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2020 - Temporal-Spatial-Frequency Depth Extraction of Brain-Computer

The document discusses extracting temporal-spatial-frequency features from EEG signals using convolutional neural networks and long short term memory networks to classify mental tasks for brain-computer interfaces. Two types of network structures are proposed and tested on two EEG datasets related to speech imagery and motor imagery tasks to classify the signals. The best results were obtained from a series structure using compact convolutional neural networks.

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0% found this document useful (0 votes)
20 views

2020 - Temporal-Spatial-Frequency Depth Extraction of Brain-Computer

The document discusses extracting temporal-spatial-frequency features from EEG signals using convolutional neural networks and long short term memory networks to classify mental tasks for brain-computer interfaces. Two types of network structures are proposed and tested on two EEG datasets related to speech imagery and motor imagery tasks to classify the signals. The best results were obtained from a series structure using compact convolutional neural networks.

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nico
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© © All Rights Reserved
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Download as PDF, TXT or read online on Scribd
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Biomedical Signal Processing and Control 58 (2020) 101845

Contents lists available at ScienceDirect

Biomedical Signal Processing and Control


journal homepage: www.elsevier.com/locate/bspc

Temporal-spatial-frequency depth extraction of brain-computer


interface based on mental tasks
Li Wang a,∗ , Weijian Huang a , Zhao Yang a , Chun Zhang b
a
School of Mechanical and Electrical Engineering, Guangzhou University, Guangzhou 510006, China
b
School of Electronic Science and Engineering, Southeast University, Nanjing 210096, China

a r t i c l e i n f o a b s t r a c t

Article history: With the help of brain-computer interface (BCI) systems, the electroencephalography (EEG) signals can
Received 14 October 2019 be translated into control commands. It is rare to extract temporal-spatial-frequency features of the
Received in revised form 3 December 2019 EEG signals at the same time by conventional deep neural networks. In this study, two types of series
Accepted 1 January 2020
and parallel structures are proposed by combining convolutional neural network (CNN) and long short
Available online 9 January 2020
term memory (LSTM). The frequency and spatial features of EEG are extracted by CNN, and the temporal
features are extracted by LSTM. The EEG signals of mental tasks with speech imagery are extracted and
Keywords:
classified by these architectures. In addition, the proposed methods are further validated by the 2008 BCI
Brain-computer interface (BCI)
Electroencephalogram (EEG)
competition IV-2a EEG data set, and its mental task is motor imagery. The series structure with compact
Temporal-spatial-frequency CNN obtains the best results for two data sets. Compared with the algorithms of other literatures, our
Convolutional neural network (CNN) proposed method achieves the best result. Better classification results can be obtained by designing the
Long short term memory (LSTM) well structured deep neural network.
© 2020 Elsevier Ltd. All rights reserved.

1. Introduction There are mainly several brain activities to induce and evoke
EEG signals for the BCIs [5], e.g. motor imagery, steady state visually
With a brain-computer interface (BCI) system, users can directly evoked potentials (SSVEP) and P300 evoked potentials etc. Motor
connect with their surrounding environment via brain activity. The imagery is an active experimental paradigm, and it allows users to
new pathway is independent of users’ peripheral nerves and mus- control the equipment as they imagine. When the users perform
cles [1]. The BCIs can help some patients (such as amyotrophic motor imagery, the EEG signals from the sensorimotor cortex of
lateral sclerosis (ALS)) communicate with the outside world. The ipsilateral brain will be enhance. The phenomenon is called event-
control of wearable robot has been a successful application example related synchronization (ERS). At the same time, the EEG signals
[2]. As a novel way of communication and entertainment equip- from the sensorimotor cortex of contralateral brain will be reduced,
ment, the BCIs can be also introduced into the daily life of healthy which is called event-related desynchronization (ERD) [6,7]. With
people [3]. Considering some factors such as measuring environ- these phenomena, motor imagery has four recognizable operations
ment, instrument cost and experimenter safety, the control signals (right hand, left hand, tongue and foot) [8]. Compared with motor
of BCIs are mainly derived from electroencephalography (EEG) imagery, SSVEP and P300 evoked potentials have higher classifica-
signals [4]. The EEG signals are time series with frequency char- tion results and information transmission rates [9]. However, SSVEP
acteristics, and they are produced by the thinking activities of the and P300 evoked potentials are passive experimental paradigms.
human brain. The BCIs based on EEG have been gradually devel- To produce SSVEP and P300 evoked potentials, additional equip-
oped into a variety of applications. Besides the wearable robot [2], ment is needed, so they are very inconvenient to use. In particular,
the BCIs can be used to control an embedded web server application uses are prone to visual fatigue after long-term use. Considering
in the home environment [3]. Quadcopters and virtual helicopters the above reasons, one of the data sets studied in this paper is from
are successfully controlled by the BCIs based on motor imagery [5]. motor imagery.
To further improve the practicality and stability of BCIs, some
new experimental paradigms have been proposed, such as speech
imagery. Based on electrocorticography (ECoG), a new neural
decoder is used to control the BCIs by speech imagery [10]. Fur-
∗ Corresponding author. thermore, as the EEG-based BCI, vowel speech imagery is designed
E-mail address: wangli@gzhu.edu.cn (L. Wang).

