Due to the optical reflectance,scattering and absorption of different substances,distinct optical properties of the surface reflectance have the great capabilities of extracting the information of the water quality parameters[
Journal of Infrared and Millimeter Waves, Volume. 41, Issue 1, 2021015(2022)
A neural networks based method for suspended sediment concentration retrieval from GF-5 hyperspectral images
The suspended sediment concentration (SSC) is an extremely important property for water monitoring. Since machine learning technology has been successfully applied in many domains, we combined the strengths of empirical algorithms and the artificial neural network (ANN) to further improve remote sensing retrieval results. In this study, the neural network calibrator (NNC) based on ANN was proposed to secondarily correct the empirical coarse results from empirical algorithms and generate fine results. A specialized regularization term has been employed in order to prevent overfitting problem in case of the small dataset. Based on the Gaofen-5 (GF-5) hyperspectral remote sensing data and the concurrently collected SSC field measurements in the Yangtze estuarine and coastal waters, we systematically investigated 4 empirical baseline models and evaluated the improvement of accuracy after the calibration of NNC. Two typical applications of NNC models consisting baseline model calibration and temporal calibration have been tested on each baseline models. In both applications, results showed that the calibrated D’Sa model is of highest accuracy. By employing the baseline model calibration, the root mean square error (RMSE) decreased from 0.1495 g/L to 0.1436 g/L, the mean absolute percentage error (MAPE) decreased from 0.7821 to 0.7580 and the coefficient of determination (R2) increased from 0.6805 to 0.6926. After implementation of the temporal calibration, MAPE decreased from 0.8657 to 0.7817 and R2 increased from 0.6688 to 0.7155. Finally, the entire GF-5 hyperspectral images on target date were processed using the NNC calibrated model with the highest accuracy. Our work provides a universal double calibration method to minimize the inherent errors of the baseline models and a moderate improvement of accuracy can be achieved.
Introduction
Due to the optical reflectance,scattering and absorption of different substances,distinct optical properties of the surface reflectance have the great capabilities of extracting the information of the water quality parameters[
The suspended sediment concentration(SSC)is an extremely important property for water monitoring,which is the consequence of aquatic degradation and soil erosion for deforestation and urbanization. The SSC is typically defined as the total concentration(g/L or mg/L)of both organic and inorganic matter suspended in the water because of the turbulence[
Recently,with the improvement of computational power and the development of machine learning technology,rather complex WQP retrieval problems can be solved. The artificial intelligence technology holds the advantage of retrieving different water parameters based on a single machine learning algorithm. Plenty of implementations of machine learning algorithms such as multilinear regression[
In recent years,many new satellites equipped with advanced imagers,which can obtain increasing spatial coverage,spectral resolution and spectral range,have been launched for general or specific purposes[
In this study,we systematically investigated the SSC retrieval in the Yangtze estuarine and coastal waters by implementing several empirical baseline models based on the GF-5 hyperspectral images and SSC field measurements collected simultaneously. A neural network calibrator(NNC)for double calibration was proposed to combine the advantages of ANN and the traditional empirical algorithms. This combination can compensate the inherent errors of the empirical models and reduce the data that ANN requires. In order to prevent the overfitting problem,an identity function was pretrained and a specialized regularization term was employed. Two typical applications of the NNC model including baseline model calibration and temporal calibration have been investigated based on 4 baseline algorithms. With the small size of dataset,a moderate improvement of accuracy has been achieved in both applications. Finally,the entire hyperspectral images on target date were processed using the algorithms with the highest accuracy to analyze the distribution of SSC and finish the reality check. This paper provides a universal secondary calibration method based on ANN to minimize the inherent errors of baseline models.
