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ABSTRACT
Including the estimation of endmembers and fractional abundances in hyperspectral images (HSI), blind hyperspectral
unmixing (HU) is one of the most prominent research topics in image and signal processing for hyperspectral remote
sensing. In this paper, a method of blind HU based on online dictionary learning and sparse coding is proposed, for the
condition of the spectral signatures unknown in the HSI. An online optimization algorithm based on stochastic
approximations is used for dictionary learning, which performs the optimization on the sparse coding and dictionary
atoms alternately. On the sparse coding, a fully constrained least squares (FCLS) problem is solved because of the
physical significance of fractional abundances. To estimate the endmembers in the HSI, a kind of clustering algorithm is
used to cluster the atoms in the pruned dictionary obtained via the statistics on the sparse codes. With the estimated
endmembers, the final fractional abundances can be obtained by using a variable splitting augmented Lagrangian and
total variation algorithm. The experimental results with the synthetic data and the real-world data illustrate the
effectiveness of the proposed approach.
Keywords: hyperspectral images, blind sparse unmixing, online dictionary learning, sparse coding, endmember
estimation
1. INTRODUCTION
Hyperspectral remote sensing, also known as imaging spectrometry, contributes to many practical applications, such as
geological exploration and environmental monitoring1. Recently, related research of this field is active and has attracted
much attention.
With high spectral resolution, HSIs usually contain hundreds of continuous spectral bands, covering the visible to
shortwave infrared spectral bands. However, compared with the spectral resolution, the spatial resolution of HSIs is
always relatively low. Due to the low level of spatial resolution and the complexity of the actual materials distribution,
the pixels containing multiple materials, termed mixed pixels, are commonly found in HSIs. The emergence of mixed
pixels severely restricts the improvement of processing accuracy of hyperspectral imagery and becomes an important
factor hindering the development of hyperspectral remote sensing technology. HU proposed for this problem has become
a research hotspot, as one of the core developments in signal and image processing for HSIs.
Including the estimation of endmembers and fractional abundances in HSIs, one main category of blind HU methods is
based on the assumption that the presence in the data of at least one pure pixel of each endmember. Approaches of this
category usually have exploited geometric features of hyperspectral mixtures to determine the smallest simplex
containing the data, such as pixel purity index (PPI)2, vertex component analysis (VCA)3, and N-FINDR4. However, the
pure pixel assumption is a strong requisite that may not hold in many HSIs.
With the topic of compressed sensing and sparse regression received enormous attention in various fields, the idea of
sparse representation has also been introduced into HU. One of the advantages of this category of methods is no need to
assume pure materials in HSIs. In 2009, Bobin, Iordache and Bioucas-Dias replaced the endmembers set in the linear
mixture model (LMM) with a spectral library and proposed an LMM based on sparse representation5. In 2011, Bioucas-
Dias et al. proposed the SUnSAL algorithm, which uses the idea of alternating iterative to obtain the sparse solution of
the abundance coefficients under the l1 norm by variable splitting and augmented Lagrangian multiplier method6. On this
basis, a variety of sparse unmixing algorithms such as SUnSAL-TV7, orthogonal matching pursuit (OMP)8 and subspace
*
sxrjmx@163.com; phone (+86)15210980596
Image and Signal Processing for Remote Sensing XXIV, edited by Lorenzo Bruzzone,
Francesca Bovolo, Proc. of SPIE Vol. 10789, 107890K · © 2018 SPIE
CCC code: 0277-786X/18/$18 · doi: 10.1117/12.2325087
∑α
i =1
i =1 (2)
0 ≤ αi ≤ 1 (3)
M ×N
Expand by k
L M ×N k
M scan lines
L L
N
= ⅹ
Pixel spectral matrix x Spectral dictionary D
HSI data cube
Codes α
where α 0
is the number of non-zero elements in matrix α , usually termed l0 norm. δ is a parameter controlling the
reconstruction error.
The basic idea of sparse unmixing algorithms can be simply understood as a linear decomposition of multidimensional
data. Therefore, the sparse unmixing problem currently studied can be equivalent to finding the simplest solution of the
Equation (4) in the case of a known overcomplete spectral library.
where N p is the number of pixel spectral vectors, the l1 norm promotes sparse codes, the quadratic terms account for the
representation errors and the relative weight between the two terms is established by the regularization parameter λ
(>0).
The optimization with respect to all variables is non-convex, but convex with respect to each of the two variables, the
dictionary D and the coefficients αi , when the other one is fixed. A direct approach to solving this problem is to
alternate between the two variables, keeping one fixed when minimizing over the other one. The optimization with
respect to D and the optimization with respect to αi is decoupled.
The optimization with respect to αi is a BPDN problem. Usually, the Least Angle Regression (LASR) is used to solve it.
However, because of the physical meaning, αi actually represents the abundance coefficient in spectral unmixing and
satisfies the constraints with non-negative and sums of one. We adopt the constrained spectral unmixing by variable
slitting and augmented Lagrangian to solve this BPDN problem, considering the continuity of abundance coefficients of
adjacent pixels.
