatter. Above
ground biomass (AGB) can then be estimated using allometric equations. Using
simulated data, the approach is demonstrated for regrowing A. harpophylla
(Brigalow) stands in Queensland, Australia. Although still in the early stages of
development, the algorithm has potential for wider application as both Landsat
FPC and ALOS PALSAR data are available Statewide and on at least an
annual basis.
1. Introduction

The desire to retrieve forest structural attributes and above ground biomass
(AGB) from remote sensing data has been the motivation behind a large
number of studies. Attention has particularly focused on airborne and/or
spaceborne Synthetic Aperture Radar (SAR) data as information on the three-
dimensional structure of vegetation can be retrieved regardless of illumination
or weather conditions. In most cases, relationships have been established
between field measured AGB and radar backscatter, typically at lower
frequencies and at one or more polarisations. Although such relationships have
shown potential for retrieval, they are limited by three main factors:
1) Saturation of the backscatter occurs above certain levels of AGB, with this
increasing with decreasing frequency (Imhoff, 1995).

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 2) Forests of different type and growth stage composition may differ in
structure but support similar levels of AGB. This variation in forest structure can
produce differing values of backscatter at similar levels of AGB (Brolly and
Woodhouse, 2010; Smith-Jonforsen et. al., 2007)
3) Moisture conditions associated with the vegetation and soil influence SAR
backscatter. This effect is less noticeable when using data from a single date.
However, when using radar data from multiple dates, variations in backscatter as
a function of changes in soil and vegetation moisture content are observed
(Lucas et. al. 2010).
An alternative to empirical relationships was proposed by Moghdaddam and
Saatchi (1999). This approach used an estimation algorithm to retrieve
parameters from multi-frequency polarimetric data. The estimation algorithm,
rather than being a true inversion that attempts to retrieve all parameters
contributing to total backscatter, assumes backscatter can be expressed as
closed form equations associated with a limited number of unknowns. The
estimation algorithm was applied to forest stands in Australia by Moghaddam
and Lucas (2003) to retrieve parameters, from which estimates of AGB were
generated.
The estimation algorithm was developed using airborne SAR but may be
parameterised and applied using spaceborne SAR, particularly since the launch
of the Japanese Space Exploration Agency’s (JAXA) Advanced Land Observing
Satellite (ALOS) Phased Array L-band SAR (PALSAR). This sensor acquires
fine beam single (FBS; HH polarisation), dual (FBD; HH/HV) and fully
polarimetric (POL; HH/HV/VV/VH) data at relatively fine (< 20 m) spatial
resolution. Through the JAXA Kyoto and Carbon (K&C) Initiative, statewide
mosaics of FBD data have been made available (at 50 m spatial resolution) for
Queensland on an annual basis. A particular benefit of these L-band data is that
information on the woody components (stems, branches) and ground surface
can be obtained. However, the estimation algorithm requires additional
information on canopy structure. For this purpose, Moghaddam and Lucas
(2003) used C-band data acquired by the NASA Jet Propulsion Laboratory
(AIRSAR). C-band data are also is available from satellite sensors such as
ENVISAT and RADARSAT but systematic observations at a regional level (e.g.,
over Queensland) are not provided. The use of Landsat-derived Foliage
Projected Cover (FPC) data was therefore considered as an alternative for
several reasons:
a) FPC is a direct measure of the distribution of foliage within the volume of
the canopy.
b) Based on AIRSAR data, a close correspondence between FPC and C-
band backscatter has been observed (Lucas et. al., 2006)
c) Statewide mosaics of FPC are generated annually by the Queensland
Department of Environment and Resource Management (QDERM).
Given the availability of ALOS PALSAR and Landsat FPC for Queensland, the
potential of integrating these data within the estimation algorithm proposed by
Moghaddam and Lucas (2003) was investigated. This paper aims to, through
the use of modelled data, to a) establish links between FPC and L-band

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backscatter and b) describe how these links may be used, as part of an
estimation algorithm, to retrieve tree height and stem density. The modelling
focused on regrowing forest stands dominated by brigalow (Acacia
harpophylla), as these are relatively homogeneous structurally and are
extensive (> 1 million ha) throughout the Brigalow Belt Bioregion (BBB) of
southeast Queensland.
The paper is structured as follows: Section 2 provides a brief overview of the
BBB. Section 3 then describes the data collection. The modelling and inversion
of FPC and L-band SAR data are outlined in Sections 4 and 5. Conclusions are
presented in Section 6.

