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Temporal generalization of sub-pixel

vegetation mapping with multiple
machine learning and atmospheric
correction algorithms
a a a
Haitao Wang , Yang Shao & Lisa M. Kennedy
a
Department of Geography Virginia Tech, Blacksburg, VA 24061,
USA
Published online: 22 Oct 2014.

To cite this article: Haitao Wang, Yang Shao & Lisa M. Kennedy (2014) Temporal generalization
of sub-pixel vegetation mapping with multiple machine learning and atmospheric
correction algorithms, International Journal of Remote Sensing, 35:20, 7118-7135, DOI:
10.1080/01431161.2014.965288

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 International Journal of Remote Sensing, 2014
Vol. 35, No. 20, 7118–7135, http://dx.doi.org/10.1080/01431161.2014.965288

Temporal generalization of sub-pixel vegetation mapping with multiple

machine learning and atmospheric correction algorithms
Haitao Wang, Yang Shao*, and Lisa M. Kennedy

Department of Geography Virginia Tech, Blacksburg, VA 24061, USA

Downloaded by [Virginia Tech Libraries], [Haitao Wang] at 15:59 25 October 2014

(Received 1 June 2014; accepted 9 August 2014)

Temporal generalization allows a trained classification algorithm to be applied to

multiple images across time to derive reliable classification map products. It is a
challenging remote-sensing research topic since the results are dependent on the
selection of atmospheric correction methods, classification algorithms, validation pro-
cesses, and their varying combinations. This study examined the temporal general-
ization of sub-pixel vegetation mapping using multiple Landsat images (1990, 1996,
2004, and 2010). All Landsat images were processed with two atmospheric correction
methods: simple dark object subtraction (DOS) and the Landsat Ecosystem
Disturbance Adaptive Processing System (LEDAPS) algorithm. For the sub-pixel
vegetation mapping of the 2004 Landsat image, we used high-resolution OrbView-3
images as a training/validation data set and compared three machine learning algo-
rithms (neural networks, random forests, and classification and regression trees) for
their classification performance. The trained classifiers were then applied to other
Landsat images (1990, 1996, and 2010) to derive sub-pixel vegetation map products.
For the 2004 Landsat image classification, cross-validation shows similar classification
results for neural networks (root mean square error (RMSE) = 0.099) and random
forests (RMSE = 0.100) algorithms, and both are better than classification and regres-
sion trees (RMSE = 0.123). Pseudo-invariant pixels between 2004 and 2010 were used
as validation points to evaluate the temporal generalizability of classification algo-
rithms. Simple DOS and LEDAPS atmospheric correction resulted in similar accuracy
statistics. The neural-network-based classifier performed best in generating reliable
sub-pixel vegetation map products across time.

1. Introduction
Remote sensing has long been used to characterize urbanization (e.g. Masek, Lindsay, and
Goward 2000; Weng 2001; Yuan et al. 2005) and revegetation (e.g. Richards 1984;
Runnström 2003) at local and regional scales. Urban land-cover mapping is challenging
because land-cover types and spatial structures in urban settings are complex and highly
dynamic. For example, vegetation and impervious surfaces are often mixed, particularly
when observed with medium-spatial-resolution (e.g. Landsat, 30 m) remote-sensing data
(Ridd 1995; Song 2005). The use of traditional per-pixel classification for vegetation/
impervious surface characterization thus can be problematic. Many researchers have applied
linear spectral mixture analysis (SMA) to estimate sub-pixel land-cover fraction for urban/
suburban areas (e.g. Smith et al. 1990; Elmore et al. 2000; Phinn et al. 2002; Powell et al.
2007). The sub-pixel vegetation–impervious surface–soil (VIS) model has been intensively
used to characterize biophysical composition of urban environments (Ridd 1995; Wu and
Murray 2003; Lu and Weng 2004). One of the main challenges for VIS models is the