https://doi.org/10.1016/j.bspc.2020.101845
1746-8094/© 2020 Elsevier Ltd. All rights reserved.
2 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

with reading /a/ and /u/ silently [11]. Various categories of speech When P300 evoked potentials are identified by CNN, Batch Nor-
imagery are constantly proposed, such as vowels, short words and malization is used in the input and convolutional layers to alleviate
long words. The difference between sound and word makes the overfitting [23]. Depthwise and separable convolutions are con-
classification more accurate [12]. In our previous research, the structed as EEGNet, and the spatial and frequency features can be
speech imagery according to Chinese characters is proposed. The extracted from the limited training data [26]. The temporal features
classification results between speech imagery and idle state are of the signals can be extracted by RNN. As an improved version of
satisfactory [13]. We also find that the results of mental tasks can RNN, long short term memory (LSTM) is more widely used. After
be improved with simultaneously performing speech imagery [14]. the decomposition of discrete wavelet transform, the EEG signals
The stability of BCIs can be effectively improved by this method, so are extracted by a deep BLSTM-LSTM network [27].
it is selected as another data set for analysis in this paper. The above DNN models only have one type of network. In order
Before EEG signals can be used to control the BCIs, they should to improve the recognition effect of the network, different types
be further processed. The process is mainly divided into two steps: of networks are combined together. One of the combinations is
feature extraction and feature classification. Similar to the experi- CNN and LSTM. Bashivan et al. propose recurrent-convolutional
mental paradigm of motor imagery, the EEG signals can be actively neural networks (RCNNs) with CNN and LSTM [28]. To extract the
changed when subjects perform mental tasks with speech imagery. spectral and spatial features, EEG signals are transformed into 2-D
Therefore, their signal processing methods can draw lessons from topologypreserving multi-spectral images at first. The robust repre-
motor imagery. The main difference between the two data sets sentations are learned by RCNNs from the sequence of images. Their
is the activation of different cerebral cortex. Therefore, the two experimental results illustrate the effectiveness of the method.
data sets have different spatial features. To fully test the perfor- However, the process of converting to an image takes a certain
mance of our proposed methods, we select the two data sets to amount of time, and it is not conducive to the establishment of
verify together. As time series, the EEG signals are also distributed an online BCI. Xie et al. propose a CNN-LSTM model to decode the
with useful features in both spatial and frequency domains. It is finger trajectory from ECoG [29]. For CNN, spatial and temporal
helpful to analyze the EEG signals by jointly extracting their tem- filtering is applied by a spatial convolution layer and a temporal
poral, spatial and frequency features. After this, the classification convolution layer, respectively. The temporal dynamics of the sig-
accuracy can be improved [15]. Common spatial pattern (CSP) is a nals can be captured by LSTM. Compared with the conventional
state-of-the-art spatial feature extraction algorithm. Based on CSP, regression methods, their method gives a prediction with higher
temporal-spatial-frequency feature extraction is developed step by correlation coeffcient. But the signal their model deals with is ECoG,
step [16,17]. The frequency characteristics are obtained by wavelet whose signal-to-noise ratio is much higher than that of EEG. To
transform, and then they are combined with the spatial features identify intracortical data, Schwemmer et al. propose a deep neural
of CSP to improve the classification accuracy [2]. Compared to the network decoding framework [30]. The signals are first transformed
single features, the spatial features combined with phase synchro- into 2-D images by wavelet transform. A LSTM layer and a convolu-
nization information also make the classification accuracy higher tional layer are used to extract the characteristics of images in turn.
[18]. After optimizing the filter range by a unified Fisher’s ratio, The results show that deep neural network decoders can be used in
the features extracted by CSP are more efficiently. The classifica- the BCI technology. Their method also includes an image conver-
tion results are also significantly improved [19]. As an extension sion process, and the complexity of the model has increased. Zhang
of the frequency domain, another famous improved approach of et al. propose cascade and parallel CNN-LSTM models [31]. Accord-
CSP is filter bank common spatial pattern algorithm (FBCSP) [20]. ing to the channel distribution, EEG signals are converted to 2-D
With a bank of band-pass filters, the optimal spatial-frequency EEG data meshes. The spatial and temporal features are extracted
