Baret 1991

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Baret 1991

© All Rights Reserved

Als PDF, TXT **herunterladen** oder online auf Scribd lesen

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35:161-173 (1991)

LAI and APAR Assessment

F. Baret and G. Guyot

INRA Bioclimatologie, MonOCavet, France

M o s t vegetation indices (VI) combine informa- tions has been paramount in many agriculture-

tion contained in two spectral bands': red and applied studies in recent years. To minimize the

near-infrared. These indices are established in or- variability due to external t~actors, multispectral

der to minimize the effect of external factors on reflectance data have been transformed and com-

spectral data and to derive canopy characteristics bined into various vegetation indices. The most

such as leaf area index (LAI) and fraction of ab- commonly used vegetation indices utilize the in-

sorbed photosynthetic active radiation (P). The po- formation contained in red and near-infrared

tentials' and limits of different vegetation indices canopy reflectances or radiances. They are com-

are discussed in this paper using the normalized bined in the form of ratios: ratio vegetation index

difference (NDVI), perpendicular vegetation index (RVI) (Pearson and Miller, 1972) or normalized

(PVI), soil adjusted vegetation index (SAW), and difference (NDVI) (Rouse et al., 1974), or in linear

transformed soil adjusted vegetation index (TSA VI). combinations as the perpendicular vegetation in-

The discussion is based on a sensitivity analysis in dex (PVI) (Richardson and Wiegand, 1977). These

which the effect of canopy geometry (LAI and leaf indices have been found to be well correlated with

inclination) and soil background are analyzed. The various vegetation variables including green

calculation is performed on data derived from the leaf area (Wiegand et al., 1974; Holben et al.,

SAIL reflectance model. General semiempirical 1980; Asrar et al., 1984, 1985b; Hatfield et al.,

models, describing the relations between VI and 1985; Clevers, 1989), standing biomass (Tucker,

LAI or P, are elaborated and used to derive the 1979; Elvidge and Lyon, 1985), percent ground

relative equivalent noise (REN) for the determina- cover, amount of photosynthetically active tissue

tion of LAI and P. The performances of VIs are (Wiegand et al.), photosynthetic activity (Baret

discussed on the basis of the REN concept. and Olioso, 1989; Choudhury, 1987; Hatfield et al.,

1984; Sellers, 1985; 1987), and productivity (Asrar

INTRODUCTION et al., 1985a).

The green leaf area index (LAI) is a key

The development of fimctional relations between variable which is functionally linked to spectral

crop characteristics and remote spectral observa- reflectance. Leaf area index is also a variable which

is frequently used by agronomists, crop physiolo-

gists, and crop modelers. A large number of rela-

Address correspondence to F. Baret, INRA Bioclimatologie, BP

tionships have been established between vegeta-

91, 84143 Montfavet Cedex, France.

Received June 1990; revised 12 November 1990. tion indices and LAI. Generally the vegetation

0034-4257/91 / $3.50

©Elsevier Science Publishing Co. Inc., 1991

655 Aw~nue q[ the Americas, New York, NY 10010 161

162 Baret and Guyot

indices approach a saturation level asymptotically Table i. Parameters Used for the Calculation of the Differ-

ent Vegetation Indices. a

for LAI ranging from 2 to 6, depending on the

type of vegetation index used, the crop studied, Sun zenith angle: 45 °

View angle: nadir viewing

and experimental conditions (Wanjura and Canopy geometry:

Hatfield, 1987; Daughtry et al., 1980; Chance, - - l e a f angle distribution function: ellipsoidal

1981; Ahlrichs and Bauer, 1983; Best and Harlan, - - a v e r a g e leaf angle: 30, 35, 40, 45, 50, 55, 60, 65, 70 °

1985). Most vegetation indices are dependent on I L A I : 0.10, 0.20, 0.40, 0.80, 1.60, 3.20, 6.40, 12.80

soil optical properties, or external factors such as 650 nm (r) 850 nm (nir) PAR

sun position and nebulosity to provide good esti- Leaf reflectance 0.05 0.465 0.10

mates of LAI. Leaf transmittance 0.02 0.490 0.05

The sensitivity of vegetation indices to canopy Soil reflectance: 0.05, 0.10, 0.15, 0.20, 0.25, 0.30, 0.35

geometry (leaf angle distribution function, row (650 nm)

orientation, and spacing) has been shown by ~The canopy reflectance is calculated with the SAIL model

Chance (1981), Kollenkark et al. (1982), Aase et al. (Verhoef, 1984). The leaf angle distribution function is assumed to be

ellipsoidal (Campbell, 1986; Wang and Jarvis, 1988). It is character-

(1984), Jackson et al. (1979), and Jackson (1986) ized by its average leaf angle (ALA) defined by the zenith angle of

among others. Vegetation indices are also sensitive the normal to the leaf surface.