*Corresponding author. Email: yshao@vt.edu

© 2014 Taylor & Francis

 International Journal of Remote Sensing 7119

spectral confusion between impervious cover and bare soil, and many researchers have
addressed uncertainties associated with impervious surfaces and bare agricultural lands (e.g.
Ridd 1995; Small 2003; Wu and Murray 2003; Small and Lu 2006). An alternate approach
is to focus on sub-pixel vegetation cover mapping only and use vegetation dynamics as a
surrogate to study urban change (Small and Lu 2006). This approach is appealing since
there is a high inverse relationship between vegetation and impervious surfaces and
vegetation surface could be mapped with a relatively higher accuracy.
More recently, machine learning algorithms have become increasingly popular in sub-
pixel mapping. These approaches typically use high-resolution imagery (e.g. QuickBird,
aerial photography) to build proportional sub-pixel vegetation cover for training data, then
apply machine learning algorithms to establish relationships between Landsat signals and
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vegetation surfaces. The most commonly used machine learning algorithms for sub-pixel
mapping include artificial neural networks (Shao and Lunetta 2011; Shao, Taff, and Walsh
2011), regression trees (Yang et al. 2003), random forests (Walton 2008; Gessner et al. 2013),
and support vector machines (Brown, Gunn, and Lewis 1999; Esch et al. 2009). For example,
the 30-m resolution percentage of tree canopy map, a part of the US National Land Cover
Database product, was developed using a regression tree algorithm (Homer et al. 2004). For a
given sub-pixel mapping task, the choice of specific machine learning algorithm is largely
dependent on a user’s preference and knowledge. To obtain optimal sub-pixel map products,
multiple machine learning algorithms often need to be implemented and compared for best
generalization performance (e.g. Shao and Lunetta 2012).
For fast-changing urban/suburban areas, an image temporal frequency of approxi-
mately 3–5 years may be used to adequately capture vegetation dynamics (Lunetta et al.
2004). However, sub-pixel mapping of multiple Landsat images across time has not been
routinely implemented. One of the main reasons includes lack of training/validation data
(e.g. high-resolution aerial photographs) for multiple time periods. A potential solution is
to develop a sub-pixel classification algorithm that could be generalized across time. For
example, an image classification algorithm developed for year i could be directly applied
to year j to obtain a land-cover map. In per-pixel classification, temporal generalization is
always an intriguing (but challenging) topic since it allows monitoring land cover at
frequent time intervals without using the traditional ‘image-by-image’ analytical approach
(Pax-Lenney et al. 2001; Woodcock et al. 2001). With free access to the entire Landsat
archive, temporal generalization of classification algorithms will become even more
valuable for operational land-cover mapping and monitoring (Hansen and Loveland
2012). To date, few studies have thoroughly examined the temporal generalization
potential for selected sub-pixel mapping algorithms.
Atmospheric correction or image normalization plays a critical role for the purpose of
temporal generalization since consistent radiometric measurement levels are required
across time (Pax-Lenney et al. 2001; Song et al. 2001; Woodcock et al. 2001). For
Landsat data, advanced atmospheric correction algorithms have been integrated by the
Landsat Ecosystem Disturbance Adaptive Processing System (LEDAPS) (Vermote and
Saleous 2007) to provide ready-to-use surface reflectance images. LEDAPS uses dense
vegetation targets as dart objects within a given Landsat scene to extract aerosol optical
thickness as input to the 6S radiative transfer model correction (Masek et al. 2006).
Atmospheric conditions such as ozone and water vapour are also considered in the radiative
transfer model. LEDAPS surface reflectance products are now increasingly used and show
high potential for large area mapping and change detection applications (e.g. Masek et al.
2008; Hansen and Loveland 2012).
 7120 H. Wang et al.

The impact of LEDAPS products on sub-pixel vegetation mapping, however, has not
been evaluated, especially for arid and semi-arid regions where vegetation canopies are
sparse and an automated atmospheric correction algorithm may not be robust. In areas
where LEDAPS surface reflectance products do not provide consistent temporal general-
ization of sub-pixel mapping, additional atmospheric correction methods may be needed.
Furthermore, the validation of sub-pixel vegetation mapping products for multiple years
presents a significant challenge, especially for study areas where historical aerial photo-
graph coverage is unavailable. Even with historical aerial photographs, it is often time-
consuming and expensive to generate reliable vegetation maps as reference for validation
(e.g. Yang et al. 2003). An alternate approach clearly warrants exploration.
The overall goal of this study was to examine temporal generalization of sub-pixel
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vegetation mapping with multiple atmospheric correction and machine learning algo-
rithms. We examined two atmospheric correction methods (dark object subtraction
(DOS) and LEDAPS algorithm), three machine learning algorithms (random forests,
neural networks, and classification and regression trees), and their varying combinations
for sub-pixel vegetation mapping across time. These analytical strategies are potentially
important to researchers attempting to monitor vegetation dynamics using a rich archive
of Landsat imagery. We used Zhongwei, northwest China, as an experiment site to test the
accuracy of sub-pixel vegetation mapping methods. Zhongwei is representative of small-
and medium-sized cities in the semi-arid region of northwest China where urban expan-
sion and revegetation processes interact to shape landscape patterns and functions.

