A Hybrid Synthetic Minority Oversampling Technique and Deep Neural Network Framework for Improving Rice Yield Estimation in an Open Environment

Quick and accurate prediction of crop yields is beneficial for guiding crop field management and genetic breeding. This paper utilizes the fast and non-destructive advantages of an unmanned aerial vehicle equipped with a multispectral camera to acquire spatial characteristics of rice and conducts research on yield estimation in an open environment. The study proposes a yield estimation framework that hybrids synthetic minority oversampling technique (SMOTE) and deep neural network (DNN). Firstly, the framework used the Pearson correlation coefficient to select 10 key vegetation indices and determine the optimal feature combination. Secondly, it created a dataset for data augmentation through SMOTE, addressing the challenge of long data collection cycles and small sample sizes caused by long growth cycles. Then, based on this dataset, a yield estimation model was trained using DNN and compared with partial least squares regression (PLSR), support vector regression (SVR), and random forest (RF). The experimental results indicate that the hybrid framework proposed in this study performs the best (R² = 0.810, RMSE = 0.69 t/ha), significantly improving the accuracy of yield estimation compared to other methods, with an R² improvement of at least 0.191. It demonstrates that the framework proposed in this study can be used for rice yield estimation. Additionally, it provides a new approach for future yield estimation with small sample sizes for other crops or for predicting numerical crop indicators.