The near-infrared reflectance of the soil is calculated with the

to soil optical properties as shown by Kanemasu soil line equation: nirg = 1.20rg +0.04. The slope and the intercept

(1974), Vanderbilt et al. (1981), Huete et al. (1985), correspond to the median values of soil line data of the literature

(Baret et al., 1989b). Lower reflectance corresponds to dark and wet

Huete (1987a), and Huete and Jackson (1987). soil and highest reflectance to that of a dry bright sand. The leaf

They are also affected by the sun position (Asrar optical properties correspond to a leaf with a chlorophyll a and b

et al., 1985b; Brach et al., 1981; Huete, 1987b; concentration of 50 /zg em -e and a structure parameter N = 1.5

which corresponds to most of plant leaves (Jacquemoud and Baret,

Shibayama et al., 1986) and the cloudiness (Holben 1990).

et al., 1986; Jackson et al., 1983). These results

suggest caution in using vegetation indices to esti-

mate LAI if the effects of these different factors METHODOLOGICAL APPROACH

are not known.

Model Simulation

Agronomists, among others, are interested in

photosynthetically active radiation (PAR) absorbed The SAIL model (Verhoef, 1984; 1985) has been

by vegetation. The fraction absorbed PAR by the used in this study to simulate and to analyze the

canopy (P) can be linked experimentally to re- sensitivity of different vegetation indices to the

flectance data (Daughtry et al., 1983; Gallo et al., canopy and soil parameters: soil reflectance, leaf

1985; Hatfield et al., 1984; W i e g a n d and optical properties, leaf inclination, leaf area index,

Richardson, 1984) as has subsequently been shown and so on (Table 1). This relatively simple model

theoretically by Sellers (1985; 1987) and gives a realistic and accurate estimate of the bidi-

Choudhury (1987), among others. Remotely sensed rectional reflectance of homogeneous crop

P gives a more mechanistic and reliable way for canopies. It has been partially validated by differ-

assessing crop biomass than LAI because the pho- ent authors (Badhwar et al., 1985; Goel and

tosynthetic apparatus of a crop transforms the Deering, 1985). In this study reflectances have

absorbed PAR energy into dry matter and the sum been simulated in red (r) and near-infrared (nir)

of absorbed PAR over time is a good estimator of for the calculation of vegetation indices. All of the

crop primary production (Wanjura and Hatfield, possible combinations [9 (average leaf inclinations)

1985; Weiser et al., 1986; Baret et al., 1989a). But x 8 (LAI)×7 (soil reflectance)= 504 combina-

the relationship between vegetation indices and tions] of variables, incremented two at a time,

APAR also depends on those factors which affect were computed.

the relationships between vegetation indices and

LAI. For this reason we shall examine the poten-

tials and the limits of the different vegetation Vegetation Indices Used in This Study

indices for assessing LAI and absorbed PAR by The most commonly used vegetation indices are

considering the effects of different factors. RVI and NDVI cited earlier. They combine red (r)

Vegetation Indices for LAI and APAR Assessment 163

ZIZt

.f "fir ,&///

~

I,'J.,' Y , /

/ . ,,

i

• O. l ~ / ~ ~ PVI

RED REP'I~CT~CE

/,: o/ .

lit °

0 t~ --SAVI 1 TSAV1

RID RElO'LItCTANCit IRgD RITLItCTANCE

Figure 1. Graphical representation of different vegetation indices. The dashed lines correspond to canopies with different

soil backgrounds and the same LAI. The line, for which LAI = 0, is the soil line. The open circles correspond to the canopy

reflectance simulated with SAIL model using input data from Table 1 and the median value of ALA. The continuous lines

are the lines along which the different vegetation indices are constant. These indices are determined for each LAI and for

the median value of soil reflectance (0.20 in red).

