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Monitoring of soil moisture in the

south of Ukraine using active and
passive remote sensing data

Danylenko, Iuliia, Bohaienko, Vsevolod

Iuliia Danylenko, Vsevolod Bohaienko, "Monitoring of soil moisture in the

south of Ukraine using active and passive remote sensing data," Proc. SPIE
11528, Remote Sensing for Agriculture, Ecosystems, and Hydrology XXII,
1152807 (20 September 2020); doi: 10.1117/12.2571049

Event: SPIE Remote Sensing, 2020, Online Only

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 Monitoring of soil moisture in the South of Ukraine using active and
passive remote sensing data
Iuliia Danylenko*a, Vsevolod Bohaienkob
a
Institute of Water Problems and Land Reclamation of NAAS, 37 Vasylkivska str., Kyiv, Ukraine,
03022;
b
VM Glushkov Institute of Cybernetics of NAS of Ukraine, 40 Glushkov ave., Kyiv, Ukraine,
03187

ABSTRACT

The paper considers the application of artificial neural networks for drought monitoring using Sentinel-1 and Sentinel-2
satellites’ data in the South of Ukraine. From the data collected from several weather stations equipped with suction
pressure measuring Watermark sensors in 2017-2018, we formed 5 datasets containing suction pressure; NDVI and
NDWI values calculated using Sentinel-2 images; digital number values of co and cross-polarized radar data obtained
from the Sentinel-1 images. Four datasets were used to train a neural network, and the fifth one - for accuracy checking.
We used a multilayer perceptron neural network to detect the dependencies between suction pressure and normalized
values of spectral indices combined with radar data. The best accuracy within the training datasets was obtained for the
neural network with one neuron in one hidden layer and one neuron in the input layer with sigmoidal transfer function
(maximal relative error of 28.0% or 17 kPa in absolute values). Estimates for the testing dataset described the actual data
with an average relative error of 32.0%. The neural network better estimated lower levels of moisture content that is
essential while predicting soil droughts. We also compared the results of neural network assessment with several spectral
drought indices. As a proof of adequacy, for three images acquired in 2018, the estimates obtained by the neural network
correlated with ln(TVX) (temperature vegetation index) with R=0.44-0.62. The neural network approach with the use of
Sentinel imagery, however, allows evaluating soil moisture content with greater time resolution.
Keywords: drought monitoring, soil moisture; remote sensing; drought indices; artificial neural networks

1. INTRODUCTION
Determining moisture content in the root layer of soil is a prerequisite while solving many important agricultural
problems. Moisture content is one of state indicators of a complex stochastic process of water regime formation in the
system "soil-plant-water-air" that signals the threat of drought or overwetting, which leads to the loss of harvest.
Particularly, it relates to soil droughts, which have a significant negative impact on plants growth. The problem is
especially urgent in spring in the phases of crops ascent, planting, and rooting.
The most accurate methods of moisture content measuring are based on field data and include, in particular, thermostatic
weight measurement, tensiometric, and ultrasonic methods. Most of these methods measure either soil moisture content
itself, or suction pressure that can be transformed into moisture content using water retention curve of a soil. The results
of such measurements do not allow monitoring spatial distribution of moisture content in large areas that is needed for
drought monitoring. The monitoring of soils’ water regime and the development of droughts at the regional scale is only
possible through indirect methods, in particular, remote sensing.
Indirect estimation of moisture content in the root layer of a soil can be carried out using the data of passive remote
sensing based on the hypothesis that the volume of moisture available to plants correlates with their biomass under dry
conditions. Currently, studies on establishing such correlations between moisture content and vegetation indices [1, 2], in
particular the NDVI (Normalized Difference Vegetation Index) and the EVI (Enhanced Vegetation Index), are
widespread [3]. The plots of such dependencies differ for different types of vegetation cover and, in the case of open soil,
such approach is generally unsuitable. Its usage at the regional scale is complicated by the absence of the needed
dependencies for many types of vegetation and the lack of data on spectral reflection curves.

