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Environ Monit Assess (2009) 151:117–125

DOI 10.1007/s10661-008-0254-1

Using LiDAR technology in forestry activities


Abdullah Emin Akay & Hakan Oğuz &
Ismail Rakip Karas & Kazuhiro Aruga

Received: 21 November 2007 / Accepted: 29 February 2008 / Published online: 26 March 2008
# Springer Science + Business Media B.V. 2008

Abstract Managing natural resources in wide-scale Elevation Model (DEM) for the forested areas. This
areas can be highly time and resource consuming task study presents the progress and opportunities of using
which requires significant amount of data collection LiDAR remote sensing technology in various forestry
in the field and reduction of the data in the office to applications. The results indicate that LiDAR based
provide the necessary information. High performance forest structure data and high-resolution DEMs can be
LiDAR remote sensing technology has recently used in wide-scale forestry activities such as stand
become an effective tool for use in applications of characterizations, forest inventory and management,
natural resources. In the field of forestry, the LiDAR fire behaviour modeling, and forest operations.
measurements of the forested areas can provide high-
quality data on three-dimensional characterizations of Keywords DEM . Forestry activities . LiDAR .
forest structures. Besides, LiDAR data can be used to Remote sensing
provide very high quality and accurate Digital

Introduction
A. E. Akay (*) : H. Oğuz
Department of Forest Engineering, Faculty of Forestry, There are two commercially available remote sensing
Kahramanmaras Sutcu Imam University, systems which are used in the applications of natural
46060 Kahramanmaras, Turkey resources; Light Detection And Ranging (LiDAR)
e-mail: akay@ksu.edu.tr
system and InterFerometric Synthetic Aperture Radar
H. Oğuz (IFSAR). The LiDAR system has been widely used
e-mail: hakan@ksu.edu.tr
by various principles while IFSAR is mostly used in
I. R. Karas landscape level studies (Reutebuch et al. 2005). The
Department of Geodetic and Photogrammetric Engineering, LiDAR system is a laser system that calculates the 3D
Gebze Institute of Technology, coordinates of object from reflection on the earth’s
41400 Gebze,
surface. Using airborne laser scanning dates back to
Kocaeli, Turkey
e-mail: ragib@penta.gyte.edu.tr 1970s. The first applications were limited to simple
application of determining the flight height of an
K. Aruga airplane using only a single light pulse. In 1980s, high
Department of Forest Science, Utsunomiya University,
performance LiDAR systems were generated with
Utsunomiya,
Tochigi 321-8505, Japan the advent of Global Positioning Systems. LiDAR in-
e-mail: aruga@cc.utsunomiya-u.ac.jp strument transmits light pulses out to a target and
118 Environ Monit Assess (2009) 151:117–125

calculates distance based on light which are reflected/ dense tropical forest in Costa Rica. This study
scattered from the target back to the instrument. The suggested that sub-canopy topography measurements
time for light pulses to return back to the LiDAR derived by the LiDAR system met stated accuracy
instrument is used to calculate the distance to the goals under the majority of measurements conditions.
target. High-resolution DEMs can assist forest engineers to
Using LiDAR remote sensing technology, various examine alternative harvesting systems and to design
forestry activities can be performed rapidly and forest roads (Sessions and Chung 2003; Akay and
efficiently. In generating LiDAR data set for forested Sessions 2005). Besides, locations of the trees can be
areas, light pulses can be reflected from different determined and mapped on the DEMs for precise
levels of vegetation canopy including top of vegeta- planning of landing, skid roads, and cable corridors.
tion surface (first return), intermediate surfaces In this study, the capabilities and advantages of
(second and following returns), and the ground using LiDAR remote sensing technology in various
surface (last return; Reutebuch et al. 2003; Fig. 1). forestry applications will be investigated based on
Based on the first and second returns, it is possible to previously conducted studies. The applications dis-
estimate various structures of individual tree; crown cussed in this study include measuring forest stand
width, diameter, volume, and height (Maltamo et al. characteristics, estimating forest inventory parame-
2004). ters, managing forest fires, and planning harvesting
Using the last return, LiDAR can provide very systems and forest roads.
high quality Digital Elevation Model (DEM) with
approximately 1 m spatial resolution and about 10 to
20 cm height accuracy. Figure 2 indicates a USGS Forestry applications
DEM versus LiDAR based DEM generated for the
same forest area (Andersen 1999). In a study Stand characterization
conducted by Hofton et al. (2002), accuracy of
large-footprint LiDAR system in mapping sub-canopy Means et al. (1999) used a scanning LiDAR to
topography was tested for a structurally complex and measure structure of conifer forests in the Pacific
Fig. 1 LiDAR light pulses First Returns Interpolated Second and Following
reflected from different lev- Surface Returns
els of vegetation canopy:
(1) the first returns from top
of vegetation surface,
(2) the second and
following returns from
intermediate surface, and
(3) the last returns from the
ground surface