and near-infrared (nir) reflectances or radiances. optical properties of soil background. For a given

RVI = r / n i r amount of vegetation, darker soil substrates result

in higher vegetation index values (Elvidge and

(Pearson and Miller, 1972), (1)

Lyon, 1985; Huete et al., 1985) (Fig. 1). To mini-

NDVI = ( n i r - r) / (nir + r) mize the effect of the soil background, Richardson

(Rouse et al., 1974), (2) and Wiegand (1977) have proposed the perpendic-

ular vegetation index (PVI). It represents the or-

NDVI = (RVI - 1 ) / ( R V I + 1). (3)

thogonal distance from a point corresponding to

These indices enhance the contrast between soil canopy reflectance to the soil line, in red-near-

and vegetation but minimize the effects of illumi- infrared space (Fig. 1). For a given soil, the red

nation conditions. However, they are sensitive to (rn) and near-infrared (nir~) reflectances are re-

164 Baret and Guyot

lated by the equation of the soil line: will not be used in the comparison of the different

indices.

nir,. = a ' r ~ + b. (4) The soil adjusted vegetation index (SAVI) pro-

posed by Huete (1988) is derived from the NDVI:

The parameters a and b vary slightly among soils

(Huete et al., 1984). Findings on soil line parame- SAVI = ( n i r - r ) / ( n i r + r + L)(1 + L). (8)

ters determined in different locations confirms this The constant L is introduced in order to minimize

assertion, and shows that these parameters are not soil-brightness influences and to produce vegeta-

independent and that they can be related by a tion isolines more independent of the soil back-

second-order polynomial (Baret et al., 1989b). ground (Fig. 1). It can vary from zero to infinity as

Moreover, as shown by Baret (1986), the soil line a function of the canopy density. If L = 0, SAVI is

concept is also valid for senescent vegetation, equivalent to NDVI and if L tends towards infin-

which represents the real background of the active ity, it is equivalent to PVI (the vegetation isolines

green vegetation layer during a significant portion are parallel). For vegetation with intermediate

of the growth cycle. density the best adjustment is obtained for L = 0.5.

It is possible to express PVI as a linear combi- SAVI is an exact solution fi)r bare soil only when

nation of nir, and r,.: the soil line parameters are a = 1 and b = 0. This

is not generally the case. As it is important, for a

1

P V I - ~ / e +- - l (nir - a ' r - b). (5) vegetation index, to be error-free for plant canopies

with very low densities, Baret et al. (1989b) pro-

posed the transformed soil adjusted vegetation

Experimental and theoretical investigations show index (TSAVI). This index is a measure of the

that PVI is also affected by the optical properties angle between the soil line and the line which

of soil background: brighter soils result in higher joins the vegetation point and a point (S) behmg-

index values for a given quantity of incomplete ing to the soil line, the abscissa of which is - X

vegetation cover as shown in Figure 1 (Huete (Fig. 1). The following equation is an improved

et al., 1985; Huete, 1988; Major et al., 1990). The version of the initial definition given by Baret

points corresponding to the same canopy do not et al. (1989b):

migrate along lines parallel to the soil line when

the soil brightness is changing. For this reason TSAVI = a ' ( n i r - a ' r - b)

some new indices, which are less influenced by

the soil brightness have been proposed (Huete, /[.'nir+r-.h+ X'(1+.2)], (9)

1988; 1989; Clevers, 1986; 1988; 1989; Baret et al.,

19891); Major et al., 1990). The simplest is pro- where a and b are the parameters of the soil line

posed by Clevers (1986; 1989), who introduced and X corresponds to the negative abscissa of the

the weighted difference vegetation index (WDVI), point S. The value of X has been adjusted to

which is similar to the greenness index of Kauth minimize soil effects (X = 0.08). TSAVI is multi-

and Thomas (1976) fin" the two-dimensional case plied by the parameter a to give a vegetation

(red-near-infrared space): index less dependent on soil parameters (a, b) for

high canopy density (nir >> r). TSAVI equals 0 for

WDVI = n i r - a ' r . bare soil and is close to 0.70 fi)r very dense

canopies. For a = 1 and b = 0, TSAVI is equiva-

This index can also be related to the PVI by lent to N DVI.

combining Eqs. (5) and (6): Tile indices discussed here can be classified

into two categories:

1

PVI - -~ - ( W D V I - b). (7)

--indices characterized by a slope: RV1,

NDVI, SAVI, TSAVI;

The information given by WDVI is not different --indices characterized by a distance: PVI,

from that given by PVI. For this reason this index WDVI, GVI;

Vegetation Indices for LAI and APAR Assessment 165

(b l i~ f Figure 2b.