Remote Sensing for Agriculture, Ecosystems, and Hydrology XXII, edited by Christopher M. U. Neale,
Antonino Maltese, Proc. of SPIE Vol. 11528, 1152807 · © 2020 SPIE
CCC code: 0277-786X/20/$21 · doi: 10.1117/12.2571049

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 The means of active remote sensing permit to estimate soil moisture content due to its influence on soil dielectric
properties [4-7]. In this case, for the most commonly used frequency bands C and X (classification of the Institute of
Electrical and Electronics Engineers - IEEE), accuracy decreases with the increase of biomass. The biggest accuracy of
the estimation is achieved for open soil conditions and the essential factor that affects the accuracy of this method is
surface roughness. At the regional scale, the use of this approach requires less field measurements than the use of
vegetation indices, but moisture content is only determined in the upper layer of a soil of a rather small depth.
Recently, approaches to the assessment of soil moisture content, which combines the two above-mentioned methods,
gain popularity [6, 8-11]. The most widely used are artificial neural networks [11], the models of waves’ reflection from
the surface [9], and the change detection method [8]. These approaches reduce assessment complexity by minimizing the
needed amount of detailed study of vegetation type and by increasing the thickness of soil layer for which moisture
content is estimated.
An adequate amount of active remote sensing data for the European continent has become accessible with the launch of
Sentinel-1 satellites in 2014. Synthetic-aperture radars (SAR) of these satellites operate in the frequency bands C and X
and, correspondingly, these bands are mostly used in modern studies.
The use of remote sensing data requires calibration of the methods. For the conditions of Ukraine, such studies were not
carried out, although they are relevant given the increasing aridisation and gradual spatial displacement of the boundaries
of natural climatic zones. At present, studies on the remote sensing application for assessing the risk of droughts in
Ukraine were conducted mainly using vegetation indices [12,13], or a combination of field measurements of temperature
and vegetation indices [14].

2. INPUT DATA
Estimation of moisture content in the root layer of soil is carried out for the Kherson region of Ukraine. Sources of mois-
ture content data are the micro weather stations (Fig. 1) equipped with Watermark sensors that measure the suction pres-
sure.

Figure 1. Micro weather stations locations

Readings of sensors installed at the depth of 30-40 cm from the surface were used because it corresponds to the average
depth of the root layer of plants for many crops grown in the considered region. We also assume that hydro-physical
properties of soils within the region do not change dramatically. In the absence of generalizing studies, the conversion of
suction pressure data into moisture content was carried out using the van Genuchten-Mualem model with the values of
the coefficients (θ0=0.05, θ1=0.375, a=0.3, n=1.35) obtained for the black soils on the territory of the State Enterprise
Farm "Brilivske" that is also widespread in the South of Ukraine.

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 The values of suction pressure were averaged over the days for which both Sentinel-1 and Sentinel-2 images were avail -
able. The obtained datasets are described in Table 1. Each row of data in datasets corresponds to the specific point of
weather station’s location and consists of suction pressure, kPa; NDVI and NDWI values calculated using Sentinel-2 im-
ages; digital number values of co and cross-polarized radar data obtained from the Sentinel-1 images.
We used level-2A Sentinel-2 images that provide Top of Canopy reflectance data and GRD products of level-1 Sentinel-1
images. NDVI was calculated as NDVI=(b8a-b4)/(b8a+b4) and NDWI was calculated as NDWI=(b8a-b3)/(b8a+b3)
where b3,b4, and b8a are the bands of Sentinel-2 images.
Table 1. Datasets description
Dataset Number of Number and location of Period of time
data rows the station
1 56 1 (Brylivka) 4 May 2018 – 22 August 2018
2 56 2 (Skadovsk) 4 May 2018 – 22 August 2018
3 42 3 (Bilozerka) 8 May 2017 – 3 August 2017
4 28 3 (Bilozerka) 29 May 2018 – 9 August 2018
5 87 2 (Skadovsk) 3 April 2017 – 1 October 2017