2. Study area
Zhongwei City is located in Ningxia Hui Autonomous Region (Ningxia), northwestern
China (Figure 1). The city lies at the edge of an oasis and abuts the southeastern frontier
of the Tengger Desert, the fourth largest desert in China. The Yellow River traverses the
irrigated plain of the city and provides a critical water source for agriculture production.
Zhongwei City was a linchpin of the Silk Road in ancient times. Now it is a hub of
national transportation networks. For example, Lanzhou–Baotou Railway, the nation’s
first desert railway, passes through the city. Zhongwei covers a total area of 16,986 km2.
Over 90% of areas are mountains, loess hilly region, and desert (Wu 2013). Centuries of
overgrazing and forest destruction have caused severe land degradation in this area. In
recent decades, many rehabilitation projects have been implemented in the periphery of
city to restrain ecological degradation (Feng, Fan, and Lu 1998; Wang et al. 2007).
Our study focused on the city municipal district. During the study period, the
population of Zhongwei increased from 289,527 to 335,374 between 1990 and 2000
and to 383,014 by 2012 (Statistical Bureau of Ningxia 2012).

3. Data
We searched Landsat archives including USGS GLOVIS (http://glovis.usgs.gov/) and
EarthExplorer (http://earthexplorer.usgs.gov) for cloud-free images. Four Landsat 5 TM
images (1990, 1996, 2004, and 2010; path 130, row 34) were obtained. The images were
acquired 6–8 years apart (due to availability) over the 20-year period. All images were
acquired in summer (late June to early August), thus phenological variations among the
four images are small for our study area. For each Landsat scene, we created an image
subset (1036 km2) to cover the urban core and its surrounding deserts. All the images
were registered to the 2004 master image through image-to-image registration.
 International Journal of Remote Sensing 7121

104° 30′ E 105° 0′ E 105° 30′ E

37° 30′ N
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Zhongwei City
Study Area
Yellow River

0 5 10 20

km

Figure 1. Zhongwei City (study area) in northwestern China. A Landsat 5 image is used as the
background in the top panel.

We obtained two high-spatial resolution OrbView-3 satellite images from the USGS
EROS Data Center. One OrbView-3 multispectral image was acquired on 20 June 2004 at
4 m spatial resolution. It has four spectral bands (visible and infrared) that are of
comparable spectral resolution to Landsat imagery (OrbImage, Inc. 2005). The other
panchromatic image was acquired on 4 March 2004 at 1 m spatial resolution. The spatial
extents of the multispectral and panchromatic images are approximately 8 km × 25 km
and 8 km × 35 km, respectively. The coverages of these two images run through
Zhongwei City from north to south and overlap at the urban core area (Figure 2). Both
images are high quality and cloud-free.

4. Methods
4.1. Atmospheric correction and LEDAPS surface reflectance products
For image classification involving algorithm generalization across time, atmospheric
correction is required to normalize radiometric measures for images acquired from
different years (Song et al. 2001). A number of atmospheric correction procedures have
been developed: DOS approaches (Chavez 1996), the histogram matching using pseudo-
 7122 H. Wang et al.
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Figure 2. (a) Overlapping spatial regions of the study area and OrbView-3 images, (b) a spatial
subset of the Landsat image, (c) OrbView-3 multispectral image, and (d) OrbView-3 panchromatic
image.

invariant features (Collins and Woodcock 1996), the linear regression or Ridge method
(Song et al. 2001), and advanced radiative transfer model corrections (Gemmell, Varjo,
and Strandstrom 2001).
In per-pixel image classification and change detection studies, Song et al. (2001)
found that simple atmospheric correction methods such as DOS outperformed more
advanced atmospheric correction algorithms (e.g. radiative transfer corrections). Similar
results have also been reported by other researchers (e.g. Gemmell, Varjo, and
Strandstrom 2001; Pax-Lenney et al. 2001). The main argument is that the success of
classification generalization depends on an equivalence of radiometric measurement levels
among time-series remote-sensing data, rather than correction to standard reflectance units
for each image.
Based on these previous findings, we implemented a simple DOS correction method
to normalize Landsat radiometric measurements across time. Song et al. (2001) summar-
ized four specific DOS approaches involving different assumptions of atmospheric trans-
mittance and diffuse irradiance. We followed their DOS1 approach (Equation (1)) to
retrieve surface reflectance (ρ) (Moran et al. 1992; Song et al. 2001):


π Lsat  Lp
ρ¼ ; (1)
ðE0 cosðθz ÞÞ

where Lsat is the at-satellite radiance, Lp is the path radiance, E0 is the exoatmospheric
solar constant, and θz is the solar zenith angle. DOS1 assumes no atmospheric transmit-
tance loss and no downwelling diffuse irradiance at the surface. Path radiance (Lp) was
estimated using a minimum digital number (DN with at least 1000 pixels) for each image
 International Journal of Remote Sensing 7123