0.3 0.6

...:..,

0.2 0.4

:i/?i:!:il - .~~.

.~,~.

RELATIONSHIPS BETWEEN VEGETATION

0.1

~,~:~:': 5 .

0.|

/ INDICES AND LEAF AREA INDEX (LAI)

0 0

0 0.5 1 0 0.5

Vegetation Indices and LAI

0.8 O.S

(c) ..z .:t (d) ',~:,S Many studies have shown that vegetation indices

0.6 0.6 .,R..

reach a saturation level with increasing LAI values

jz:.-

0.4. 0.4

,f;"' and can be fitted to an exponential equation: NDVI

•...@i.,;;.,

(Hatfield et al., 1985; Baret and Olioso, 1989), PVI

0.2 ,~:¢ 5 . > 0,2

(Wiegand and Hatfield, 1988; Clevers, 1989,

0 through WDVI (see Eq. 7)), and TSAVI (Baret

0 0.5 0.2 0.4

(VI), as a function of LAI, can be expressed by a

0.8 0.8, modified Beer's law:

roJ

0.6 .~'~. -

•...~, .. VI = V I ~ + (VIg - V I ~ ) ' e x p ( - K v , ' L A I ) , (10)

:=.,: ; .

<: 0.4 :i :.::i :' 0.4 L,~ ~!::!7;i[i::

where

0.2 o.= ,,:':7!:i:!I....

i

VI~ = vegetation index corresponding to

0 0 ' L

0 0.5 0 0,2 0.4 that of the bare soil,

NDVI PVl Vim = asymptotic value of VI when

Figure 2. Graphical determination of the mutual depen- LAI tends towards infinity (practically

dency of NDVI, PVI, SAVI, and TSAVI. Each data point this limit is always reached for LAI

corresponds to a VI value calculated for the canopy re-

flectance (simulated with SAIL with input variables front greater than 8.0),

Table 1). The Vls are expressed in decimal fractions. Kvl = eoeffleient which controls the slope

of the relationship (equivalent to an

extinction coefficient).

Four of them, that is, NDVI, PVI, SAVI, and The Kvj parameter represents the relative in-

TSAVI, are really not fnnctionally equivalent, al- crease in VI due to an elementary increase in LAI.

though, for certain values of the soil line and of It is called extinction coefficient by analogy to the

the parameters L and X, SAVI and TSAVI can classical Beer's law where the extinction (or ab-

also be considered as distance vegetation indices. sorption) eoeMeient describes the relative varia-

To test the mutual independence of these four VIs, tion of a diffuse mediunfs transmission when its

they were calculated from the same data set (Ta- thickness is submitted to an elementary increase.

ble 1). All possible pairs of VIs (six combinations) In the same way, the product Kvl. LAI is analog

were plotted (Fig. 2). Figures 2a, 2c, and 2e show to an optical thickness.

that PVI, SAVI, and TSAVI individually differ in The parameters VI~ and Kvl depend on irra-

concept and contain different information than diance and view geometries and on leaf inclina-

NDVI, while Figure 2b shows that TSAVI and tion. In this analysis the sun zenith angle and the

SAVI are closely correlated. For this reason we viewing geometries are fixed.

compare SAVI and TSAVI with NDVI in Figures We have used, for each set of leaf inclinations

2c and 2e and with PVI in Figures 2d and 2£ (average leaf inclination ALA), nonlinear fitting

Figures 2c and 2d show that SAVI and PVI give techniques ( N e l d e r - M e a d simplex algorithm) to

similar information. TSAVI is not closely related to obtain Kvx(ALA) and VI=(ALA) for data simulated