2. The Study Site

Within the BBB, brigalow was once widespread but, following extensive
clearing, less than 10 % of forests containing brigalow as a major component
remain. The primary method for clearing brigalow has involved pulling a chain
between two bulldozers to rip trees from the ground. This method of clearing
generally leaves the root system intact and, where land is not used actively
following clearance operations, regrowth occurs from the root system. This
method of regrowth forms a very homogeneous forest structure that is
characterised (particularly in the early stages of growth) by the high density of
stems of similar size class distribution, with these often exceeding 10,000 ha-1.
However, as the succession proceeds, the density of stems decreases to less
than 2000-3000 stems ha-1 and the diversity of size classes increases.

3. Data Collection
3.1 Field Data
To establish relationships with which to parameterise the model, data collected
from the Injune Collaborative Landscape project during field campaigns in 2000
(Tickle et. al., 2006) and 2009 (Lucas et. al., 2010b) were used. During the
2009 field campaign, Terrestrial Laser Scanning (TLS) data were acquired to
aid model parameterisation. In addition, field data were collected from 150 sites
across the BBB as part of two separate studies covering brigalow dominated
forest at a range of regrowth stages (Bowen, 2009; Dwyer 2010). These latter
datasets were also used to provide validation.
3.2 Remote Sending Data
ALOS PALSAR FBD data were provided as part of the JAXA K&C Initiative.
Data were acquired in level 1.0 format and processed using GAMMA SAR
processing software (Wegmüller et al., 1998; Wegmüller 1999). Data was
geocoded first using backscatter data simulated from a Shuttle Radar
Topographic Mission (SRTM)-derved Digital Elevation Model (DEM) with a
subsequent refinement undertaken using Landsat Panchromatic data to provide
sub-pixel registration accuracy. Landsat FPC data mosaics were also made
available through the QDERM Statewide Landcover and Trees Study (SLATS).
The procedure used to generate the mosaics is outlined by Danaher et al.
(2010) and Armston et al. (2010).

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4. Modelling

4.1.Backscatter Modelling
To produce simulated SAR data at L-band, the backscatter model of Durden et.
al., (1989) was used. For decurrent species (such as brigalow), the model splits
the forest into two levels, with the leaves and branches being confined to the
upper layer and stems to the lower layer. The lower (stem) layer consists of
vertically-oriented dielectric cylinders extending from the ground to the start of
the upper layer. The upper (canopy) layer is comprised of branches
(represented as dielectric cylinders) and leaves (represented as dielectric
discs). Branches and leaves are distributed randomly across the canopy layer.
The ground is assumed to be a rough surface.
A number of parameters relating to the size, density, orientation and dielectric of
leaves, branches and stems were used to parameterise the model, with these
derived from a range of field-based measures (Lucas et al., 2004), including
those obtained from TLS data and allometric relationships (Scanlan, 1991). The
model was parameterised and executed for heights varying between 0.5 – 5 m
(at 0.5 m intervals) and 1,000 – 20,000 stems ha-1 (at 1,000 stem increments).
The remaining model parameters varied with height and density (e.g., branch
and leaf density) or were kept constant. The incidence angle was set to that of
the PALSAR FPD data at mid swath (39˚).
The model demonstrated that for regrowth forests dominated by brigalow,
scattering at L-band was attributed largely to volume scattering from the
branches and double bounce scattering between the stem and the ground, with
the stem-ground contribution increasing with stem size and density.
4.2. FPC Modelling
To simulate FPC, data a simplified model of forest structures along a transect
was developed using the same parameters that were input to the backscatter
model of Durden et. al., (1989). FPC was then calculated from these transects,
using the method for acquiring measures of FPC within the field (Danaher et al.,
2010). The transect was constructed using a voxel-based grid. To assign voxels
to either leaves or branches, the transect was first divided into a given number
of quadrats. For each quadrat, the number of trees was calculated by sampling
from a distribution. Trees were then added one at a time by specifying the tree
centre and the quadrat limits, with trees allowed to extend beyond these limits
such that overlapping canopies were considered. Leaves and branches were
added by selecting a start point (based on sampling from an input distribution)
then growing (based on input size and orientation). Once voxels had been
assigned, point intercepts were taken along the centre of the transect and FPC
was calculated using:
PLeaf
FPC =
1− PBranch ,

where PLeaf and PBranch denote the total number of leaf and branch voxel
intersects respectively.