1 Materials and methods
1.1 Locations of SSC measurements
The Yangtze Estuary is selected as the area to investigate SSC retrieval algorithms. The Yangtze River,the longest river in Euro-Asian continent,rises in the Tibetan Plateau,flows generally 6300 km to the East China Sea and generates the Yangtze Estuary. The prosperous Yangtze Estuary,the geographically largest,most densely populated and industrialized area of China,plays an important role in geochemical cycles for a considerable amount of sediment suspended in the Yangtze River. The suspended sediment load per year from the Yangtze River reaches approximately 480 million tons and nearly 40% of the load is deposited in the Yangtze Estuary making it an extremely highly turbid region[
The Yangtze Estuary starts from Xuliujing and ends at the East China Sea,presenting a “three-order bifurcation and four outlets into the sea” pattern. The Yangtze Estuary is firstly divided by the Chongming Island and Hengsha Island into the North and the South Branch. Then the South Branch is secondly separated by Changxing Island and Hengsha Island into the North and South Channel. Finally,the South Channel is split into the North Passage and the South Passage by Jiuduansha wetland[
Figure 1.Locations of 14 SSC field measurements on March 27(blue),May 24(brown)and 31 October(black)2019 near the Yangtze estuarine and coastal waters. The stars and diamonds represent the field measurements collected by the buoy stations and ships,respectively
1.2 The GF-5 hyperspectral images
GF-5 satellite,launched on May 9 2018,denotes a polar-orbiting satellite of a series of China High-resolution Earth Observation System(CHEOS)satellites of the China National Space Administration,which has taken an AHSI designed and developed by Shanghai Institute of Technical Physics(SITP),Chinese Academy of Sciences[
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1.3 Hyperspectral image preprocessing
The space-borne hyperspectral images were preprocessed in ENVI software as follows:orthorectification,radiometric calibration,atmospheric correction,masking and water extraction[
1)Orthorectification
The GF-5 hyperspectral images contain the necessary information,i.e.,the Rational Polynomial Coefficients(RPCs),to complete the photogrammetric processing. The ENVI RPC Orthorectification tools use RPC information and a high-resolution digital elevation model(DEM)to create a geometrically corrected image.
2)Radiometric calibration
The conversion from the quantized DN of raw imagery into at-aperture radiance(
3)Atmospheric correction
The next step is atmospheric correction which removes or decreases the influence of the atmospheric scattering,absorption and reflection and translates the at-aperture radiance to the surface reflectance signature[
4)Masking and water extraction
Open water body can be identified via the Normalized Difference Water Index(NDWI)method,as in [
where Green and NIR represent the surface reflectance of green and near-infrared(NIR)bands,respectively. In our experiment,wavelengths of 895 and 565 nm were selected as the NIR and green bands respectively by observing and comparing the surface reflectance curves of water body with those of other terrain types.
1.4 Retrieval method
Based on the preprocessed AHSI data and field measurements,the entire procedures of the SSC retrieval are shown in
Figure 2.Flow diagram for the entire SSC retrieval process.
1.4.1 Baseline models
There are generally three approaches for quantitative remote sensing of WQPs:the empirical,analytical and semi-analytical approaches[
where A and B represent the fitting coefficients.
Nechad et al. presented that the single band model can provide a robust SSC retrieval accuracy for case II turbid waters based on appropriate band selection around 700 nm. The recommended linear form of this algorithm is as follows[
where Best Band denotes the band selected using exhaustive search method. In order to translate this algorithm from MERIS,MODIS and SeaWIFS sensors to GF-5 AHSI,we tested entire 48 bands from 600 - 900 nm to locate the Best Band.
Similar to the Nechad model,Ruhl et al. derived and tested a single band exponential algorithm measured in the very turbid San Francisco Bay,California[
In this research,the algorithm was built based on field measurements collected from 1994 to 1998 with SSC values ranging from 0 to over 400 mg/L. This algorithm obtained R2=0.59.
Considering the model developed by Loisel et al. in the highly turbid Mekong River Delta with SSC maximum values over 5000 mg/L,three bands(489,557 and 668 nm)are utilized here to adapt to the GF-5 AHSI[
where A,B and C are the fitting parameters.