(Teillet and Fedosejevs 1995; Chavez 1996). DOS1 corrections were applied to all four
Landsat images.
In addition to the simple DOS1 approach, we also evaluated LEDAPS-derived surface
reflectance values for sub-pixel vegetation mapping and temporal generalization.
LEDAPS is considered a state-of-the-art atmospheric correction method that is already
operational for Landsat 5 and 7 data (Masek et al. 2006). We downloaded LEDAPS-
derived surface reflectance images for 2004 and 2010 from USGS EarthExplorer. The
other two images were not available in LEDAPS-corrected form, thus we locally imple-
mented the LEDAPS code to derive surface reflectance values.
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4.2. High-resolution reference image for sub-pixel vegetation mapping

The OrbView-3 multispectral image was co-registered with the 2004 Landsat image. We
conducted a maximum likelihood image classification for the Orbview-3 multispectral
image. Initial image classification included eight classes: dry land vegetation, paddy land
vegetation, high albedo impervious surface, low albedo impervious surface, high turbidity
water, low turbidity water, desert, and barren soil. These preliminary classes were grouped
into two broad categories: vegetation and non-vegetation. The vegetation class included
dry land vegetation and paddy land vegetation. The non-vegetation class included all the
remaining classes (Table 1).
Using a stratified random sampling approach, we selected 800 pixels for accuracy
assessment of the OrbView-3 image classification. We visually interpreted these 800
points using the OrbView-3 panchromatic and multispectral images as reference.
A classification error matrix and kappa statistics (Congalton 1991) were generated to
report the image classification accuracy. The resultant vegetation cover map (4 m
spatial resolution) from OrbView-3 classification was rescaled to 30 m grid to spatially
match the Landsat pixel resolution. Vegetation proportions were calculated for each 30
m grid. This proportional vegetation map allowed us to generate a large number of
training data points (209,862) for sub-pixel vegetation mapping using Landsat data.

4.3. Sub-pixel mapping using the 2004 Landsat image

The initial sub-pixel model was developed using 2004 Landsat surface reflectance values
as input. Vegetation proportions derived from the 2004 OrbView-3 image were used as the
target variable. We adopted a random sampling strategy to generate training and validation
data points. Sub-pixel vegetation models were developed using the caret (classification

Table 1. Classification scheme for OrbView-3 high-resolution image.

Category Classes Description

Vegetation cover Dry land vegetation Cropland, woodland, shrubs, etc.

Paddy land vegetation
Non-vegetation High albedo impervious
cover surface
Low albedo impervious surface
High turbidity water
Low turbidity water
Desert
Barren
Vegetated flooded field, rice land
Built-up area in urban centre, industrial area
Rural built-up area
Yellow River
Lakes, reservoirs, ponds
Desert
Bare mountains, unutilized bare land
 7124 H. Wang et al.

and regression training) package in R (Kuhn 2008). The caret package incorporated
numerous machine learning algorithms such as random Forests (RF), Classification and
Regression Trees (CART), Neural Networks (NN), and Support Vector Machines (SVM).
Data preparation, parameter adjusting, and model training processes are streamlined and
easy to use. We selected RF, CART, and NN for our sub-pixel mapping task due to their
popularity in the remote-sensing research community. For each algorithm, caret automa-
tically adjusts multiple tuning parameters in searching for optimal prediction. For exam-
ple, using RF, the number of classification trees (e.g. ntree = 500, 1000, and 1500) and the
number of random split variables used in each node (e.g. mtry = 2, 3, and 5) need to be
adjusted. Cross-validation is used to select the best set of parameters for final prediction.
To evaluate the impacts of training sample size on the classification performance, we
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generated a number of training data sets with varying sample sizes: 100, 200, 400, 600, 800,
1000, 2000, 3000, 4000, and 5000. At each sample size, 20 repeated samplings were
conducted to evaluate the variability. For each data set, a fivefold cross-validation was used
for model training and validation. The accuracies of sub-pixel models were assessed using a
root mean square error (RMSE) statistical measure. RMSE is calculated as Equation (2):

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn 2
i¼1 ðEi  Ai Þ
RMSE ¼ ; (2)
n

where Ei is the predicted vegetation proportion from the RF model, Ai is the actual
vegetation proportion from the reference vegetation map generated from the OrbView-3
image, and n is the number of sample points used for validation. The accuracy levels of
caret models were compared against training/validation sample sizes.