Last Returns
Environ Monit Assess (2009) 151:117–125 119
Fig. 2 USGS DEM (a) ver-
sus LiDAR based DEM
(b) generated for the same
forest area (Andersen 1999)

a b

Northwest. Scanning LiDAR Imager of Canopies by SLICER data. Mean SLICER-derived height was a
Echo Recovery (SLICER), which is scanning airborne good predictor of mean canopy height through the
LiDAR that transmits short (ca. 12 m, 4 ns) pulses of full-range of heights observed (Fig. 3). It was found
near infrared (1,064 nm) laser light towards the that there was a strong relationship between basal area
ground using a laser transmitter specifically designed and SLICER-derived height. It was also found that
for surface LiDAR applications was employed during the square of SLICER-derived canopy height is
this work. Accompanying SLICER data, ground closely related to the total stand biomass. Ground-
measurements of forest stand structure were collected based canopy cover of trees was closely related to
from 26 plots. At each selected location a 50×50 m SLICER-derived canopy closure. The results from
square plot was established. Each plot was oriented so this study indicated that data from SLICER can be
as to correspond to 25 SLICER footprints and was used to accurately predict important stand structural
centered on the center footprint. The LiDAR-derived characteristics in the tall coniferous forests of the
metrics were averaged over all footprints in a plot for Pacific Northwest.
comparison to field data. It was possible to predict a Vertical forest structure is difficult to quantify and
wide variety of stand structural characteristics from yet is an important component in the decision making

Fig. 3 Estimated mean


60
heights of tree canopy
Field Data Based Canopy Height (m)

derived from field data


versus LiDAR data (Means 50
et al. 1999)

40

30

20

10

0
0 10 20 30 40 50 60
LiDAR Based Canopy Height (m)
120 Environ Monit Assess (2009) 151:117–125