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As with SAR backscatter, FPC was simulated for canopy heights varying from
0.5 – 5 m and stem densities from 1000 – 20,000 stems ha-1. Transects were
set to 50 x 4 m in size with a voxel resolution of 1 cm. An example of a
simulated transect is given in Figure 1.

Figure 1 – Views of a 50 x 4 m transect a) overhead and b) from the side generated

using the FPC model.
FPC estimated from the model was compared to Landsat-derived FPC
extracted for plots established throughout the BBB. The modelled values of FPB
show a correspondence with measured values (Figure 2). However, scatter was
observed (R2 = 0.33), particularly at the lower and higher end of the range.

Figure 2 – Comparison between modelled and Landsat Derived FPC for plots in the
BBB
The scatter in the relationship between leaf volume and FPC was attributed to
trees having similar leaf volumes but different branch densities and hence
different values of FPC (Figure 3 a and b). The modelled FPC showed a better

5
correspondence with the volume and biomass of the leaves and branches
(Figure 3c and d).

Figure 3 - Relationships between modelled FPC and a) branch volume, b) leaf volume,
c) branch biomass, d) leaf biomass
4.3. Relationships between FPC and Backscatter
Close relationships between FPC and both simulated canopy scattering (at HH
and HV polarisations) and attenuation (H and V polarisations) were observed
(Figures 3 and 4). For canopy scattering, natural log fits were used, with these
being of the form:
σ canopy = aln(FPC) + b
Equation (1)
For canopy attenuation, exponential fits were used such that:
α = aexp(b.FPC)
Equation (2)
For all fits, R2 values of over 0.9 were obtained. The coefficients for all fits are
provided in Table 1.
Table 1 – Coefficients used in fits against FPC and canopy scattering / attenuation
a b R2
Canopy scattering (HH) 8.162 -50.952 0.930
Canopy scattering (HV) 8.162 -61.216 0.930
Canopy attenuation (H) 0.0146 0.0958 0.950
Canopy attenuation (V) 0.0154 0.0958 0.950

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 Figure 4 - The correspondence between canopy scattering (scattering from leaves and
branches) and FPC at a) HH and b) HV polarisation and between canopy attenuation
and FPC at c) H and d) V polarisation

5. Inversion

The estimation algorithm used a two-layered approach; first, canopy parameters

were retrieved based on the FPC. The contribution from the canopy to the
overall backscatter was then removed from the L-band SAR data, allowing the
contributions from stem-ground scattering to be quantified and both canopy
height and stem density to be retrieved.
Based on the model, backscatter (σ) can be written in terms of all scattering and
canopy attenuation (α) components such that:
σ total = σ canopy + ασ branch-ground + ασ trunk-ground + ασ ground Equation (3)

This can be rearranged to give:

σ total − σ branch
σ trunk-ground =
α Equation (4)
Attenuation (α) and branch scattering (σbranch) are calculated from FPC, using
relationships shown in Figure 4. The contribution of the branch-ground
scattering term (σbranch-ground) was found to be small at all polarisations, and can
therefore be ignored. The ground scattering term was taken into the trunk-
ground term

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5.1 Scattering Equations
Based on modelled data, scattering equations were fitted giving trunk-ground
scattering as a function of height (h) and stem density (ρ). Polynomial equations
were used, with these being of the form:
σ (h, ρ ) = a0 ( ρ ) + a1 ( ρ )h + a2 ( ρ )h 2 + … + an ( ρ )h n
ai ( ρ ) = b0,i + b1,i ρ + b2,i ρ 2 + … + bn,i ρ n
Equation (5)
The equations were formulated by first performing a series of fits to provide
backscatter as a function of height for each density. A second set of fits was
then undertaken to obtain each of the coefficients as a function of density. For
both sets of fits, 7th order polynomials were used. The equations corresponded
well with the simulated data (Figure 5), with R2 values exceeding 0.9 for both
HH and HV polarisations.
a) b)

Figure 5 – Surface generated from scattering equations for a) HH and b) HV data.

Modelled data are shown as points.