Datasets 1-4 were used to train a neural network, set 5 - for accuracy checking.
To confirm the initial hypothesis, the data from all datasets were sorted by NDVI value. For each value of NDVI we con -
sider
 the coefficient of correlation R1 of Watermark sensors readings with NDVI for NDVI more than the given value;
 the coefficient of correlation R2 of the Watermark sensors readings with radar data in vv-polarization (vertical trans-
mit, vertical receive) for NDVI less than the given value (Fig. 2).
This reflects the hypothesis that, with substantial vegetation cover, soil moisture, at least in certain phases of plant devel -
opment, correlates with biomass. When there is a sufficient area of open soil, moisture content should influence the re -
flection of radar waves. Such an effect is observed for NDVI<0.47 (Fig. 2) when R1 is more than 0.45 and R2 is between
0.42 and 0.62.

0,9

0,8

0,7
Correlation coefficient

0,6

0,5
1
0,4 2

0,3

0,2

0,1

0
0,8 0,7 0,7 0,7 0,7 0,7 0,7 0,7 0,6 0,5 0,5 0,4 0,4 0,4 0,3 0,2
4 9 7 6 5 3 3 0 6 6 0 7 4 2 8 5
NDVI0

Figure 2 – Correlation of Watermark sensor readings with radar data in vv-polarization for NDVI≥NDVI0 (1) and with
NDVI for NDVI<NDVI0 (2)

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 3. EVALUATION OF SOIL MOISTURE CONTENT BY ARTIFICIAL NEURAL
NETWORK
Curves in Fig. 2 prove the expediency of a multilayer perceptron usage to detect and describe the dependencies between
suction pressure and the values of spectral indices combined with SAR data. For this purpose, we have developed a soft -
ware that is written in the Python language and uses the pylearn2 library. The inputs of neural network are NDVI and
NDWI values calculated using Sentinel-2 images along with digital number values of co and cross-polarized backscatter-
ing radar data obtained from the Sentinel-1 images. The output is suction pressure. As the topography of the area of in -
terest is mainly flat, we do not take into account local slopes.
We study the influence of neural network structure (number of layers and neurons in the layer) and types of neurons’
transfer functions on assessment accuracy. As a transfer function for hidden layers, the linear, the sigmoidal, the hyper -
bolic tangent (tanh), and the softmax functions were used. For the output neuron, we used the linear or the sigmoidal
function. The training algorithm was the Batch Gradient Descent with block size equal to the half of training dataset size.
Sum of squares of differences between the values in training dataset and output values of the neural network was con-
sidered as a performance metric during the training. We used an early stopping when the performance metric do not
change more than on 1% during 10 iterations. When using such a criterion, a maximum of 50 iterations were performed.
SAR data (which digital numbers values for the analysed images did not exceed 256) and Watermark sensors readings
(with the values more than 200 kPa corresponding to the almost dry soil according to the used soil retention curve) were
normalized dividing them by 256 to bring all processed values into a single range [-1,1]. This increases the convergence
rate of the neural network training algorithm.
A series of tests was conducted on the neural network with one neuron in one hidden layer and one neuron in the input
layer. The obtained average relative error within the training set for an input neuron with the sigmoidal function was
28.0%, whereas for a neuron with the linear transfer function it was equal to 29.5%. The average absolute errors of suc-
tion pressure estimation was equal in these cases to 17 and 18 kPa that is, regarding the used average soil retention curve,
acceptable for determining drought areas and periods.
The type of hidden layer neurons’ transfer function affects the convergence (the best was obtained for the linear function
and the function tanh), but not the accuracy of the estimates.
In the second test, we made the structure of a neural network more complex. The output neuron had the linear transfer
function, and the neurons of hidden layers had the softmax function. The following variants of structure were compared:
 one neuron in one hidden layer;
 two neurons in one hidden layer;
 two hidden layers with two neurons in each layer.
An increase in the number of neurons in one hidden layer gave a slight increase in the accuracy (average relative error
equal to 29.3%). The increase in the number of hidden layers worsens convergence (obtaining a stable solution required
execution of 75 iterations of the training algorithm), slightly reduced the overall average of sum of squares of differ -
ences, but slightly increased the average relative error (30.2%). Since there is no significant increase in accuracy when a
neural network becomes more complex, we further used a network with one neuron in one hidden layer.
In the third test, we study the influence of the reduction of the input variables set on assessment accuracy (Table 2).
Table 2 – Accuracy when different input variables subsets are used

