Science in China Ser D: Earth Sciences

© 2007 Science in China Press

Springer-Verlag

NIR-red spectral space based new method for soil

moisture monitoring
ZHAN ZhiMing1,2, QIN QiMing1†, GHULAN Abduwasit1 & WANG DongDong1
1
Institute of Remote Sensing and GIS, Peking University, Beijing 100871, China;
2
Environmental Protection Bureau of Dongcheng District, Beijing 100007, China

Drought is a complex natural disaster that occurs frequently. Soil moisture has been the main issue in
remote monitoring of drought events as the most direct and important variable describing the drought.
Spatio-temporal distribution and variation of soil moisture evidently affect surface evapotranspiration,
agricultural water demand, etc. In this paper, a new simple method for soil moisture monitoring is de-
veloped using near-infrared versus red (NIR-red) spectral reflectance space. First, NIR-red spectral
reflectance space is established using atmospheric and geometric corrected ETM+ data, which is
manifested by a triangle shape, in which different surface covers have similar spatial distribution rules.
Next, the model of soil moisture monitoring by remote sensing (SMMRS) is developed on the basis of
the distribution characteristics of soil moisture in the NIR-red spectral reflectance space. Then, the
SMMRS model is validated by comparison with field measured soil moisture data at different depths.
The results showed that satellite estimated soil moisture by SMMRS is highly accordant with field
measured data at 5 cm soil depth and average soil moisture at 0―20 cm soil depths, correlation coef-
ficients are 0.80 and 0.87, respectively. This paper concludes that, being simple and effective, the
SMMRS model has great potential to estimate surface moisture conditions.

NIR-red spectral space, soil moisture, quantitative remote sensing, soil drought, remote monitoring of soil moisture

1 Introduction the focus must be the real time monitoring of moisture

Soil moisture has been the main issue in remote moni-
toring of drought events as the most direct and important
variable describing the drought. It is a key parameter
describing the water circulation and energy exchange
between surface and atmosphere. Due to its different
spectral patterns in different wavelengths, remote sens-
ing data ranging from visible to microwave have been
widely used in soil moisture monitoring. Spectral re-
flectance decreases with the increasing of soil moisture
in visible and near-infrared (NIR) range. There have
been several reports addressing soil moisture modeling
with visible and NIR data, for example, anomaly vegeta-
tion index[1], soil moisture reflectance method[2], etc.
which is dependent on the interrelations between soil
moisture and vegetation index. Vegetation indexes may
serve as an after-effect indicator of drought. However,
conditions instead of hysteresis. In addition, the impact
of surface roughness, soil structure and organic matters
on the reflectance of visible, NIR data has been a main
limitation of optical remote sensing of soil moisture.
Thermal remote sensing approaches may be summarized
as the thermal inertia method, the vegetation evapotran-
spiration method and the crop water stress index
(CWSI). These methods are established using the rela-
tionship between surface emissivity, temperature and
soil moisture by mainly taking advantage of the water
circulation and energy balance principle. The history
Received October 10, 2005; accepted April 11, 2006
doi: 10.1007/s11430-007-2004-6
†
Corresponding author (email: qmqin@pku.edu.cn)
Supported by the Special Funds for the Major State Basic Research (973) Project
(Grant No. G2000077900), the High-Tech Research and Development Program of
China (Grant No. 2001AA135110) and The Post Doc Fellowship Project from the
National Natural Science Foundation of China (Grant No.2004035021)

