Clumping Effects in Leaf Area Index Retrieval From Large-Footprint Full-Waveform LiDAR

Abstract

Clumping effect denotes the nonrandomness of foliage. It deviates from the random distribution assumption of Beer’s law which is usually applied to leaf area index (LAI) retrieval from large-footprint full-waveform light detection and ranging (LiDAR). Some studies correct for large gaps-induced between-crown clumping, yet ignore the within-crown clumping. The error of LAI caused by these clumping effects and the influence of the forest structure parameters on them have not been quantitatively studied. This study quantified the between-crown, within-crown, and total clumping indices through a theoretical derivation, clarifying the mechanism of clumping; we used airborne LiDAR point clouds data in 11 290 footprints (diameter = 25 m) to estimate these indices in real forests. We found that: 1) the underestimation of LAI caused by directly applying Beer’s law could be up to 93%, and it decreases with fractional crown coverage but increases with crown length and leaf area density; 2) the method of correcting between-crown clumping improves LAI retrieval for cylindrical canopies effectively; however, 3) considerable underestimation (up to 58%) exists if we neglect the within-crown clumping for other canopies, which has not been realized before; and 4) both the between-crown and the within-crown clumping can be the dominant contributor, and the within-crown clumping was greater than the between-crown clumping in 47% of the studied footprints. In the two physically based LAI retrieval methods, Beer’s law has been commonly used due to its simplicity. Pathways to improve future LAI retrieval would be instrument improvement to capture the between-crown gaps and method study to correct the within-crown clumping further.