1.4.2 Neural network calibrator
Our intuition of designing NNC is combining the complementary advantages between empirical models and ANN. Compared to empirical models which lack certain complex nonlinear features,NNC obtains the great capability of the ANN in extracting potential features and generating highly complex nonlinear functions. However,the ANN model requires a large dataset to prevent overfitting problem,which is hard to be satisfied in the field of remote sensing. In order to prevent the overfitting problem,the simple empirical models with just a few parameters can help ANN to reduce the required parameter number. By using transfer learning,our ANN is first trained to learn an identity function,aiming at learning the hypothesis of baseline models which require fewer parameters. Following this intuition,we proposed the NNC which takes the coarse results of baseline models as input and generate the calibrated fine results.
Usually,the ANN model consists of a collection of the connected neurons(or nodes)and corresponding weights assigned with links in the multilayer structure which typically includes an input layer,one or more hidden layers and an output layer. In this work,we aim to secondarily calibrate the baseline SSC results and generate more precise results. In detail,the input of ANN is one baseline retrieval result and the output takes the corresponding field measurement as the label. Thus,a classical three-layer feed forward network with one node in the input layer and one node in the output layer was employed to update each input to a better output. Further,the number of nodes in the hidden layer should be small in order to reduce network parameters and prevent the overfitting problem. In our experiment,a hidden layer containing 10 nodes was selected for the small size of parameters and enough nonlinear expression ability. Finally,a sigmoid function was added after the output layer for activation. Below,we formulate the general form of ANN. In the feed forward process of prediction,the node vector of the former layer is multiplied with corresponding network parameters,added to a bias and then activated by the sigmoid function to obtain the node vector of the latter layer,as follows:
where
The cost function(or loss)describes the error between the prediction values and the ground truth. The back propagation(BP)algorithm has been employed to iteratively minimize the cost function and complete the training process. Furthermore,we developed a distinct cost function with the purpose of optimizing the baseline model accuracy. The basic cost function is shown in
where N represents the number of training data,
where λ is the regularization hyperparameter controlling the degree of penalty,L is the layer number of the input and hidden layers,
A systematical investigation of two typical applications of NNC including baseline model calibration and temporal calibration has been presented. As for the baseline model calibration,aiming to compensate the inherent errors of the baseline models,the field measurements from 31 October 2019 were used both for fitting the baseline model and the secondary calibration of the NNC model. As for the temporal calibration,the purposes are the specialization of the parameterized historical model to adapt to the specific new field measurement data and the correction of inherent baseline errors. In this case,the baseline model was fitted as the historical model based on the in situ data from 27 March and 24 May 2019. Then,an extra linear calibration(LC)model was fitted to assign prediction results of the historical model to results on the specific date by using the data from 31 October 2019. Finally,the NNC model was trained based on the data from 31 October 2019 to secondarily calibrate the historical model to adapt to the specific date.
1.4.3 Statistical analysis
In order to gain better understanding of the various models,the accuracy for calibration and validation can be statistically evaluated by the three indices,root mean square error(RMSE),the mean absolute percentage error(MAPE)and the coefficient of determination(R2). RMSE and MAPE are defined as follows:
where N is the total number of samples,
where SSR is the sum of squares for regression,RSS is the residual sum of squares,SST is the total sum of squares and R2 is defined as the ratio of SSR to SST. R2 generally provides a replicated percent of the model for fitting the observation outcomes. With respect to the small size of in situ dataset,an improved k-fold cross validation method has been designed and implemented to precisely calculate 3 accuracy assessment parameters. The method can be described in three steps.
(1)The first step is to select a reasonable number of training data. Mention that the number should be greater than the free degree of baseline models and less than the total number of the dataset minus 3 to obtain the valid R2. Here the size of the training set is selected as 4.
(2)The next step is to find out all the possible situations via combination to pick training data from the total dataset and the number of situations here is
(3)After completing the division to different training and validation groups,each statistical parameter for validation of the groups can be calculated and the average is taken as the final evaluated accuracy.
It is indicated that every possible combination of the training and test data groups can account for the final average accuracy. However,due to fast growing rate of factorial function,this improved k-fold cross validation method can only be considered in the small size of dataset.