NDVI and PVI (Figures 2e and 2f). Nevertheless, with SAIL model. VIg was taken as the average

166 Baret and Guyot

Table 2. Average Value of Vlg Calculated with Data of is not strongly affected by the leaf inclination:

Table 1

PVI~ and SAVI~ decrease slightly with the leaf

VI VI~ StandardDeviation inclination, whereas NDVI~ increases and TSAVI~

NDVI 0.193 0.0646 remains practically constant. The computed values

PVI 0.000 0.0000 of K vi and VI~ are in good agreement with exper-

SAVI 0.122 0.0229

TSAVI 0.000 0,0000 imental results obtained on wheat (Asrar et al.,

1984), maize, and soybean (Baret, 1990).

VIs computed with the simplified model

value (Table 2) calculated from the input data (equation 11) are compared to those computed

displayed in Table 1. The resulting values of Kvi with SAIL model in Figure 4. In the simplified

and VI= are presented on Figure 3. This figure model the adjusted values of KvI(ALA) and

shows that K w decreases when ALA increases. VI~(ALA) are used. For VIg fixed, the indices,

The curves corresponding to the different vegeta- which are significantly affected by the soil back-

tion indices have, practically, the same shape. VI~ ground, present a larger scattering than the in-

Figure 3. Variation of the extinction coefficient (Kvl) and of the infinite value of vegetation

index (VI~) as a function of the average leaf inclination (ALA).

1.6 l

NDVI

NDVI

1.4

t~

0.8 SAVI

1.2

z TSAVI

1 Z 0.6

Z

0.8 ...........................................

0.4 PVI

Z 0.6

>

t~ 0.4 0.2 t i ,i

30 40 50 60 70 30 40 50 60 70

AI~

NDVI PVI

0.4

( a ) ~ 0.3

b~

0.5 s_

0.2

0.1

i

0

0 0,5 0 0.2 0.4

SAIL SAIL

SAVI TSAVI

r~

M Figure 4. Comparison of VI data

0.5 0.5 calculated with SAIL model and

with simplified model (dots). The

solid line is the first bisector. As VI~

has a constant value in the simpli-

i

fled model, the scattering of the

0 0 i

points expresses the effect of the soil

0 0.5 1 0 0.5 1 background on the considered in-

SAIL SAIL dex.

Vegetation Indices for LAI and APAR Assessment 167

Table 3. VI RMS D e t e r m i n e d with Simplified Model as which is mainly determined by species and phe-

Compared to SAIL Simulations.

nology, is often available. For this reason we shall

vl RMS RMS / (VI=- VI~)~ first analyze the sensitivity to soil background for a

NDVI 0.0570 0.0738 given ALA and then evaluate the global sensitivity

PV1 0.0187 0.0548 to both soil background and ALA.

SAVI 0.0204 0.0315

TSAVI 0.0101 0.0141

Equation (11) shows that RENLAI is the largest

when the slope of the relation between LAI and

~The third column gives the normalized RMS.

VI is the smallest. For this reason the uncertainty

on LAI is maximum when the asymptotic level is

dices which introduce corrections of the back- reached.

ground effect. For this reason Figures 4a and 4b,

corresponding to NDVI and PVI, display larger Sensitivity to Soil Background for a Given ALA

scatter than Figures 4c and 4d, corresponding to RENLA~ [Eq. (11)] is computed from data in Table

SAVI and TSAVI. Low NDVI values are mainly 1 but for only four different ALA values (35 °, 45 °,

affected by the soil (Fig. 4a). The effect of the soil 55 °, and 65 °) in order to decouple the effects of

on PVI is the largest for medium values of this soil background and ALA. Figure 5 displays the

index (Fig. 4b). SAVI and TSAVI (Figs. 4c and 4d) results of this sensitivity study. There are some

greatly reduce the scattering and TSAVI is the large differences among the VIs and their variation

better index according to this test. It is clear that with leaf inclination. Since NDVI is strongly

Eq. (10) is a good semiempirical approximation of affected by the soil optical properties, the rela-

the VI(LAI) relation as confirmed by the statistical tive equivalent noise is very large, for this vege-

analyses (Table 3). The root mean square error, tation index, when the vegetation density is low

evaluated for each VI, has been normalized by the (LAI < 0.5), and when LAI is greater than 3, for

amplitude of variation (VI=-VIg), to facilitate the canopies with a low ALA (35 ° and 45 ° on Fig. 5).

