Applicability of an automatic surface detection approach to micro-pulse photon-counting lidar altimetry data: implications for canopy height retrieval from future ICESat-2 data

Abstract

We develop and validate an automated approach to determine canopy height, an important metric for global biomass assessments, from micro-pulse photon-counting lidar data collected over forested ecosystems. Such a lidar system is planned to be launched aboard the National Aeronautics and Space Administration’s follow-on Ice, Cloud and land Elevation Satellite mission (ICESat-2) in 2017. For algorithm development purposes in preparation for the mission, the ICESat-2 project team produced simulated ICESat-2 data sets from airborne observations of a commercial micro-pulse lidar instrument (developed by Sigma Space Corporation) over two forests in the eastern USA. The technique derived in this article is based on a multi-step mathematical and statistical signal extraction process which is applied to the simulated ICESat-2 data set. First, ground and canopy surfaces are approximately extracted using the statistical information derived from the histogram of elevations for accumulated photons in 100 footprints. Second, a signal probability metric is generated to help identify the location of ground, canopy-top, and volume-scattered photons. According to the signal probability metric, the ground surface is recovered by locating the lowermost high-photon density clusters in each simulated ICESat-2 footprint. Thereafter, canopy surface is retrieved by finding the elevation at which the 95th percentile of the above-ground photons exists. The remaining noise is reduced by cubic spline interpolation in an iterative manner. We validate the results of the analysis against the full-resolution airborne photon-counting lidar data, digital terrain models (DTMs), and canopy height models (CHMs) for the study areas. With ground surface residuals ranging from 0.2 to 0.5 m and canopy height residuals ranging from 1.6 to 2.2 m, our results indicate that the algorithm performs very well over forested ecosystems of canopy closure of as much as 80%. Given the method’s success in the challenging case of canopy height determination, it is readily applicable to retrieval of land ice and sea ice surfaces from micro-pulse lidar altimeter data. These results will advance data processing and analysis methods to help maximize the ability of the ICESat-2 mission to meet its science objectives.