The optimization with respect to D is equivalent to minimizing the following problem.
where t is the current number of iterations, x j is current training set composed of spectral vectors acquired randomly
from the original training set, which means the whole pixel spectral matrix.
A projected block-coordinate descent method is used to update the columns of the dictionary in the optimization with
respect to the dictionary D .
By analyzing the principle of online dictionary learning, the flow of online spectral dictionary learning algorithm can be
obtained. Firstly, the pixel spectral matrix expanded by the HSI is used as the original training set. Then a random
continuous sequence of pixel spectral vectors is selected from the original training set as the training set in current cycle
and processed sequentially. For each new element in current training set, the sparse coding is calculated by solving the
BPDN problem, and then current dictionary is updated. The pseudo code for the online spectral dictionary learning is
shown in Algorithm 1.
Algorithm 1: Online spectral dictionary learning.
Input: xi ∈ R L×1 , i = 1,K, N p (pixel spectral vectors)
T ∈ N (iterations)
η ∈ N (the number of the pixel spectral vectors per iteration)
λ > 0 (BPDN regularization parameter)
βt (damping sequence)
D0 ∈ R L× k (initial dictionary)
Output: D ∈ R L× k (dictionary)
1 begin
2 Parameter initializations
3 for t = 1 to T do
4 Draw randomly continuous xt = ⎡⎣ xit , i = 1,K,η ⎤⎦ from x
/* Sparse coding (BPDN problems) */
1 t 2
5 α t = arg min x − Dα + λ α 1 + λTV TV ( α )
k ×η
α ∈R 2 F
A = β t A + ∑ i =1 αit ( αit )
η H
6
B = β t B + ∑ i =1 xit ( αit )
η H
7
/* Dictionary update */
8 repeat
9 for j = 1 to k do
1
10 uj =
A ( j, j )
( b j − Da j ) + d j
11 until convergence
12 end for
13 end for
14 end
Due to the physical meaning, actually, αi represents the abundance coefficient and satisfies the constraints with non-
negative and sums of 1. Therefore, the SUnSAL algorithm can also be used to solve the constrained optimization.
Considering the relationship between each pixel and its neighbors in unmixing process, the total variation (TV)
regularization is introduced into the SUnSAL algorithm. Therefore, sparse unmixing can be expressed as
1
x − Dα 2 + λ α 1 +λTV TV ( α )
2
min (7)
D∈R 2
where
TV ( α ) ≡ ∑ αi − α j
1
(8)
{i , j}∈ε
is a vector extension of the nonisotropic TV12 to promote piecewise smooth transitions in the fractional abundance of the
same endmember among neighboring pixels. And ε denotes the set of horizontal and vertical neighbors in the image.
3.3 Endmember estimation
By calculating the times of each atom in learned overcomplete spectral dictionary chosen by the sparse codes obtained in
section 3.2, we use the ratio of the chosen times of the top N a most atoms and chosen times of all atoms to select the
atoms most likely to be the unknown spectral signatures in dataset. Specifically, we arrange the atoms of in the learned
dictionary in a descending order according to the chosen times. Then, the ratios of the chosen times of the top
N a ( = 1, 2,K , k ) most atoms and chosen times of all atoms are calculated successively until the current ratio exceeding
the preset threshold. The mathematical expression of this process is as follows.
Na k
min N a s.t. ∑τ / ∑τ
i =1
i
i =1
i >ϕ (9)
where τ i is the chosen times of the i-th most chosen atom, and ϕ stands for the preset threshold.
These N a selected atoms constitute of the pruned dictionary. As the pruned dictionary need subsequent processing to
finally get the estimated endmembers, the preset threshold applied here has a more relaxed range of values. In this paper,
the value of ϕ is of 0.5.
To obtain the pure spectral signatures, that is, the endmembers in the image, a kind of k-means algorithm is used to
cluster the atoms in the pruned dictionary. Since the atoms representing the spectral signatures, spectral angle distance
(SAD) is used as the distance metric in the k-means clustering. The centroids of all the classes after clustering are the
estimated endmembers in the HSI.
With the estimated endmembers, the fractional abundances can be obtained by using the SUnSAL-TV algorithm again.
4. EXPERIMENTAL RESULTS
In this section, we present a series of experimental results using synthetic and real-world HSI data to illustrate the
performance of the proposed approach.
4.1 Results on synthetic data
With 75 × 75 pixels and 224 bands per pixel, the synthetic data was generated using five randomly selected spectral
signatures from the USGS 1995 spectral library* as endmembers and was generated using a linear mixture model. The
fractional abundances of the data are generated as described in Marian-Daniel Iordache’s paper7. And this synthetic data
imposes the abundance sum-to-one constraint (ASC). Figure 2 shows the five endmembers, the synthetic image and the
*
http://speclab.cr.usgs.gov/spectral.lib.