comparison. At LAI less than 4, the relative equivalent noise

does not change much with the increasing LAI if

PVI, SAVI, or TSAVI are considered. In this do-

Sensitivity Analysis of the Relations between main the better index is TSAVI (RENLAI = 15%)

VI and LAI followed by SAVI and PVI. These three indices

have the same noise in the LAI range 2-4. For

The sensitivity of VI(LAI, ALA) to soil background

LAI greater than 4 the hierarchy among the in-

or leaf inclination has been characterized by the

dices changes, especially when the leaves have a

standard deviation (~rvi) of the relation between

low inclination. For that case the worst index is

LAI and VI. This noise is translated into relative

TSAVI followed by NDVI, SAVI, and PVI. For

equivalent LAI noise (RENtz I) defined by

erect leaves the best index is NDVI followed by

O'LaI / L A I , using the local slope of the LAI-VI

TSAVI, SAVI, and PVI.

relation (d(VI)/d(LAI))

The large variations observed in the relative

equivalent noise for NDVI and TSAVI, when LAI

RENLAI O'LAI_ ~rvi (d(Vi))-1 is greater than 4, are due to the low values of the

= LA---]- LA~ d(LAI) (11)

slope of the relation VI-LAI, because VI is near

The slope of the relation between VI and LAI its saturation level. A small variation in VI can

can be deduced from Eq. (10): correspond to a large variation in LAI. This result

is mainly due to differences in Kvi (Fig. 3) which

d(VI) determines the magnitude of the slope between VI

d(LAI) - KvI'(VIg-VI=)'exp(- KvI'LAI ).

and LAI [Eq. (12)].

(12)

Sensitivity to Soil Background and Leaf Inclination

In Eq. (11) VIg is fixed at its average value We next discuss the sensitivity of VI to soil back-

given in Table 2. In most cases VIg varies with soil ground and leaf inclination. For a given LAI, O-vi

type, soil roughness, and moisture, and is not is again computed using the data set of Table 1

generally known. However, information on ALA (variations in soil optical properties and ALA). It is

168 Baret and Guyot

ALA = 35 ° ALA = 4 5 °

0 0

0.5 0.5

0 0

10-t 10 o 101 NDVI 10-1 10 o I01

LAI PVI .... LAI

SAVI .......

~ = 55 ° ALA = 65 °

TSAVI -.-- 1

03

O 0

0.5 mination to soil b a c k g r o u n d w h e n

0.5

different vegetation indices are used

and for 4 average leaf angles (ALA).

T h e sensitivity is e x p r e s s e d as LAI

relative equivalent noise as a flmc-

0 0 tion o f LAI (h)garithmic scale).

10-1 10 o I01 10-1 10 o 101 R E N t a I is e x p r e s s e d in decimal

I.AI LAI fractions ( R E N l~al = crI,AI/LAD.

PVI.

"2 / Nov, (ii) When LAI is greater than 3, the noise

o.5 /:/ .... increases sharply as for the effect of soil back-

ground (see above). The additional noise dne to

"~ TSAVI - " -- ALA variation is also quite large.

i i i i i } 111 * i i 1 1 i

10-1 10 0 101

LAI Conclusion

Figure 6. Effect o f soil b a c k g r o u n d and leaf inclination on

LAI estimation from VI. T h e sensitivity is e x p r e s s e d as LAI

relative e q u i v a l e n t noise as a function o f LAI (logarithmic The VI(LAI) relation can be set in the fi)rm of a

scale). R E N t a I is e x p r e s s e d in decimal fraction. simple semiempirical Beer's law [Eq. (10)]. This

approach was used to facilitate the comparison

between the differing VIs. The sensitivity analysis

then translated into RENI~ I using Eqs. (11) and shows that Vls, devised to minimize soil back-

(12). Figure 6 shows that the variation in relative ground effect (PVI, SAVI, TSAVI), strongly reduce

equivalent noise, due to leaf inclination, signifi- the noise for low leaf area indices (LAI < 2-3).