process. Zimble et al. (2003) conducted a study to woodland. The results from this study indicated that
investigate the use of LiDAR data for classifying LiDAR technology is somewhat limited to estimate
forest structure at landscape scales for inclusion into AGCC; however, it improved capabilities for mea-
decision support systems since those are difficult to suring carbon content in forest ecosystem.
asses over large and remote areas, but they represent Takahashi et al. (2005a) investigated the perfor-
important information for forest management. Vertical mance of using LiDAR to estimate the individual tree
forest structure was defined as the distribution of tree heights of sugi (Cryptomeria japonica D. Don) in
heights within a forest stand. On the other hand, mountainous forests with steep and varying topogra-
horizontal structure was defined for reference as the phy. The study was conducted in two sample plots
distribution of percent canopy closure. The study area mainly consisted of sugi. In Plot 1, the terrain surface
was located in central Idaho and composed of two varied from gentle to steep slope, while Plot 2
research blocks where these forests have canopy consisted of a gentle slope with a rough surface. In
closures typically less that 60%. Field data were both Plots, the understory vegetation was less than
collected in Idaho during the summer of 2000. These 2 m height and the forest floor was mainly covered
data were used to test for differences between field- with litter. Topographic of the Plot 1 was divided into
and LiDAR-derived tree height variances. A small- two groups, including steep slope and gentle slope,
footprint, multi-return LiDAR mission flown on while Plot 2 was called gentle yet rough terrain. The
October 12, 1998 provided complete coverage of LiDAR data of the area was collected in summer
both research blocks with 16 flight lines per block, at 2001, while ground truth data was collected during
a nominal post spacing of approximately 2 m. The fall and winter of 2003.To take account of 2-year
results indicated that field-derived tree height vari- increment in tree height and stem diameter, the mean
ances could be used to distinguish between single- value of the increment for selected sample trees were
story and multi-story classes of vertical structure within subtracted from the ground truth data. To represent
forests of the study area. Results also suggested the canopy height raster layer, the Canopy Height
strongly that LiDAR-derived tree height variances Model (CHM) was generated by deducting the last
could be used to differentiate these two structure raster layer (i.e. DTM) from the first raster layer (i.e.
classes at the landscape scale. The results of this study Digital Surface Model—DSM). The results indicated
also suggested that LiDAR data could be used to map that LiDAR based system underestimated the tree
vertical structure accurately at landscape scales. heights in both the gentle slope and the gentle yet rough
Patenaude et al. (2004) conducted a study where terrain due to lower percentage of first pulse data in
forest above ground carbon content (AGCC) in DSM. However, LiDAR based system overestimated
temperate deciduous woodland was estimated based the tree heights in steep slope because tree tops were
on LiDAR canopy height measurements. In the study, tilted to the walleye side particularly on a steep slope.
the canopy elevation and ground elevation was Hyde et al. (2005) conducted a study where the
computed by using the first and the last significant ability of a large footprint LiDAR to generate maps of
returns, respectively. Triangulated Irregular Network forest structures to assist in wildlife habitat and other
(TIN) was used to produce initial surface and a linear forest management activities. The forest structures
interpolation method was used to produce 1×1 m included canopy height, canopy cover, and above-
spatial resolution raster for each surface. These ground biomass. In the study, first, the field-derived
elevation layers were used to generate two models forest structures were determined based on field plot
including Digital Canopy Height Model (DCHM) and data collected during the summer of 2000 and 2001.
Digital Terrain Model (DTM). In the process, DTM Then, LiDAR-derived forest structures were deter-
was first generated based on the last return surface mined based on the LiDAR data collected during
layer, and then DCHM was generated by subtracting the fall of 1999 while deciduous trees were in leaf-
DTM from the canopy elevation layer. In the model, on condition. An automated algorithm was used to
canopy height parameters from forestry yield tables extract canopy height and canopy cover while
were used to form AGCC model. The height metrics specified metrics derived from LiDAR were used to
were derived from LiDAR DCHM model and total measure biomass. The statistical comparisons between
AGCC in tones per hectare was computed for the field-derived and LiDAR-derived forest structures
Environ Monit Assess (2009) 151:117–125 121

indicated a good agreement (Table 1). This study Table 2 Number of correctly classified trees per species group
and proportional correct based on LDA method where N=200
suggested that LiDAR remote sensing is an effective
(Brandtberg et al. 2002)
tool for generating spatially continuous maps of forest
structures which are prerequisite for habitat suitability Variables N Oaks N Maple N Poplar Prop correct
studies.
ZMax 55 96 150 0.50
RKurt 26 145 85 0.43
Forest inventory ZStdDev 29 124 99 0.42
ZKurt 136 95 20 0.42
Brandtberg et al. (2002) conducted a study which was RSkew 25 129 94 0.41
one of the first researches evaluated individual leaf- RMax 102 121 21 0.41
off deciduous trees by using the small-foot print, high
density light detection, and ranging data (LiDAR). In
this study, the main objectives were to develop a individual tree delineation and characterization using
simple method that detects individual tree crowns and LiDAR system in the estimation of these parameters.
to investigate the probability of using LiDAR-based Then, the accuracy was tested based on highly
indices in classifying tree species. 2D grid with 25 cm accurate field data collected from sample plots with
pixels was specified for selected subset areas over the dense understory. In this study, theoretical Weibull
6 ha study area. Identify the individual trees, first, distribution functions (Zutter et al. 1986) and LiDAR
interpolations of laser points and Gaussian smoothing data was combined to delineate small and suppressed
at multiple scales were performed, and then results trees. The results indicated that accuracy of estimating
were compared to the ground measured tree-based timber volume using laser scanning was on a
features. For the analysis of LiDAR data within satisfactory level; however, the number of stems was
individual tree crowns, first, tree-based indices were overestimated due to high amount of tree stock and
determined separately, and then Linear Discriminant very dense understory (Table 3). It was also indicated
Analysis (LDA) was used to classify tree species. The that applying distribution functions integrated with
study indicated that using high density LiDAR data in LiDAR data slightly improved the prediction of small
detecting and identifying individual leaf-off trees trees.
provide good results with a moderate to high degree Takahashi et al. (2005b) conducted a study to
of accuracy (Table 2). investigate which predictor variables with respect to
Maltamo et al. (2004) conducted a study where crown properties could be useful in regression models
LiDAR remote sensing technology was used to in order to predict individual stem volumes. In the
estimate specified forest inventory parameters includ-
ing timber volume and stem density. They examined
Table 3 Estimating forest inventory parameters including
timber volume and number of stems by field data versus
LiDAR data (Maltamo et al. 2004)
Table 1 The accuracy of LiDAR-derived canopy height
measurements (Hyde et al. 2005) Sample Timber volume (m3ha−1) Number of stems
plots
Vegetation class RMSD Coefficient of N P values Field data LiDAR data Field data LiDAR data
determination
1 345.3 266.3 425 267
Red Fir 8.8 0.72 36 0.00 2 448.3 375.1 700 378
White Fir 8.9 0.60 19 0.00 3 532.7 440.4 856 322
Ponderosa and 11.1 0.43 11 4 416.7 322.3 1656 289
Jeffrey pine 5 297.0 196.5 656 233
Sierra mixed-conifer 10.0 0.35 22 0.00 6 316.8 211.6 672 240
Montane hardwood 4.0 0.88 8 0.00 7 287.4 197.8 622 244
and Montane 8 126.6 77.3 478 233
hardwood-conifer 9 375.6 286.1 678 333
Wet meadow 9.5 0.54 10 0.02 10 217.1 172.3 833 300
Barren 3.6 0.85 6 0.00 Average 336.3 254.5 756 284
122 Environ Monit Assess (2009) 151:117–125