Input variables subset Average sum of squares of Average relative error, %

differences
vv, vh, NDVI, NDWI 0.140 30%
vv, NDVI, NDWI 0.140 30%
vv, vh, NDVI 0.215 42%
vv, NDVI 0.220 43%

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 Reduction of the set of input variables, except for the rejection of radar data in vh-polarization (vertical transmit, hori -
zontal receive), lowers the accuracy, so further the subset {vv, NDVI, NDWI} was used.
For the verification of trained neural networks, we used the dataset 5 (station located in Skadovsk, 2017). Estimates for
the dataset 5 (one neuron in a hidden layer with the softmax transfer function, a sigmoidal output neuron) described the
actual data with an average relative error of 32.0%, which is insignificantly greater than the estimation error for the train -
ing dataset. The correlation between the simulated and measured data was low – R 2=0.14 versus 0.82 on the training
dataset. However, considering the correlation between the values of moisture content less than the given one, the correla -
tion decreased with the increase of moisture content. Thus, on the testing dataset, the neural network better estimated
lower levels of moisture content that is essential to predict soil droughts.
4. CORRELATIONS OF NEURAL NETWORK ASSESSMENTS OF SOIL MOISTURE
CONTENT WITH DROUGHT INDICES
The above-described results demonstrate the possibility for monitoring changes in soil moisture content and hence for
determining the periods when moisture content level is critical. Such monitoring can be performed on the base of the de-
pendencies between the moisture content of the surface layer of soil and the remote sensing data represented in the form
of a neural network.
We check the applicability of the proposed method comparing it with the spectral droughts indices [15] that provide a
similar opportunity. Given a little amount of available field observations, we use drought indices that use only remote
sensing data and combine information of different physical meaning. These indices, in particular, include the ones that
combine the estimates of surface temperature (which can be calculated from the thermal band of Landsat-8 images) and
biomass (NDVI):
1. temperature vegetation index [16]:
TVX=Ts/NDVI
where Ts is the surface temperature;
2. temperature vegetation dryness index [17]:
TVDI=(Ts-Tsmin)/(a+bNDVI-Tsmin)
where Tsmin is the minimal surface temperature in the considered area, Tsmax = a+bNDVI is the linear dependency between
the maximal surface temperature for the fixed NDVI and this NDVI value;
3. vegetation temperature condition index [18]:
VTCI=(a+bNDVI- Ts)/(a+bNDVI- a'-b'NDVI)
where a'+b'NDVI is the linear dependency between the minimal surface temperature for the fixed NDVI and this NDVI
value.
In order to calculate the values of these indices together with performing moisture content assessment according to the
considered method, it is necessary to have within three days images of one area captured with three satellites – Landsat-
8, Sentinel-1 and Sentinel-2. NDVI here was calculated as was described above using Sentinel-2 images. Surface tem -
perature was calculated on the base of Landsat-8 images by the algorithm used in [19].
For experimental calculation, three images for the southern part of the Kherson region were selected (Fig. 3) for the time
periods described in Table 3. Selected periods correspond to the beginning, middle, and end of the growing season.
Calculation of the values of the coefficients of the dependencies a + bNDVI and a'+ b'NDVI was automatically per-
formed based on the scatter plot of the values of NDVI and surface temperature (Fig. 4).