cantly increases whatever the VI considered• Two For greater leaf area indices this gain can be

domains can be distinguished (Fig. 6), that is, compensated by the magnitude of the slope of the

LAI > 3 (i) and LAI < 3 (ii). VI(LAI) fimetion. For example, TSAVI which was

(i) For NDVI, the noise in the determination the best VI for lower LAI, introduced the largest

of LAI decreases with increasing LAI, up to LAI noise for large LAI because it reached its satura-

= 3. This behavior is mainly attributed to soil tion level before the other VIs (except NDVI).

background effect. For the other indices, the noise The noise due to soil background was amplified

is practically constant and the best index is TSAVI when combined with the noise due to leaf inclina-

followed by SAVI and PVI. The contribution of the tion. In all cases it seems to be very diffieuh to

noise due to leaf angle distribution increases the estimate LAI through VI measurements when VI

RENtAI due to soil background (Fig. 5) by approx- is close to Viol, especially when ALA is not known.

Vegetation Indices for LAI and APAR Assessment I69

INDICES AND ABSORBED neous P fraction. For this reason the V I - P rela-

PHOTOSYNTHETICALLY ACTIVE tionships discussed hereafter correspond to the

RADIATION (APAR) daily averaged fraction (P) of absorbed PAR, com-

puted for a 45 ° latitude and a 45 ° solar zenith

General Semiempirical Model Relating angle at noon. Nonlinear fitting of Eq. (14) with

Vegetation Indices and APAR B = 1 to SAIL simulated P values for the Table 1

In the PAR spectral domain (400-700 nm), the data set leads to P= = 0.94 and Kt, value close to

fraction of absorbed incoming radiation (P) can be 1.00 (Baret and Olioso, 1989). These values are

determined from the radiative balance: little affected by leaf inclination and in good

agreement with experimental results (Asrar et al.,

P=I-R,,-(1-G)'T c, (13) 1984; Varlet-Grancher et al., 1989).

where the terms for the PAR domain are LAI can be determined from reflectance mea-

surements in red and near-infrared spectral bands,

R,~ = canopy hemispherical reflectance, so that it is possible to derive P from VI (Daughtry

R~ = soil background hemispherical reflectance, et al., 1983; Hatfield et al., 1984; Wiegand and

Richardson, 1984, 1990a; Gallo et al., 1985). Com-

TC= canopy hemispherical transmittance.

bining the two simplified models, represented by

This fraction is often expressed as a function Eqs. (10) and (14), we establish an analytical

of LAI. Field measurements performed on differ- relation between P and VI:

ent crops such as wheat (Hipps et al., 1983),

maize (Gallo et al., 1985), cotton (Wiegand and [ ( VI~-VI ) (K'/K'')]

Richardson, 1990b), and grassland (Weiser et al.,

e = 1- (15)

1986) show that the seasonal behavior of P, as a

function of LAI, can be expressed by an exponen- This equation shows that P is affected by the

tial function based on Beer's law, optical properties of the soil through VI~ and by

P = P~[1- B ' e x p ( - Kt,.LAI)], (14) the canopy geometry through K t , / K v l and VI~.

PAR absorption for infinite thick canopy Sensitivity Analysis of the Relation between

(P~= 0.94) (Wiegand and Hatfield, 1988; Baret P and VI

and Olioso, 1989). B is a parameter ranging be-

tween 0.8 and 1.2, depending on experimental We shall use similar concepts to those used for

errors and deviations from model assumption (ran- LAI determination to define the P relative equiva-

dom distribution of the leaves) (B is usually set to lent noise (RENt,).

1). Kp is equivalent to Kvi in Eq. (11). It is

analogous to the extinction coefficient of the Beer's R E N t _ o¥ _ try, [ d(VI) ] - ' (16)

law and depends on leaf angle distribution and e e [d(e) J

irradiance geometry. For green leaves which have

very high absorptance in the PAR domain, Kp is The slope of the relation between VI and P can be

very close to the extinction coefficient which is deduced from Eq. (15):

defined to compute the interception of light beams

in the canopy. dP ol" P~" (VI~ - V I ) ¢'-1)

(17)

W Ix) ot

Absorbed PAR energy can be related to the d(VI) (VI~-

photosynthetic activity of vegetation if it is inte-

grated from sunset to sunrise. In such conditions where a = K e / K v l .

the V I - P relation corresponds to the situation As for the VI(LAI) sensitivity analysis, we shall

where radiometric data are measured at noon, compare the case in which ALA is known and the

with clear sky conditions, and compared to daily case in which it is not known. In the second case,

averaged P. As a consequence, it is necessary to REN t, is a composition of soil brightness and ALA

convoluate, over the day, the instantaneous incom- effects.