study, the data were acquired from recent commercial on first and last returns. For individual tree analysis, a
small-footprint airborne light detection and ranging. relatively low flying altitude (~360 m) and narrow
The study area was the Nagoya University experi- scan angle (± 3° off nadir) were required to achieve
mental forest located in the Aichi Prefecture in cen- the high posting densities. Results showed that after
tral Japan, and was 48-year-old Sugi (Cryptomeria all initial tree spacing, an average of 81% of all live
japonica D. Don) plantation in mountainous forest. loblolly pine trees were accurately identified on plots
The topography of the region was steeper and more at the Starr site; however, nearly 70% of live trees
complex than that of previously researched sites. were accurately identified at the Fred site (Table 4).
Using the best regression model, the sum of predicted At the Starr site, LiDAR-based estimates of crown
stem volumes for LiDAR-detected trees was com- diameter and height to crown center were closer to
pared with field-measured total stem volumes for all ground-measured values for trees at smaller spacings,
trees within stands. In the regression analysis, field- therefore LiDAR-based leaf area estimates for trees
measured stem volumes were regressed against each were close to ground-based estimates on the lower
of the six LiDAR-derived predictor variables such as density plots. At the Fred site, LiDAR-based esti-
volume and crown area, together with LiDAR-derived mates were little different from ground measured
tree height. The results indicated that the model with heights since the success in predicting leaf area
Sunny Crown Mantle Volume (SCV) had the smallest depends exclusively on the ability of LiDAR to
standard error of the estimate obtained from the estimate tree height. Thus, LiDAR-based estimates
regression model in each stand. 0.144, 0.171, and of leaf area for accurately identified trees were close
0.181 were the resulting standard errors (m3), cor- to ground-based estimates of leaf area.
responding to 23.9%, 21.0%, and 20.6% of the
average field-measured stem volume for detected Fire management
trees in each of these stands, respectively. The results
showed that although 69–86% of the total number of Riano et al. (2003) presented a method to use LiDAR
trees was correctly detected using LiDAR data, the data for estimation of forest parameters that are
sum of the individual stem volumes, predicted by critical in fire behaviour modeling. These parameters
regression models with SCV for the detected trees, included tree height, tree cover, surface canopy
occupied 83–91% of field-measured total stem vol- height, surface canopy cover, and crown bulk density.
umes within each stand. The results of this study To provide sufficient statistical significance for the
indicated that small-footprint airborne LiDAR can be generation of the forest parameters, laser pulses were
a useful tool for predicting the individual stem arranged to store x, y, and z (elevation) coordinates in
volume for LiDAR-detected trees and the stand 10 m by 10 m cells. First, the cells were defined as
volume of Sugi plantations in mountainous areas. vegetation if the heights were over 0.6 m. If the 99
Roberts et al. (2005) investigated the potential for percentile of the vegetation height was equal or less
using small-footprint LiDAR in estimating individual than 4 m, the cells were classified as surface canopy;
tree leaf area based on LiDAR-derived tree height and while they were classified as forest if it was over 4 m.
crown dimensions. A reliable approach of remotely The cells defined as forests were divided into two
estimating leaf area index would greatly facilitate its groups including overstory and understory by using a
use in forest management. Study sites are composed
of loblolly pine plantations located in east-central
Table 4 Estimated mean tree heights derived from LiDAR data
Mississippi (the Starr site) and eastern Texas (the Fred and field data at the Star site and Fred site (Roberts et al. 2005)
site). The Starr and Fred sites utilized 16-year-old and
4-year-old loblolly pines respectively. Both sites were Category Star site Fred site
linked to a GIS layer identifying the relative location LiDAR (m) Ground (m) LiDAR (m) Ground (m)
of each tree on each plot. By doing that tree-to-tree
comparison could be made between LiDAR-based Correct 17.5 18.0 4.8 4.6
ID trees
and ground-based estimates of tree and crown
Adll live 17.5 4.7
dimensions. LiDAR data were acquired using an
trees
Optech ALTM 1210 system and included information
Environ Monit Assess (2009) 151:117–125 123