1 1 1
10 10
0.8 0.8 0.8
20 20
reflectance
pixels
pixels
40 40
0.4 0.4 0.4
Jarosite GDS99 K,Sy 200C 50 50
Jarosite GDS101 Na,Sy 200
0.2 Anorthite HS349.3B 60 0.2 60 0.2
Calcite WS272
Alunite GDS83 Na63 70 70
0 0 0
0 50 100 150 200 250 20 40 60 20 40 60
spectral band pixels pixels
(a) (b) (c)
1 1 1
10 10 10
0.8 0.8 0.8
20 20 20
pixels
pixels
40 40 40
0.4 0.4 0.4
50 50 50
70 70 70
0 0 0
20 40 60 20 40 60 20 40 60
pixels pixels pixels
(d) (e) (f)
Figure 2. True fractional abundances of endmembers in the synthetic data. (a) spectral signatures used to generated the
synthetic data. Abundance map of (b) endmember 1, (c) endmember 2, (d) endmember 3, (e) endmember 4, (f) endmember
5.
Including the estimation of endmembers and fractional abundances in HSIs, the proposed blind HU performance needs
to be evaluated from these two aspects. Figure 3 illustrates that the estimated endmembers’ spectral signatures present
high degree of similarity to the reference signatures obtained from the USGS library, especially at high SNR. As the
SNR decreases, the estimations of endmember 3 and 4 deteriorate significantly. The corresponding SAD values of
different noise level are reported in Table 1, evaluating the accuracy of endmember extraction quantitatively. In addition,
we can conclude that the proposed algorithm is sensitive to noise.
Table 1. SAD values of the different noise level with the synthetic data.
0.4
0.2 0.2 ground true 0.5 0.6
ground true
estimated 0.3
estimated
0 0 0.45 0.5 0.2
0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250
1 1 0.75 1 1
ground true
ground true 0.9
0.7 estimated
0.8 0.8 estimated 0.9
0.8
0.65
0.6 0.6 0.8 0.7
0.6
30dB
0.6
0.4 0.4 0.55 0.7 0.5
0.5
ground true ground true 0.4
0.2 0.2 0.6 ground true
estimated estimated 0.45 0.3
estimated
1 1 0.75 1 1
ground true ground true
0.7 estimated 0.9 estimated
0.8 0.8 0.9
0.8
0.65
0.6 0.6 0.8 0.7
0.6
20dB
0.6
0.4 0.55 0.7
0.4 0.5
0.5
0.4
0.2 0.2 0.6 ground true
ground true ground true
0.45 estimated 0.3
estimated estimated
0 0 0.4 0.5 0.2
0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250 0 50 100 150 200 250
Figure 3. Comparison between the USGS library spectra and the endmember signatures extracted by the proposed algorithm
on the synthetic data under different noise level.
In the other aspect, from Figure 4, it can be observed that the abundance maps obtained under different SNR present high
accuracy and exhibit good spatial consistency. The corresponding signal to reconstruction error (SRE) and root mean
square error (RMSE) values of different noise level are reported in Table 2, evaluating the accuracy of the proposed
blind sparse unmixing quantitatively. Therefore, it can be concluded that the proposed approach is capable of carrying
out the task of blind HU.
1
0.9
0.8 1
10 10 0.8
10 10
0.8 0.7
20 20 0.7 20 20 0.8
0.6
0.6
30 0.6 30 30 30
pixels
pixels
pixels
pixels
0.5
0.5 0.6
40 40 40 0.4 40
0.4 0.4
50 50 50 0.3 50 0.4
0.3
60 0.2
0.2 60 0.2 60 60 0.2
0.1 0.1
70 70 70 70
0 0 0 0
20 40 60 20 40 60 20 40 60 20 40 60
pixels pixels pixels pixels
Table 2. SRE and RMSE values of the different noise level with the synthetic data.
Noise level
Index
40dB 30dB 20dB
SRE(dB) 16.39 6.51 4.40
RMSE 0.0256 0.3531 0.3226
IA
,,,,..,,7:'
..,T
.
'jíT_
1
(a) (b) (c) (d) (e) (f)
Figure 5. Abundance maps of the different endmembers obtained using the proposed algorithm on the Urban dataset. (a)
Concrete road. (b) Roof#1. (c) Roof#2. (d) Tree. (e) Grass. (f) Asphalt road.
5. CONCLUSION
In this paper, we propose a novel blind hyperspectral sparse unmixing mothed, which is based on the theory of sparse
coding extended to the spectral domain. Both online spectral dictionary learning and sparse coding are done in the sparse
domain. Dictionary pruning techniques and clustering algorithms are used for endmember estimation. And the spatial
information is incorporated to calculate the fractional abundances. The experiments are conducted in both synthetic and
real-world conditions to verify the effectiveness of the novel approach. However, since the proposed method is sensitive
to noise, the robustness of the algorithm still needs to be improved.
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[4] Winter, Michael E. "N-FINDR: an algorithm for fast autonomous spectral end-member determination in
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*
http://lesun.weebly.com/hyperspectral-data-set.html.