2 Results
2.1 Field measurements and spectral reflectance
In our research,field measurements of SSC have been collected concurrently to the GF-5 overpass based on the aforementioned method. The total 14 in situ SSC data measured on buoy stations and ships using drying and filtration process and optical backscattering method respectively was statistically analyzed in a line chart as shown in
Figure 3.Line chart of total in situ SSC data. The number 1~7,8~10,11~14 samples were measured on 31 October,24 May and 27 March 2019,separately. A separation line(purple)is plotted to highlight the water samples 1~7 used for the final retrieval. The blue to yellow colors of dots intuitively show the low to high SSC levels. The lines drew in blue and orange represent the origin SSC values of all 3 days and sorted SSC values of 31 October 2019,respectively
The preprocessed surface reflectance curves extracted in the highly likely estuarine spots of low,middle and high SSC values on each individual date are shown in
Figure 4.Spectra of the surface reflectance in the research region on 27 March
According to documented locations of the 7 water samples on 31 October 2019,the preprocessed surface reflectance curves of GF-5 images are shown in
Figure 5.The 7 examples of preprocessed surface reflectance spectra for different SSCs measured on 31 October 2019
2.2 Retrieval results of baseline model correction
In normal case that only in situ data on targeting date is available,NNC can be easily implemented to improve the accuracy of baseline models through compensating the inherent errors of the baseline models. By selecting the in situ data of 31 October 2019 as the whole dataset and using the improved k-fold cross validation method with 4 as the size of the training dataset,the SSC retrieval results of the baseline models and NNC are shown in the
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From the results,it is noticeable that the accuracy of the baseline model has been enhanced moderately for all RMSE,MAPE and R2 after the double calibration of NNC. Because of the high sensitivity of RMSE and MAPE in terms of the high and low SSC values respectively,the calibrated results perform better in both SSC ranges,which indicates the effectiveness of our proposed NNC method. The calibrated D’Sa model achieved the highest accuracy. After calibration,RMSE decreased from 0.1495 to 0.1436 g/L,MAPE decreased from 0.7821 to 0.7580 and R2 increased from 0.6805 to 0.6926. Besides,the highest improvement of accuracy was achieved by the Loisel model which had the worst performance in our limited dataset. After calibration,RMSE decreased by 19.2% from 0.4941 to 0.3993 g/L,MAPE decreased from 2.5812 to 2.1995 and R2 increased from 0.2914 to 0.3992.
In order to overcome the problem of overfitting,a wide range of hyperparameter λ in the regularization term has been employed to test the generalization ability of the NNC model and thus the optimum λ of the best generalization performance of NNC is selected. The dependence relationships of λ and corresponding RMSE,MAPE,R2 are displayed in the
Figure 6.The relationships between the regularization hyperparameter λ,RMSE,MAPE and R2 for D’Sa
Figure 7.The scatter diagrams
2.3 Retrieval results of temporal calibration
When the baseline models calibrated and validated based on extra historical data are available,the NNC model can be used to adjust the existing model to adapt to specific date with an extra LC step. Our intuitive of the temporal calibration is that adding extra historical information may generate better results. By selecting 4 as the size of the training set and using the improved k-fold cross-validation method,the application for temporal calibration was tested. The results of SSC retrieval based on historical baseline models are shown in
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Significant improvement of RMSE and R2 in most models can be obtained after the double calibration. Although the RMSE in D’Sa increases(from 0.1218 to 0.1352 g/L)after NNC in temporal calibration,the value decreases(from 0.1436 to 0.1352 g/L)compared to the result in baseline model calibration. The R2 in Loisel decreases(from 0.3685 to 0.3037),mainly because the great error after LC cannot be well calibrated by NNC. Specifically,the complex non-monotonic Loisel model leads to the overfitting problem in our small dataset and causes the great error after LC. Besides,the NNC only has limit calibration ability due to the small dataset and prevention of overfitting. Thus,a drop in R2 is observed in Loisel model. With a larger dataset,the NNC may achieve better results in temporal calibration. In terms of MAPE,the MAPE of most models decreases because the redistribution in the LC process may cause big relative errors when predicting small SSC values. Aiming at the visualization of the NNC model,the relationships of the predicted values and the field measurements for each baseline model have been plotted in
Figure 8.The scatter diagrams
2.4 AHSI image inversion based on NNC
From the inverse results of the two applications,the D’Sa model of the temporal calibration with the highest accuracy(RMSE=0.1352 g/L,MAPE=0.7817 and R2=0.7155)was selected for the SSC retrieval of the entire GF-5 images.