4.4. Temporal generalization of sub-pixel mapping algorithm

The best sub-pixel models obtained for the 2004 Landsat image classification were
directly used to classify all other Landsat images from 1990, 1996, and 2010. It should
be noted that we have two sets of atmospherically corrected data: DOS1 and LEDAPS
surface reflectance products. Therefore, sub-pixel model training, validation, and temporal
generalization processes were conducted for each data set.
The performance of temporal generalization was assessed using pseudo-invariant
pixels from 2004 to 2010. Supported by Google Earth imagery and local knowledge,
we visually identified 180 pseudo-invariant pixels where no significant land-cover change
occurred during 2004 to 2010. The stability of each selected pixel was confirmed by using
Google Earth. Pseudo-invariant areas included non-vegetated to fully vegetated area:
desert, bare mountain, the Yellow River, core urban area (e.g. older/stable residential
blocks), and dry land vegetation. These pseudo-invariant pixels served as our validation
data points for the 2010 sub-pixel vegetation mapping. For these pseudo-invariant pixels,
we compared proportional vegetation cover predicted for the 2004 and 2010 images.
Consistent vegetation fractions between 2004 and 2010 were expected for these pseudo-
invariant pixels. This comparison allowed us to evaluate how different atmospheric
correction methods (DOS1 and LEDAPS), machine learning algorithms, and their varying
combinations affect sub-pixel classification performance with respect to temporal
generalization.
 International Journal of Remote Sensing 7125

4.5. Vegetation dynamics

Based on the sub-pixel mapping products derived for 1990, 1996, 2004, and 2010, we
examined vegetation dynamics for Zhongwei City. The image differences between every
two vegetation fractional maps provided percentage vegetation change per pixel. To better
quantify the spatiotemporal patterns of vegetation changes for the city, we developed an
arbitrary mask for specifying the city boundary at the beginning of our study period
(1990). We used the 1990 vegetation map rather than using an administrative boundary to
develop the city mask. It comprises the city area within the periphery of vegetation cover,
excluding major water bodies (Yellow River). This vegetation mask represented the initial
condition of vegetation cover and the initial extent of human habitat during our study
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period. The patterns of vegetation changes inside/outside of the city boundary were
quantified separately for different time periods.

5. Results
The accuracy of OrbView-3 image classification can have large impacts on the development
of a 30 m vegetation proportional map and subsequent sub-pixel vegetation mapping using
Landsat images. Per-pixel (4 m spatial resolution) classification of an Orbview-3 image needs
to have sufficient accuracy to represent the vegetation distribution. The overall accuracy of
classification is about 71%, and Cohen’s kappa is 0.67 (Table 2), suggesting moderate
classification accuracy. Among all eight land-cover classes, the high turbidity water surface
(the Yellow River) has the highest accuracy (99%). Meanwhile, there were strong spectral
confusions between desert, barren, and urban surfaces, as reflected by the column data and
producer’s accuracy of the desert (61%), barren (59%), and low albedo impervious surface
(43%) categories. The low albedo impervious surface category also has very low user’s
accuracy (30%). Among the 100 randomly selected low albedo impervious surface pixels,
only 30 pixels were correctly labelled. Another 30 and 32 pixels actually belong to the desert
and barren class, respectively. These spectral confusions indicate a potential challenge in
extracting urban impervious surfaces.
When the eight land-cover classes were grouped into two broad cover types (vegetation
and non-vegetation), the overall accuracy increased to 93.8% (kappa = 0.84). The producer’s
and user’s accuracies for vegetation cover were 81.0% and 98.8%. This level of accuracy was
sufficient to generate a proportional vegetation map at a coarser spatial scale (i.e. 30 m) to
serve as training and validation data for Landsat-based sub-pixel vegetation mapping.

5.1. Sub-pixel mapping using 2004 Landsat data

For sub-pixel mapping using the 2004 Landsat surface reflectance image (DOS1-based),
Figure 3 illustrates the general relationship between the training sample size and classi-
fication performance for three machine learning algorithms (NN, RF, and CART). For
each sample size, we repeated the random data selection 20 times and recorded the mean
of RMSE for comparison. For all three sub-pixel mapping algorithms, the average RMSE
value decreased when the training sample size increased from 100 to 5000. For example,
RMSE values were 0.158, 0.136, and 0.152 for NN, RF, and CART when 100 training
data points were used. At 5000 training data points, the RMSE values decreased to 0.099,
0.100, and 0.123, respectively. The NN algorithm achieved the best overall performance
beyond a training sample size of 3000; however, the difference between NN and RF was
small (RMSE difference = 0.001) and might not be important in practice. We note both
 Downloaded by [Virginia Tech Libraries], [Haitao Wang] at 15:59 25 October 2014

7126

Table 2. Classification accuracy of OrbView-3 image.