www.scichina.com www.springerlink.com Sci China Ser D-Earth Sci | February 2007 | vol. 50 | no. 2 | 283-289
of thermal remote sensing of soil moisture can be traced
back to the beginning of the 1970s. Waston et al.[3]
brought forward a method for calculating thermal inertia
with diurnal temperature difference; then, Price, Kahle，
England，Zhang, Tian, Yu implemented and further
improved thermal inertia method in their research work,
etc.[4 11]. The thermal inertia method is quite effective
―
for bare soil moisture monitoring but demonstrates poor
correlation for highly vegetated surface. Furthermore,
obtaining the diurnal temperature difference for thermal
inertia poses a challenge to the widespread use of this
method. Water supply is the motivation of the
evapotranspiration process and soil moisture content
greatly affects the evapotranspiration rate. Heretofore,
people have sought for an effective method to monitor
soil moisture using the ratio of effective evapotranspira-
tion to potential evapotranspiration. Jackson[12] put for-
ward CWSI; Tian developed regression models for soil
moisture prediction by linking soil moisture with
CWSI[13]. CWSI has clear physical definition, but one
needs local meteorological data to inverse soil moisture
from CWSI. The use of meteorological data obtained
from undisclosed weather stations usually results in
greater uncertainties, especially for large-scale drought
estimation. Microwave remote sensing of soil moisture
is mainly dependent on the relationship between soil
moisture and dielectric characteristics of the target and
radar backscatters since there is a remarkable correlation
between them. There have been many reports found in
literature that explain soil moisture[14 17]. Being an ef-
―
fective tool, it can be used at night and so much so that
even in the presence of cloud cover, remote estimation
of soil moisture at frequencies in the microwave spec-
trum becomes a promising field with high predicting
precision and penetrating capabilities. However, it is no
more effective for the retrieval of soil moisture data over
vegetated surfaces due to being strongly affected by the
surface roughness and vegetation.
Land surface temperature, vegetation index and al-
bedo are all indicators of soil moisture dynamics and can
be used to delineate drought status in multi-dimensional
feature space. Ergo, combination of visible NIR, thermal
and microwave wavelengths may be the future direction
of soil moisture remote sensing. Wang[18] extracted soil
moisture information in sparsely vegetated rangeland
surfaces with ERS-2/TM synergy by correlating radar
backscatters with NDVI and soil moisture; since
284 ZHAN ZhiMing et al. Sci China Ser D-Earth Sci | February 2007 | vol. 50 | no. 2 | 283-289
Goward[19], Price[20] developed LST － NDVI feature
space, Ridd, Gilles, Han, Wang et al. comprehensively
used the LST―NDVI feature space in soil moisture and
analyzing of surface evapotranspiration[21 26]; Ghulam
―
et al.[27] tried to substitute LST with albedo in
LST-NDVI feature space, and conducted an approach to
monitor drought condition with broad band al-
bedo-NDVI based feature space. Due to its close rela-
tionship with drought conditions, LST-NDVI and al-
bedo-NDVI based spectral spaces are quite effective for
drought monitoring. However, spatial resolution of visi-
ble, infrared and thermal bands of some satellite data
such as TM/ETM+ is not the same and more useful
information is lost as a result of spectral sampling which
should be carried out to construct spectral space using
NDVI and LST products. Furthermore, retrieval of sur-
face albedo and LST contains some uncertainties and,
therefore, the final error on soil moisture extraction
would be magnified.
In this paper, soil moisture monitoring by remote
sensing model (SMMRS) is developed using the
NIR-red spectral reflectance space. Because it is easier
to obtain the reflectance rather than to retrieve LST and
albedo, the SMMRS method is simple and effective.
2 Methodology
2.1 Atmospheric correction of satellite data
Satellite data used in this study is an Enhanced Thematic
Mapper plus (ETM+) image registered on April 17, 2001
over Beijing and its surrounding region in China. After
the geometric correction, sub-image covering the Shunyi
District which was our study area was subset and
mapped out. Digital Numbers (DNs) values were con-
verted into spectral radiance and top of the atmosphere
(TOA) reflectance, then, atmospheric correction by 6S
was carried out to eliminate the atmospheric perturba-
tion and obtain the reflectance at ground level.
6S describes how the aerosols and atmospheric gases
affect the radiation transfer in the sun-target-sensor path.
To achieve accurate correction results, atmospheric con-
dition and isochronous aerosol data are required to input.
However, to obtain field measured satellite isoch-
ronous atmospheric properties is too time-consuming
and expensive. We chose the standard atmospheric cor-
rection model (the middle latitude summer atmospheric
model) and standard aerosol model (the maritime aero-
sol model) provided by 6S. We are confident in the ac-
curacy of the correction results with this decision since it
has been proved by relevant reports that the effect on the
accuracy of atmospheric correction obtained from the