cluster analysis. The tree height and the crown base level of false alarms was excessive for effective forest
height were computed as the 99 and 1 percentile of fire surveillance. In the follow up study, the efficiency
the overstory group, respectively, while surface of pattern classification was improved and probability
canopy height was defined as the 99 percentile of of false alarms was decreased by using training
the understory group. Tree cover was estimated from patterns containing application-specific parameters.
the proportion of the laser pulses that hit the tree These parameters included the peak-to-noise ratio,
canopy, while surface canopy cover was estimated average amplitude ratio and maximum amplitude
from the proportion of the laser pulses that hit the ratio. The results indicated smoke signature classifi-
surface canopy cover. Crown bulk density was cation efficiency of 93% and 70% and the false alarm
calculated based on foliage biomass and crown percentages of 0.041% and 0.011% for small and
volume. This study indicated that the methodology large-scale forest fires, respectively.
using LiDAR technology can generate accurate fuel
management plans at twice inexpensive and at 3.5 Forest operations
times less time consuming than that of traditional
methodologies. Chung (2003) developed a model where harvesting
Morsdorf et al. (2004) evaluated the accuracy of systems and road locations were optimized consider-
using LiDAR data in deriving the structures of the ing logging feasibility, environmental requirements,
upper canopy at individual tree level for the fire and total cost. Using this model, forest managers can
behaviour models. Tree position, tree height, and evaluate large number of alternatives in extracting
crown diameter were derived based on LiDAR data logs from stump to the mill, using network program-
and then compared with field-derived data. The study ming technique and GIS data base. The objective was
area was a part of Swiss National Park covered by to help decision makers performing challenging tasks
boreal type forest stands. The LiDAR data accuracy in planning forest harvesting systems that require key
assessment using six geometric reference targets decision makings on logging equipment, landing site,
indicated horizontal and vertical accuracy of 0.5 m cable road profile, road location, transportation
and 0.15 m, respectively. The results also indicated system etc. In this study, topographic details of the
that tree heights computed based on LiDAR data were study area were obtained from DEM (10×10 m
in good agreement with the heights computed using resolution) from a LiDAR data set. The model was
standard forestry tools. However, LiDAR-derived tested by applying on an actual cable logging harvest
crown diameters did not match the field-derived area. The results indicated that the model was an
diameters probably due to the errors in the field efficient tool to quickly analyze physical, economical,
measurements. Based on the LiDAR-derived geomet- and environmental feasibility of alternative harvesting
ric properties of the trees, the forest scene was systems and road locations. It was indicated that
reconstructed using a simple geometric model. This resolution of the DEM directly affects the problem
study suggested that deriving the structures of the size by increasing solution time and demanding more
upper canopy on an individual tree basis will be more memory space.
effective for fire behavior modeling. Besides, if it is Akay et al. (2004) developed a 3D forest road
necessary, individual tree basis structures can be design model that relied on high-resolution DEM
aggregated to a large scale to generate fire models generated using a LiDAR data set. In the model, input
for a stand level approach. data included DEM, attribute data, road design
In a study conducted by Fernandes et al. (2005), specifications, and environmental requirements. The
automatic classification of single-wavelength LiDAR high-resolution 3D DEM (2 m by 2 m) was developed
signals was performed for early forest fire detection. using a LiDAR data collected from Capitol Forest in
The smoke plume signatures in LiDAR curves western Washington State (Fig. 4). The DEM data
resulting from small and large-scale forest fires was was represented as a set of scattered metric data
identified by using committee machines composed of points (x, y, and z coordinates). To extract ground
several single layer perceptrons. This study was a elevations from the DEM, bilinear interpolation
sequel to a previous study where committee machines method was used. The attribute data including soil
were used to classify LiDAR signals. However, the types and stream data, was also represented as a set of
124 Environ Monit Assess (2009) 151:117–125