Reference

High Low High albedo Low albedo

turbidity turbidity Dry land Paddy land impervious impervious User’s
water water vegetation vegetation Desert Barren surface surface Total accuracy

Classification High turbidity 99 0 0 0 0 0 1 0 100 99

map water
Low turbidity 3 53 6 29 0 0 0 9 100 53
water
Dry land 0 0 90 10 0 0 0 0 100 90
vegetation
Paddy land 0 0 17 79 1 1 0 2 100 79
vegetation
Desert 0 0 2 0 93 3 1 1 100 93
Barren 0 0 0 1 10 68 4 17 100 68
H. Wang et al.

High albedo 1 0 0 1 19 12 56 11 100 56

impervious
surface
Low albedo 0 0 6 1 30 32 1 30 100 30
impervious
surface
Total 103 53 121 121 153 116 63 70 800
Producer’s 96 100 74 65 61 59 89 43 Overall accuracy
accuracy 71.0%

Note: Cohen’s kappa = 0.67.

 International Journal of Remote Sensing 7127
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Figure 3. Classification accuracies for three sub-pixel mapping algorithms. RMSE values are
compared at a range of training data sample sizes. RMSE unit is per cent in decimal form.

NN and RF outperformed the CART algorithm at almost all training sample sizes.
Between the NN and RF algorithms, it appeared that RF performed better when relatively
small numbers of training sample points were used (e.g. <600).
In a comparison of the fractional vegetation map generated from Orbview-3 and the
Landsat image, scatterplots were generated for 30 m (Figure 4(a)) and 90 m (Figure 4(b))
spatial resolutions. We focused on the vegetation fraction map derived from the NN
algorithm since it provided the best overall performance. A large degree of scatter of the
data points is apparent at 30 m pixel comparison. If the Orbview-3 derived fractional
vegetation map is considered as the true vegetation distribution at the ground, the Landsat-
estimated sub-pixel vegetation map may contain as much as ±30% error for pixels with
intermediate level (e.g. 50%) of vegetation fractions, although the overall accuracy
(RMSE = 0.099) is still acceptable due to good classification performance for many
pixels with extremely high/low (e.g. 100% or 0%) vegetation cover. One possible reason
for the large uncertainty is the possible error of co-registration and the direct comparison
at 30 m spatial resolution would then not be recommended (Song 2005). When the
fractional vegetation maps were aggregated and compared at 90 m spatial resolution,
the level of point scattering was largely reduced and the RMSE value decreased to 0.051.
We note that the scatter plots fall in the vicinity of a 1:1 line, which is appealing for
unbiased estimation of total vegetation area for the study region.

5.2. Temporal generalization of sub-pixel vegetation mapping

For all three classification algorithms, sub-pixel classifiers with the highest cross-valida-
tion accuracy were applied to the 1990, 1996, and 2010 images to generate corresponding
sub-pixel vegetation cover maps. A total number of 180 pseudo-invariant pixels repre-
senting major land cover and land use in the study area were used for accuracy assessment
 7128 H. Wang et al.
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Figure 4. Accuracy assessment of NN classification (2004) using OrbView-3 image (vegetation

fraction) as reference. Vegetation fraction estimates were compared at 30 m (a) and 90 m (b) spatial
resolution.

of the 2010 image classification. The NN sub-pixel classifier, combined with LEDAPS
atmospheric correction, resulted in the lowest RMSE value (0.093) (Figure 5). The NN
classifier combined with DOS1 approach achieved similar accuracy level (RMSE = 0.096;
R2 = 0.94). The scatter plot and intercept of the regression line suggested that LEDAPS-
based atmospheric correction may lead to slight overestimation of sub-pixel vegetation
proportions, especially for areas with lower (i.e. <20%) vegetation fraction. Overall,
accuracy statistics and scatter plots indicated consistent predictions of vegetation fractions
for these invariant pixels, suggesting a very good generalizability of NN sub-pixel
classification algorithm across time.
The RF algorithm showed acceptable but relatively worse generalization performance
compared to the NN algorithm. Relatively larger point scattering leads to higher RMSE
values (~0.120) for both DOS1 and LEDAPS atmospherically corrected data. R2 values
(~0.90) were also lower than the values obtained from the NN classifier (~0.94). Similar
to the NN classifier, LEDAPS-based atmospheric correction resulted in more overestima-
tion of vegetation cover compared to the simple DOS1 approach. A visual interpretation
of the resultant vegetation maps and summary statistics confirmed this finding. For the
2010 sub-pixel vegetation maps, the total vegetation area derived from LEDAPS products
was about 7% higher than DOS1-based map product.
CART performed worst in terms of temporal generalization. RMSE values were 0.152 and
0.193 for DOS1 and LEDAPS atmospherically corrected images, respectively. Corresponding
R2 values decreased to 0.87 and 0.77. The scatter plots, accuracy statistics, and regression lines
suggested that CART did not generate accurate vegetation map products across time, thus
cross-time comparison of vegetation coverage could lead to unreliable results.