standard atmospheric model is comparable to that ob-
tained from in-situ measurements with errors of ±0.02
for reflectance and 0.02 for NDVI[28]. The surface was
assumed to be a non-uniform target.
2.2 Construction of NIR-red spectral reflectance
space
Vegetation lamina tissues strongly absorb blue, purple
and red lights and intensively reflect green lights espe-
cially NIR spectrum. From red to NIR spectral region,
the reflectance of bare soil is high but increases slowly.
The thicker the vegetation density, the smaller the re-
flectance in red and the higher the reflectance in NIR
bands becomes. Because the absorption of the red range
is saturated quickly, only the increase of reflectance in
the NIR region could reflect the increase of vegetation.
Any mathematical operation which could strengthen the
difference between NIR and red could be used to de-
scribe the vegetation characteristics. Vegetation indices
such as RVI, DVI, and NDVI are based on this theory. It
is a well known fact that NIR (TM/ETM+ band4) and
red (TM/ETM+ band3) are highly correlated with LAI,
leaf biomass and chlorophyll content, while NDVI is
effective only to monitor vegetation features in the early
stage of growth or in low density conditions.
In order to delineate the NIR-red spectral space, a
sample region with comprehensive land cover types is
selected in the study area (Figure 1(a)). NIR-red spectral
reflectance space is established using atmospheric cor-
Figure 1 (a) Construction of NIR-red spectral space using ETM+reflectance data (remote data); (b) construction of NIR-red spectral space
using ETM+reflectance data (drawing).
ZHAN ZhiMing et al. Sci China Ser D-Earth Sci | February 2007 | vol. 50 | no. 2 | 283-289
rected reflectance of ETM+ band3 (red, 630―690 nm)
and band4 (NIR, 780―900 nm). The scatter plot of the
NIR-red reflectance spectrum demonstrates a typical
triangle shape (Figure 1(b)), which is different from pre-
viously reported LST-NDVI spectral space but the distri-
bution rules of different land cover types in NIR-red
space are similar with LST-NDVI spectral space. Not
only the surface coverage status can be described, but
also the surface drought conditions and drought severity
can be characterized quantitatively in the space.
Richardson and Wiegand [29] described NIR-red space
constructed with DNs of MSS NIR and red band data
and developed perpendicular vegetation index (PVI) as
to distribution phenomenon of vegetation in the space. It
can be seen in the space obtained by ETM+ NIR-red
spectral reflectance data that the distribution features of
vegetation in the space is similar with what Richardson
and Wiegand reported before (Figure 1(b)). Here, AD
line represents the change of surface vegetation cover
from the high density area (A) and the sparse vegetation
area (E) to bare soil (D) while BC refers soil moisture
status viz. wet area (B), semi-arid surface to extremely
drought surface (C). As we have seen, B-D-C shows the
direction of drought severity. There are close and com-
plex relationships between the surface spectrum and
land cover types and surface drought conditions. This
encouraged us to build a NIR-red spectral reflectance
space based soil moisture monitoring index which may
be rather simple but is effective compared to the
LST-NDVI and albedo-NDVI space based methods.
2.3 Development of SMMRS model
It is not difficult to see from Figure 1(b) that the drought
285
severity gradually rises up from B to C, and reaches its
climax at C. Here BC represents the soil line of the re-
search area. Suppose that the mathematical expression
of the soil line can be expressed by the following equa-
tion:
Rnir = MRred＋I , (1)
where Rnir , Rred refer to the atmospherically corrected
reflectance of NIR band and red band respectively, while
M is the slope of the soil line, and I is the interception on
the vertical axis.
A line L, which disects the coordinate origin and is
vertical to the soil line, can be delineated on Figure 2.
Therefore, as to the normal function of a line, L can be
mathematically formulated from the soil line expression.
Figure 2 Sketch map of soil moisture modeling.
1
Rnir = − Rred . (2)
M
The distance from any points in the NIR-red reflec-
tance space to the line L represents surface soil moisture
conditions. That is, the farther the distance, the stronger
the drought, and the less the soil moisture or vice versa.
Taking a random point E ( Rred , Rnir ) in the NIR-red
reflectance space, the vertical distance from
E ( Rred , Rnir ) to line L can be calculated as
1
EF = ( Rnir + MRred ) . (3)
M 2 +1
With respect to a black body, the distance is the least
amount which almost equals zero, and it is located just
at the coordinate origin. In the case of other objects with
some reflectance, the higher moisture content the target
286 ZHAN ZhiMing et al. Sci China Ser D-Earth Sci | February 2007 | vol. 50 | no. 2 | 283-289
possesses, the nearer it is located to the coordinate origin.
Generally speaking, objects placed near to the line L are
always bodies of water or are extremely wet regions and
the soil moisture infinitely closes to 1, whereas in the
most distant area from the line L in the space represents
an extremely dry surface. In this case, soil moisture infi-
nitely closes to 0. Thereby, it is possible to establish
SMMRS by subtracting normalized values of EF from 1.