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 Figure 3. Area of study
Table 3. Satellite images description
Time period Average value of surface Average value of NDVI
temperature within the Landsat-8 within the Sentinel-2
image, K image
27 May 2018 — 5 June 2018 301.16 0.35
11 July 2017 — 26 July 2017 303.95 0.29
15 August 2018 — 28 August 2018 305.96 0.25

Figure 4. Distribution of NDVI and surface temperature in the Landsat 8 image

Estimates using a neural network were obtained for the case of the sigmoidal transfer function in the hidden layer and the
output neuron with the linear transfer function. The coefficients of correlation between the calculated values are given in

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 Table 4. For the case of the TVX index, the correlation of its natural logarithm with other values was higher in all cases,
so only it was considered. The shifts in the time images were acquired by different satellites reduce the correlations
between the considered values.
Table 4. The coefficients of correlation between the values

Month Correlation NDVI Surface VTCI TVDI ln(TVX)

coefficient temperature
values
May Surface -0,65
temperature
July -0,53
August 0,005
May VTCI 0,50 -0,88
July 0,20 -0,91
August 0,03 -0,95
May TVDI 0,68 0,09 -0,18
July 0,37 0,57 -0,82
August 0,49 0,86 -0,82
May ln(TVX) -0,97 0,62 -0,43 -0,66
July -0,96 0,42 -0,08 -0,45
August -0,92 -0,22 0,17 -0,62
May Estimation using -0,58 0,42 -0,31 -0,35 0,62
a neural network
July -0,53 0,39 -0,21 -0,08 0,51
August -0,53 0,23 -0,26 -0,05 0,44

As we can see from the obtained data

 ln (TVX) strongly (> 0.92), and the estimates obtained by a neural network moderately (~ 0.5) correlate with NDVI
regardless of the moment of time;
 VTCI correlation with NDVI is significantly reduced when NDVI is low;
 TDVI correlation with NDVI is moderate (0.37-0.68) and varies depending on the moment of time;
 VTCI index strongly (> 0.88) correlates with surface temperature regardless of the moment of time;
 TDVI correlation with the surface temperature is significantly reduced with the increase of NDVI, while the same
correlation of the ln(TVX) behaves in the opposite way;
 The correlation of the estimates obtained by a neural network with the surface temperature is moderate (0.23-0.42)
and varies depending on the moment of time;
 There is a correlation (0.52-0.63) between NDVI and surface temperature, which decreases with the decrease of
NDVI. Its lack for the images taken in August may be explained by the influence of small amount of clouds;
 The estimates obtained by a neural network strongly correlate with ln(TVX) (0.44-0.62, the coefficient of correla-
tion decreases with the decrease of NDVI) and moderately correlate with VTCI (0.21-0.33). Existence of such cor -
relation can be explained by moderate stable correlation of the estimates obtained by a neural network with NDVI as
well as with surface temperature accompanied by a significant correlation of ln(TVX) with NDVI and of VTCI with

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 surface temperature. In this case, the correlations with ln(TVX) are similar for different moments of time while the
correlations with VTCI are different.
5. CONCLUSIONS
We performed an assessment of soil moisture content for the conditions of the Kherson region of Ukraine for different
periods of crop growing season on the base of the dependencies between the moisture content in the surface layer of soil
with the remote sensing data represented in the form of a neural network comparing it with the results obtained by the
spectral drought indices that use surface temperature as input (TVX, TVDI, VTCI).
Generally, it can be argued that the adequacy of the evaluates by a neural network that uses NDVI, NDWI and radar data
is conformed with the fact that they correlate with other estimates, including the TVX index, which uses the data of the
Landsat-8 thermal band, i.e. the data of another nature. The higher efficiency of the proposed method is due to the fact
that it allows monitoring moisture content with greater time resolution compared with the considered drought indices,
since it uses satellite images of the Sentinel project, which are acquired 3-4 times more often for the territories of the
south of Ukraine in comparison with the images of Landsat-8, which contains the thermal band needed to calculate the
TVI, TVDI and VTCI indices.

Funding
Publications are based on the research provided by the grant support of the State Fund For Fundamental Research (pro-
ject F83/97)

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