Estimation of daily downward shortwave radiation (DSR) is of great importance in global energy budget and climatic modeling. The combination of satellite-based instantaneous measurements and temporal extrapolation models is the most feasible way to capture daily radiation variations at large scales. However, previous studies did not pay enough attention to topographic effects and simple temporal extrapolation methods were applied directly to rugged terrains which cover a large amount of the land surface. This paper, divided into two parts, aims at analyzing the topographic uncertainties of existing models and proposing a better method based on a mountain radiative transfer (MRT) model to calculate daily DSR. As the first part, this paper analyze the spatiotemporal variations of DSR influenced by topographic effects and checks the applicability of three temporal extrapolation methods on cloud-free days. Considering that clouds also have a strong influence on solar radiation, cloud-free days are chosen for targeted analysis of topographic effects on DSR. Three indices, the coefficient of variation, entropy-based dispersion coefficient (CH), and sill of semivariogram, are put forward to give a quantitative description of spatial heterogeneity. Our results show that the topography can dramatically strengthen the spatial heterogeneity of DSR. The index, CH, has an advantage for quantifying spatial heterogeneity as it offers a tradeoff between accuracy and efficiency. Spatial heterogeneity distorts the daily variation of DSR. Application of extrapolation methods in rugged terrains leads to overestimation of daily average DSR up to 60 W/m2 and a maximum 200 W/m2 error of instantaneous DSR on cloud-free days. This paper makes a quantitative analysis of topographic effects under different spatiotemporal conditions, which lays the foundation for developing a new extrapolation method.

Vegetation cover estimation for overstory and understory layers provides valuable information for modeling forest carbon and water cycles and refining forest ecosystem function assessment. Although previous studies demonstrated the capability of light detection and ranging (LiDAR) in the three-dimensional (3D) characterization of forest overstory and understory communities, the high cost inhibits its application in frequent and successive survey tasks. Low-cost commercial red–green–blue (RGB) cameras mounted on unmanned aerial vehicles (UAVs), as LiDAR alternatives, provide operational systems for simultaneously quantifying overstory crown cover (OCC) and understory vegetation cover (UVC). We developed an effective method named back-projection of 3D point cloud onto superpixel-segmented image (BAPS) to extract overstory and forest floor pixels using 3D structure-from-motion (SfM) point clouds and two-dimensional (2D) superpixel segmentation. The OCC was estimated from the extracted overstory crown pixels. A reported method, called half-Gaussian fitting (HAGFVC), was used to segement green vegetation and non-vegetation pixels from the extracted forest floor pixels and derive UVC. The UAV-based RGB imagery and field validation data were collected from eight forest plots in Saihanba National Forest Park (SNFP) plantation in northern China. The consistency of the OCC estimates between BAPS and canopy height model (CHM)-based methods (coefficient of determination: 0.7171) demonstrated the capability of the BAPS method in the estimation of OCC. The segmentation of understory vegetation was verified by the supervised classification (SC) method. The validation results showed that the OCC and UVC estimates were in good agreement with reference values, where the root-mean-square error (RMSE) of OCC (unitless) and UVC (unitless) reached 0.0704 and 0.1144, respectively. The low-cost UAV-based observation system and the newly developed method are expected to improve the understanding of ecosystem functioning and facilitate ecological process modeling.

Occlusion effect, an inherent problem of terrestrial laser scanning (TLS) measurements, limits the potential of TLS data in tree attribute estimation. Multiple scans seek to mitigate this effect to provide enhanced scan completeness. However, the numbers and locations of the scans (i.e., the scan design) are usually determined via a subjective assessment of the tree density, spatial patterns of trees, and attributes to be derived. These could cause suboptimal scan completeness and limit tree attribute estimation. This study proposed an iterative-mode scan design to minimize the occlusion effect. First, we introduced a PoTo index based on visibility analysis to evaluate how many trees can be scanned from a location and to select effective candidates for the optimal TLS location. Second, we introduced a cumulative degree of ring closure (CDRC) to quantify the scan completeness for each candidate and determine the optimal TLS location. The TLS data sets of virtual forests with field-measured and synthetic plot parameter settings were simulated according to iterative- and regular-mode designs by using a Heidelberg light detection and ranging (LiDAR) Operations Simulator (HELIOS). The results demonstrated that an iterative-mode design can improve the scan completeness of trees compared to the regular-mode design. The tree attribute (diameter at breast height (DBH), tree height, stem curve, and crown volume) estimates of the iterative-mode design were less erroneous than those of the regular-mode design (e.g., the root-mean-square error (RMSE) could decrease the stem curve estimation by 38% and the crown volume estimation by 15%). This study suggests that the iterative-mode design can obtain an improved quality of the TLS data, especially for dense stands.

Forest canopy cover (FCC) plays an important role in many ecological, hydrological and forestry applications. For large-scale applications, FCC is usually estimated from remotely sensed data by inverting radiative transfer models (RTMs) or using data-driven regressions. In this article, we proposed a hybrid model, which combines a 3-D RTM and transfer learning-based convolutional neural network (T-CNN), to estimate FCC from very high-resolution satellite images (e.g., Chinese GaoFen-2, 1 m resolution with 4 bands). Unlike common hybrid models that are purely trained with simulation data, T-CNN combines simulation data-based pre-training and actual data-based transfer learning, which is a widely used technique in artificial intelligence for fine-tuning models. The performance of T-CNN was compared with a random forest (RF) model and two general CNN models, including CNN trained with actual dataset only (data-CNN) and CNN trained with RTM simulation data only (RTM-CNN). Results on the independent validation dataset (not used in training stage) showed that T-CNN had higher accuracy (RMSE = 0.121, R ² = 0.83), compared with RF (RMSE = 0.26, R ² = 0.61), Data-CNN (RMSE = 0.142, R ² = 0.81), and RTM-CNN (RMSE = 0.144, R ² = 0.73), which indicates that T-CNN has a strong transferability. Tests on different training sizes showed that T-CNN (0.084 < RMSE < 0.108) provided constantly better performances than RF (0.116 < RMSE < 0.122) and data-CNN (0.103 < RMSE < 0.128), which demonstrates the potential of T-CNN as an alternative to RTM-based inversion and data-driven regressions to estimate FCC, especially when training data is imbalanced and inadequate.