1
SMMRS = 1 − ( Rnir + MRred ) . (4)
M 2 +1
The soil line is extracted using the NIR and red band
reflectance of the study area as seen in Figure 3 and its
mathematical formula can be written as eq. (5):
Rnir = 1.40426 Rred − 0.0703 : (5)
It can be seen from eq. (5) that from M =1.4042,
I = −0.0703, introducing into eq. (5), soil moisture can
be obtained over the study area.
1
SMMRS = 1 − ( Rnir + 1.40426 Rred ) . (6)
1.40422 + 1
Figure 3 Soil line extraction.
3 Validation and discussion
The Shunyi remote sensing experiment field (116°26′―
117°E, 40°―40°21′N), Beijing, China was selected as
the study area. The research team of China’s 973 Project
(Grant No.G2000077900) ‘Quantitative remote sensing
theory and application of land surface spatio-temoporal
dynamic parameters’ conducted a satellite-airborne-
surface incorporated comprehensive field test from
March to June, 2001 and gathered a wide variety of sur-
face data including surface temperature, albedo, BRDF
of different surface types, vegetation indexes like NDVI,
leaf area index (LAI) and hydrological parameters were
obtained. There are 4 test fields set in the study area;
they are the central field (C1―C5), the northwest field data, every sample point can be found in geometrically
(NW1―NW5), the northeast field (NE1―NE5) and the corrected satellite data by their geographical coordi-
southeast field (SE1 ― SE5). Soil moisture data from nates.
Pixel level soil moisture is calculated using SMMRS.
different soil depths of 5, 10, 20, 40, 60 and 100 cm
This model estimated data using NIR-red spectral re-
were collected by both the CNC-503DR-intelligent wa-
flectance space based on the new method which was
ter neutron meter and the weighing-after-drying method
compared with field collected data. It is evident from the
in the northwest field by over 25 ground control points.
results that the satellite-estimated and field-measured
16 points were deployed in fields NW1, NW2, NW3 and
9 in NW4, NW5 during the time when the satellite made data maintain greater coincidence and the graphs of both
its overpass on April 17, 2001. In the weighing-after- are highly accordant (Table 1; Figure 4). Correlation
drying method, soil moisture content is calculated by coefficients are 0.80 and 0.87 with soil moisture at the 5
dividing the water content of a 1000 g sample of earth cm soil depth and an average soil moisture at 0―20 cm
by its dried earth counterpart and then multiplying by soil depth, respectively. Satellite observations of soil
100. moisture have been hampered by vegetation signals that
Effective soil depth for the remote measurement of are superimposed over soil information. In our approach,
soil moisture has been a controversial problem. Li[30] and vegetation interference on soil moisture is not taken into
Guo[31] examined the relationship between satellite de- account. Therefore, the NIR-red spectral reflectance
rived NDVI, brightness temperature and soil moisture, space based model represents mixed information of soil
and reported that satellite data possess correlation with and vegetation. This posed limitations for the precision
soil moisture at a 20 cm soil depth; Liu et al.[2] believe of estimation results together with uncertainties contrib-
that the effective soil depth for soil moisture estimation uted from field measuring conditions such as wind and
of visible and NIR remote sensing data is 10 cm. Con- meteorological factors which have a stronger effect on
sidering the above-mentioned discussions, we chose surface soil moisture collected by CNC-503DR. To con-
field measurements of soil moisture at 5 cm and soil clude, validation results are acceptable and the method
moisture values averaged over 0―20 cm to validate our developed in the paper can be applied to soil moisture
new method. Thanks to high spatial resolution of ETM+ monitoring.
Table 1 Comparison of satellite-estimated and field-measured soil moisture
Satellite estimated soil Average soil moisture over
GCPs Longitude Latitude Soil moisture at 5 cm
moisture 0―20 cm
25 116°34′33.4″ 40°11′41.2″ 0.404907 0.213731 0.284258
26 116°34′34.3″ 40°11′43.6″ 0.163456 0.153242 0.129031
27 116°34′34.0″ 40°11′46.0″ 0.163456 0.108497 0.186132
28 116°34′33.7″ 40°11′48.5″ 0.261047 0.278104 0.327929
29 116°34′37.2″ 40°11′49.0″ 0.263545 0.103496 0.397978
30 116°34′37.5″ 40°11′46.6″ 0.545243 0.445868 0.619867
31 116°34′37.9″ 40°11′44.1″ 0.117159 0.09887 0.178069
32 116°34′38.1″ 40°11′41.8″ 0.32941 0.181735 0.266157
33 116°34′42.4″ 40°11′41.6″ 0.32941 0.239893 0.242699
34 116°34′41.8″ 40°11′46.5″ 0.473299 0.268698 0.407033
35 116°34′41.6″ 40°11′49.0″ 0.522094 0.352105 0.479281
36 116°34′24.8″ 40°11′34.1″ 0.195154 0.069191 0.150935
46 116°34′25.2″ 40°11′30.1″ 0.163456 0.290435 0.347914
47 116°34′31.1″ 40°11′30.4″ 0.097591 0.235605 0.314258
48 116°34′30.8″ 40°11′34.4″ 0.017098 0.204767 0.29371
49 116°34′34.4″ 40°11′34.7″ 0 0.194341 0.238028
52 116°34′34.8″ 40°11′30.6″ 0.160958 0.324175 0.364041
53 116°34′31.7″ 40°11′53.6″ 0.839042 0.886009 0.971363
54 116°34′31.2″ 40°11′56.9″ 1 0.701837 0.825518
55 116°34′37.1″ 40°11′57.6″ 0.468302 0.128927 0.329626
58 116°34′37.5″ 40°11′54.6″ 0.260531 0.039086 0.248479
59 116°34′42.8″ 40°11′54.6″ 0.697652 0.667579 0.801132
60 116°34′42.4″ 40°11′58.0″ 0.504996 0.563223 0.523413
Correlation coefficients 0.80 0.87