Figure 9.SSC retrieval results of the baseline model
3 Discussion
This study shows that the great learning capability of the ANN can be utilized to improve the accuracy in the SSC retrieval process. As mentioned above,moderate improvement can be observed,indicating the effectiveness of NNC. By employing the baseline model calibration,all three assessment parameters in four models obtain increment in precision. By employing the temporal calibration,RMSE and R2 in most models obtain better results,despite the increment in MAPE due to the simple LC process.
Generally,the ANN model requires substantial data to drive and even very complicated models can be extracted by the great learning and reasoning abilities of ANN. However,considering the limitation of the dataset size,there may be the risks of overfitting. Hence,in order to prevent the overfitting problem,several aforementioned methods have been designed and employed. First,our proposed NNC takes the advantage of the small size of parameters of the simple baseline models. By using transfer learning,our NNC is first trained to learn an identity function,which reduces the data size that ANN requires. Second,a regularization term is added in the loss function of ANN to test the generalization ability. Third,the best hyperparameter λ is selected to obtain the model with the best generalization performance. Fourth,the improved k-fold cross-validation method is used to obtain low-variance accuracy estimation results and avoid the high-variance risks due to the limited dataset. In addition,4 baseline models of different types and 3 accuracy assessment parameters were tested to ensure the reliability of our research.
4 Conclusion
This study shows that the great learning capability of the ANN can be utilized in the double calibration process to improve the accuracy of the SSC retrieval. In this paper,the proposed double calibration system is able to correct both linear and nonlinear errors of the baseline models based on ANN with a specialized regularization term. Our method obtained a moderate improvement of accuracy in both applications. For the two typical applications including baseline model calibration and temporal calibration,4 distinct baseline models and corresponding NNC models have been systematically investigated using the GF-5 AHSI images and the concurrently collected field measurements. The results show D’Sa model is of highest accuracy in both applications. By employing the baseline model calibration,RMSE decreased from 0.1495 g/L to 0.1436 g/L,MAPE decreased from 0.7821 to 0.7580 and R2 increased from 0.6805 to 0.6926,indicating NNC can compensate the inherent errors of the baseline models. After implementation of the temporal calibration,RMSE changed from 0.1218 g/L to 0.1352 g/L,MAPE decreased from 0.8657 to 0.7817 and R2 increased from 0.6688 to 0.7155,which means the information from the historical field measurements can be extracted by NNC and provide a better initial hypothesis which probably leads to better accuracy compared with the baseline model calibration. The shortcoming of this experiment is the lack of concurrent SSC field measurements. Due to the small dataset,the huge hyperparameter λ was selected to prevent overfitting,which limited the improvement of accuracy. Thus,on the basis of this experiment,the concurrent collection process will be optimized in the future study to obtain more data. Also,only empirical algorithms were tested in this paper. Therefore,the effect of utilization of NNC on different model types can be tested for the future research.
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Yi-Ming LIU, Lei ZHANG, Mei ZHOU, Jian LIANG, Yan WANG, Li SUN, Qing-Li LI. A neural networks based method for suspended sediment concentration retrieval from GF-5 hyperspectral images[J]. Journal of Infrared and Millimeter Waves, 2022, 41(1): 2021015
Category: Research Articles
Received: Jan. 18, 2021
Accepted: --
Published Online: Apr. 18, 2022
The Author Email: Qing-Li LI (qlli@cs.ecnu.edu.cn)