5.3. Vegetation dynamics from 1990 to 2010

Sub-pixel vegetation map products from the NN classifier were used to analyse vegetation
dynamics (Figure 6). In 1990, vegetation cover was dense and cohesively distributed
within the irrigated plain as large interconnected field patches. Vegetation distribution at
 International Journal of Remote Sensing 7129
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Figure 5. Comparison (2004 vs. 2010) of vegetation fraction for pseudo-invariant pixels: (a)
DOS1 atmospheric correction combined with NN algorithm, (b) DOS1 atmospheric correction
combined with RF algorithm, (c) DOS1 atmospheric correction combined with CART algorithm,
(d) LEDAPS atmospheric correction combined with NN algorithm, (e) LEDAPS atmospheric
correction combined with RF algorithm, and (f) LEDAPS atmospheric correction combined with
CART algorithm. The solid line and dash line represent 1:1 and regression line, respectively.

this time provided a clear boundary differentiating urban/human settlement and deserts.
We applied a threshold value (e.g. >50% vegetation cover per pixel) to the 1990 vegeta-
tion map to generate an arbitrary urban/human settlement boundary (Figure 7). The
vegetation changes within and beyond the boundary resulted from two different human
activities: urbanization and revegetation.
For each sub-pixel vegetation map, we summarized vegetation cover fractions for
areas inside and outside the boundary and assessed trends of vegetation change patterns.
Within the urban boundary, vegetation cover decreased over the study period (1990–2010)
by 15.3% (217.15 km2 in 1990 and 183.83 km2 in 2010) (Table 3). Outside the boundary,
vegetation cover increased by 78.5% (45.61 km2 in 1990 and 81.43 km2 in 2010) over the
same period. The revegetation process outside the city mainly started in the mid-1990s.
From 1990 to 1996, 16.75 km2 of barren desert was converted into vegetation cover
around the city fringe. From 2004 to 2010, an area of 16.93 km2 was revegetated, mostly
in the northwestern industrial zone of the city.
While the changes in land cover varied spatially over the study period, the total
vegetated areas in the entire study region increased initially (1990–1996), and then
slightly decreased from 1996 to 2010. We derived three maps illustrating vegetation
cover change for three time periods (1990–1996, 1996–2004, and 2004–2010) at sub-
pixel level. The contrasting colors indicate vegetation increase/decrease within each time
period (Figure 8). Within the city boundary, the trajectory of vegetation change shows a
clear tendency of urban development. The most dramatic vegetation change occurred
 7130 H. Wang et al.
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Figure 6. Predicted vegetation fraction for 1990, 1996, 2004, and 2010 Landsat images.

during the period 2004–2010, with northward urban expansion toward the Yellow River
and the emergence of new road networks across the city and along the Yellow River.

6. Discussion
We observed some important advantages of the caret package for sub-pixel mapping or
remote-sensing image classification in general. The caret package provides easy access to
a large number of machine learning and statistical data analysis methods. More impor-
tantly, it streamlines data pre-processing, parameter adjusting, and model selection (Kuhn
2008). This provides an efficient implementation and comparison mechanism for multiple
sub-pixel mapping algorithms. Comparison of multiple mapping algorithms for a given
remote-sensing classification problem should be routinely conducted since there is no
universally optimal algorithm.
Among the three selected sub-pixel mapping algorithms, we found that both the NN
and RF algorithms performed better than CART for 2004 sub-pixel mapping. In per-pixel
applications, previous studies showed superior performance from NN if sufficient training
sample points are available (Shao and Lunetta 2012). The RF algorithm is now widely
used in the remote-sensing community due to its ease of use and good generalization
ability (Walton 2008). The superior performance of RF compared to CART was expected
since it takes an ensemble approach to reduce variance in learning (Breiman 2001).
 International Journal of Remote Sensing 7131
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Figure 7. Development of mask of initial city (vegetation) boundary for 1990.