170 Baret and Guyot

ALA = 35 ° ALA = 45 °

10 o 10 o

10-t "~ l O - i

co

,.d

0~

10-2

10-t 10 o

t0-t

PVI .... P

SAVI .......

M~ = 55 ° TSAVI --.-- 10 o M.~ = 65 °

10 0 v i i i , , T ~_

!

0

nation to soil background when dif-

10-t '~ lO-I

o~ ~O

ferent vegetation indices are used

.d and for four average leaf angles

(ALA). The sensitivity is expressed

~o

as P relative equivalent noise as a

10-2 10-2 function of P, both on logarithmic

tO-t 10 o 10-1 lO o scales. REN e is expressed in deci-

mal fraction.

The REN e is calculated for four different leaf

inclinations (35 °, 45 °, 55 °, and 65 °) using the data

.,,.4

0 ~ ' ', I' '" ' '',,'

', N D V I

set of Table 1. Figure 7 shows the existence of lO-I

PVI ....

large differences in the noise associated with dif- SAVI .......

ferent indices. When P is less than 0.5, the worst m

TSAVI --"

--

index is NDVI. PVI also induces large errors in

estimating P whatever the leaf inclination• For 10-2

10-t 10 0

this reason, it is not recommended for assessing P.

SAVI and TSAVI provide a good estimate of P

P

Figure 8. Effect of soil background and leaf inclination on P

throughout the whole domain of P values• How- estimation from VI. The sensitivity is expressed as P relative

ever, TSAVI is better especially for erect leaves. equivalent noise as a function of P, both on logarithmic

The relative noise decreases when the canopy scales. REN e is expressed in decimal fraction.

density increases• For very dense canopies any

vegetation index estimates P well. Conclusion

A general semiempirical model is proposed [Eq.

Sensitivity Analysis to Soil Background and (15)] to relate P to VI. It is based on two semiem-

Leaf Inclination pirical models relating P to LAI [Eq. (14)] and

Figure 8 displays the results of the sensitivity LAI to VI [Eq. (10)]. It gives a formulation within

analysis P(VI) to both leaf inclination and soil which the sensitivity of P to soil background and

background. We observe the same hierarchy of leaf inclination can be analyzed through the use of

indices as shown in Figure 7. The best index is VIs. TSAVI seems to be the most reliable VI when

TSAVI followed by SAVI, PVI, and NDVI. Dif- the leaf inclination angle is known. The relative

ferences in relative noise among the VIs are less- equivalent noise is always below 10%• NDVI and

ened comparatively to the case corresponding only PVI are very sensitive to soil optical properties,

to the soil background effect. Nevertheless, SAVI especially for P values below 0.5, so that they are

and TSAVI have REN e below 30% over the range the least reliable• When the leaf inclination is not

of variation of P, which drastically decreases when known, SAVI and TSAVI are better than NDVI

P is greater than 0.5. and PVI for estimating P.

Vegetation Indices for LAI and APAR Assessment 1 71

There is no doubt that the restricted vegetation

The most commonly used vegetation indices, com- indices, based on reflectance factors of red and

bining red and near-infrared reflectance or radi- near-infrared bands, cannot solve simultaneously

ance data, have been sorted into two categories: all these ambiguities. It is necessary to extend the

distance-related vegetation indices (PVI, WDVI, concept to more than two spectral bands and one

GVI) and slope-related vegetation indices (RVI, view direction. The increasing complexity for

NDVI, SAVI, TSAVI). For the sensitivity analysis building these "extended" indices will presumably

we selected four indices (NDVI, PVI, SAVI, tend towards the implicitly underlying "inverse"

TSAVI) that are not functionally equivalent, and problem.

proposed general semiempirical models to relate

VI to LAI and VI to P. The sensitivity analysis of

these relations was performed using an easily un-

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