solution was generated by the alternative solution


with five intersection points. The results indicated that
the alternatives with six and seven intersection points
could not find better solutions than that alternative
with five intersection points (Table 5). It was also
indicated that increasing the number of intersection
points increased the total computer computation time.

Conclusions

LiDAR technology has shown promise for collecting


surface information more rapidly than the existing
Fig. 4 3D DEM generated by LiDAR data set (Akay et al. data collection techniques in remote sensing. In this
2004) study, the capabilities of using LiDAR data in
performing forestry applications were discussed by
scattered metric data points. The model employed reviewing previously conducted studies. These forest
optimization techniques (Simulated Annealing and applications included measuring forest structures,
Linear Programming) to locate the vertical alignment estimating forest inventory, managing forest fires,
with the lowest total costs, subject to road design and planning forest operations. According to the
specifications and environmental requirements (Akay results derived from these studies, accuracy of the
2004). The results indicated a road design model forest features measured based on LiDAR data were
LiDAR remote sensing technology, modern optimi- generally in a satisfactory level, comparing to the
zation techniques, and environmental considerations estimates of ground-based surveys. This study indi-
can improve the design process for forest roads. cated that there is a great potential for efficiently
Aruga et al. (2005) developed a forest road design performing many forestry activities using LiDAR
model where optimization techniques were used to remote sensing technology. Therefore, forest activities
generate optimum vertical alignments, considering can be done quickly and less expensive for wide-scale
construction and maintenance costs. The model areas. It was also indicated that the performance of
precisely generates cross-sections and accurately the LiDAR based method is directly affected by the
calculates earthwork volumes using a high-resolution resolution of the data. However, LiDAR is one of the
DEM from a LiDAR system. In generating alternative fastest growing technologies in the field and it may
vertical alignments by adjusting the height and the provide even higher resolution and more accurate
location of the intersection points, one of the modern data, as GIS technologies advance. There are potential
optimization techniques, Tabu Search, was used. They emerging areas where advanced LiDAR based GIS
tested the effect of number of intersection point along applications can be successfully implemented such as
the roadway on the total construction costs. The 3D landscape modeling, aquatic applications, and
results from the optimization technique were com- environmental monitoring. Thus, virtual reality GIS
pared with the results from the exact solution found can be used to generate 3D modeling of forests by
by the probabilistic Monte Carlo simulation method. using high-resolution DEMs based on LiDAR data.
It was indicated that both techniques provided similar The airborne LiDAR bathymetry, one of the most
solutions for a sample road design problem. The best recent advancements in LiDAR technology, can be

Table 5 The unit costs


($/m) and solution times for Number of intersection points
alternative vertical align-
1 2 3 4 5 6 7
ments with different number
of intersection points
Cost ($/m) 86.64 74.64 75.42 62.12 61.42 61.93 61.81
(Aruga et al. 2005)
Solution time 3s 9m 1 h 01 m 1 h 38 m 1 h 59 m 2 h 24 m 3 h 01 m
Environ Monit Assess (2009) 151:117–125 125

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M. A., Cohen, W. B., et al. (1999). Use of Large-Footprint
field of forestry.
Scanning Airborne Lidar To Estimate Forest Stand
Characteristics in the Western Cascades of Oregon.
Remote Sensing of Environment, 67, 298–308.
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