Table 3. Statistics for vegetation coverage from 1990 to 2010.

Vegetation coverage (km2)

Year 1990 Year 1996 Year 2004 Year 2010

Overall 262.76 277.25 269.39 265.26

Inside city boundary 217.15 214.89 204.89 183.83
Outside city boundary 45.61 62.36 64.50 81.43

Figure 8. Change of sub-pixel vegetation fraction for three time periods. Areas in red suggest
increase of vegetation cover. Areas in blue indicate decrease of vegetation cover.
 7132 H. Wang et al.

For the NN and RF algorithms, a relatively small number (~3000) of training samples
were needed to achieve strong classification performance. For urban core and suburban
areas, vegetation and impervious cover are often mixed within the Landsat pixels. In the
urban–desert interface in Zhongwei City, revegetation programmes have been implemen-
ted, but newly developed vegetation cover (trees or artificial grasslands) could be sparse
and mixed with the desert background. We found fractional vegetation cover could be
estimated with high accuracy using the NN and RF algorithms even though it mixed with
different cover types (e.g. impervious surfaces and sand in desert).
The choice of specific sub-pixel classification algorithm appeared to be important for
temporal generalization. Combined with atmospheric correction methods such as DOS1
and LEDAPS, the NN algorithm showed impressive generalization capability across time.
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The CART algorithm, however, generated inconsistent sub-pixel vegetation fraction

estimates. The comparison of LEDAPS and DOS1 products did not show substantial
differences in sub-pixel vegetation mapping. LEDAPS is now operational for Landsat 5
and 7 data and users can download ready-to-use surface reflectance products. Although
the LEDAPS products have not been rigorously validated for varying land types and
locations (Masek et al. 2006), we found it to be sufficiently robust for our sub-pixel
mapping application in an arid and semi-arid urban setting. On the other hand, DOS1
atmospheric correction resulted in similar accuracy statistics compared to LEDAPS
products. However, this does not mean atmospheric correction is not important in
temporal generalization and radiometric normalization is still a key pre-processing step.
The generalizability across time is particularly useful since we could extend our
analytical approach to additional Landsat images (e.g. Landsat 8) and continue monitoring
vegetation dynamics in the future. This strategy would save significant time and effort in
obtaining additional high-resolution vegetation maps for training (Yang et al. 2003). In
addition, based on available Landsat images and use of appropriate atmospheric correction
techniques such as DOS, it might be feasible to apply the NN model developed in this
study to the nearby cities located in this arid region.
Finally, vegetation dynamics for Zhongwei City in the semi-arid region of northwest
China showed interesting land-cover change patterns over the last two decades. We found
a total increase of 35.82 km2 vegetation coverage at the city edge, but we also observed a
substantial decrease in arable lands that were converted to urban (33.32 km2). Thus, the
new revegetated surface areas in deserts were offset by the vegetation loss to development
in urban core and suburban areas. We note that vegetation-urban land change is intensive
and irreversible, while revegetation in desertified area could be expensive and may not
sustain in the long run (Cao 2008). A substitution of desert vegetation for fertile land
points to degradation (possibly severe) of vegetation cover. Cities in northwest China are
characterized by many constraints and problems. Many cities are experiencing urbaniza-
tion, vegetation degradation, and population growth (Schneider, Seto, and Webster 2005).
Our study suggests a regional-scale analysis is needed to measure the actual changes in
total vegetation cover through time.

7. Conclusion
We examined temporal generalization of sub-pixel vegetation mapping using multiple
machine learning (NN, RF, and CART) and atmospheric correction methods (DOS1 and
LEDAPS). We first used high-resolution OrbView-3 images to generate vegetation frac-
tions to support sub-pixel mapping of a 2004 Landsat image. Cross-validation resulted in
RMSE values of 0.099, 0.100, and 0.123 for NN, RF, and CART, respectively. The trained
 International Journal of Remote Sensing 7133

classifiers were then directly applied to Landsat images from 1990, 1996, and 2010 to
examine temporal generalizability. The NN algorithm, combined with simple DOS1 or
LEDAPS surface reflectance products, showed best generalization capability for sub-pixel
vegetation mapping. Predicted sub-pixel vegetation proportions were consistent for
pseudo-invariant pixels (RMSE ~ 0.093). The RF algorithm performed the second best
(RMSE ~ 0.120), while CART generated the worst temporal generalization results (e.g.
RMSE = 0.193 for LEDAPS products). Our overall results suggested that machine
learning algorithms, combined with appropriate atmospheric correction methods, have
high potential for temporal generalization of sub-pixel vegetation mapping in arid and
sub-arid urban environments.
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