ZHAN ZhiMing et al. Sci China Ser D-Earth Sci | February 2007 | vol. 50 | no. 2 | 283-289 287
4 Conclusion
In this study, a simple, effective soil moisture monitor-
ing model (SMMRS) is developed using spectral space
derived from the reflectance of NIR and red wave-
lengths. Validation was carried out by the comparison of
SMMRS derived and in-situ measurement data. Satel-
lite-estimated soil moisture with SMMRS demonstrated
very similar trends and a higher correlation with in-situ
data at a 5 cm soil depth and soil moisture averaged over
surface 0―20 cm soil depths (Table 1; Figure 4). Re-
sults indicate that the SMMRS is simple and effective
and construction of the model only requires reflectance
data in the NIR and red wavelengths. Having explicit
physical definition and connotation, the SMMRS may
be a promising tool for addressing the exchange of en-
ergy and water circulation in the surface/atmosphere
interface and it has a great potential use in soil moisture
monitoring.
However, there are two limitations in the method:
first, though the graphs of satellite-estimated and field-
measured soil moisture are very similar in trends, corre-
lation coefficients are a little far from our expectations,
viz. 0.80 and 0.87 with soil moisture at 5 cm soil depth
and an average soil moisture at 0―20 cm soil depth,
respectively. We believe that uncertainties may be rooted
in the non-vegetative surface assumption in which
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