5.2 The Estimation Algorithm

From the FPC-adjusted backscatter, height and density were estimated by
minimising the least squares measure, defined as:

{ 2
L(X) = 1 2 f(X) ! d m + X ! X ap
2
} Equation (6)
The first term, (f(X) – dm), relates to the difference between measured
backscatter and backscatter from the scattering equations for current estimated
values of height and stem density (represented as a vector; X). The second
term (X - Xap) represents the difference between the predicted values of height
and stem density and a priori values. Covariance matrices are used to define
how much the estimated values are expected to vary from the a priori values.
Where no reliable values for a priori estimates are available, the role of the
second term may be minimised by using large values in the covariance matrix.
There are a number of algorithms available to minimise the least squares
measure. However, for this study, an exhaustive search, within the limits of the
algorithm, was used as it guarantees to find the global minima, if one exists.

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When applying to an image, the least squares measure is minimised for each
pixel to produce estimates of height and density. From the estimated height,
tree biomass can be calculated using the allometric equations of Scanlan
(1991). Estimates of biomass per unit area (e.g., Mg ha-1) are obtained by
multiplying by the stem density.
5.3 Results
To evaluate performance, the estimation algorithm was applied to simulated
data generated from both the FPC and backscatter model for a range of tree
sizes typical to brigalow-dominated stands. The algorithm was first applied to
the trunk-ground scattering produced by the model to test only the stem
retrieval component of the algorithm. The algorithm was then applied to the
total modelled backscatter to test the full algorithm. When applied to modelled
trunk-ground data, the RMS errors for estimated height and density were 0.29
m and 0.20 stems m-2 respectively. The distribution of errors is shown in Figure
6. When applied to total backscatter, the RMS errors for estimated height and
density were 2.65 m and 0.67 stems m-2 respectively.

6. Discussion and Conclusions

Through the use of modelled data, the study has demonstrated the principles of
using Landsat-derived FPC and ALOS PALSAR data within an estimation
algorithm to retrieve the canopy height and density of stems associated with
regrowing forests dominated by brigalow. In particular, the study has shown,
through development of an FPC model, that FPC relates to branch and to a
lesser extent leaf volume within the canopy. Coupling with an existing
backscatter model, and using the same parameters, it has been demonstrated
that at both L-band HH and HV, an increase in FPC relates to an increase in
canopy scattering and attenuation. Although such relationships have been
demonstrated previously using AIRSAR data (Lucas et al 2006), the
comparisons have been with total backscatter and not that contributed by the
individual scattering mechanisms. By removing the contributions associated
with these scattering mechanisms at L-band, potential exists for retrieving stem
parameters. The methods for integrating this information within an estimation
algorithm have been conveyed.
For this study an exhaustive search was used to minimise the least squares
measure as it is guaranteed to find the global minima if one exists. Whilst such
an approach is suitable for application to small datasets, such as the simulated
data in this study, a faster approach would be required for application to a full
ALOS scene. The use of reliable a priori information would allow a higher
weighting to be placed on the second term in the least squares measure
producing a surface with a more defined global minima. This would allow the
use of faster gradient descent-type algorithms. Such data may be available from
combining a classification of brigalow regrowth stage, such as that produced by
Accad et. al., (2010), with average measurements for each stage generated
from field data.

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a) b)

c) d)

Figure 6 – Error in estimates of a) height and b) density from modelled trunk-ground

scattering and c) height and d) density from modelled total backscatter.

Previous studies have demonstrated that the backscatter model of Durden et.
al., (1989) can provide data which matches well with measured data when
appropriately parameterised (Lucas et. al., 2004). For brigalow, further use of
field and corresponding ALOS PALSAR data is needed to validate backscatter
estimates provided by the model. The discrepancies between Landsat-derived
and modelled FPC are attributed in part to model parameterisation and, in
particular, the spatial distribution of branches and leaves (parameters which are
not exploited in the backscatter model). The use of high resolution TLS data is
anticipated to lead to refinement of the parameterisation. As both models use
the same input parameters, the links demonstrated in this study will be
maintained as the correspondence between modelled and measured
backscatter/FPC is improved.
Although currently at an early stage of development, the approach has potential
application across large areas. In this study the algorithm was parameterised for

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Brigalow stands. However, given appropriate parameterisation, the approach
would be applicable to retrieving the structure of forest stands dominated by
other tree species of varying form.

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