features are effectively constructed by FBCSP. The effect of fea- by CNN and LSTM, respectively. Their method outperforms state-
ture extraction of CSP can be further improved by optimizing the of-the-art models. However, they ignore the frequency features of
frequency-temporal-spatial features at the same time [15]. After EEG.
selecting the time period and frequency band related to the task, EEG signals can be extracted with three different features, and
the spatial features are extracted by CSP [17]. The classification they come from three domains: time, frequency and space. These
effect of the above method is significantly better than the method three features are more often extracted by conventional methods,
of only extracting the spatial features or extracting the spatial and but they are rarely extracted by conventional DNN at the same time.
frequency features. After feature extraction, feature classification The classification accuracy of EEG can be improved by fully extract-
is the final critical step. With unique advantages to classify the fea- ing the three features. Moreover, different extraction order may
tures with less data and high dimension, support vector machine lead to different classification results. The existing CNN-LSTM mod-
(SVM) is often selected to classify the features of EEG [21]. els have too many parameters. When the amount of data is small,
The above traditional methods separate the feature extraction these models are easy to overfit. With too many parameters, these
from the feature classification. The matching between two pro- models also need more time to train. This limits these models’ use
cessing steps may not always achieve the best result. Besides, the for the online BCI. Therefore, a novel DNN architecture should be
matching processes are time-consuming and they highly depen- built to efficiently extract the temporal-spatial-frequency features
dent on researchers’ experience. Recently, deep neural networks of the signal. The above content is the motivation of this paper.
(DNN) have achieved better results than traditional methods in There are three advantages of our idea. Firstly, in order to
the fields of image classification, video analysis, natural language further improve the classification accuracy of EEG signals, novel
processing and EEG signals processing [22]. From the research of DNN architectures are proposed to jointly extract the temporal-
artificial neural network, the structure of DNN has multiple hidden spatial-frequency features. The frequency and spatial features of
layers. Without any priori feature extraction and selection, DNN EEG signals can be extracted by CNN, and the temporal features are
can directly obtain the results from end-to-end learning. Several extracted by LSTM. Secondly, to compare the classification effects of
architectures of DNN have been proposed, including convolutional different extraction orders, two series and parallel structures with
neural network (CNN), recurrent neural network (RNN), deep Boltz- CNN and LSTM are proposed, respectively. It is found that series
mann machine (DBM) and deep belief network (DBN) etc [23–25]. structures are superior to parallel structures, and the reason is also
These architectures usually require a large amount of training data analyzed. Finally, our best model has fewer parameters. Compared
to fit their huge number of hyperparameters. However, limited by with conventional CNN, the number of parameters of compact CNN
the experiments, the amount of EEG data is often relatively small. is relatively small. It has the advantages of higher classification
L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845 3

Fig. 1. Timing of a trial of the training paradigm for our own data set.

accuracy and faster training speed. In future studies, it will be ben-


eficial to apply this model to the online BCIs. The above contents
are also the contribution of this paper.
The following section introduces the method of acquisition for
the EEG signals of two types of data sets, and the architectures of
our proposed deep learning models. Section 3 gives the results of
analysis and classification. The further analysis about experimental
results is discussed in Section 4. Section 5 concludes the paper.

2. Methods
Fig. 2. Channel positions of the EEG setup for our own data set. 35 channels are
distributed over the scalp according to the expanded version of international 10–20
2.1. Data sets
system.

1) Our own data set frequency signal interference, a grounding channel is attached near
There are ten subjects (seven males and three females, right the forehead. On the center of the cerebral cortex, a reference chan-
handed students with good health and vision correction) in our own nel is attached. The impedance of all channels must remain below
data set [14]. To facilitate subsequent analysis, they are labeled as 5k. The signal sampling frequency is set as 250 Hz. The band-pass
S1-S10, respectively. Their age ranges from 22 to 28, with the aver- filter of the equipment is set as 0.1−100 Hz.
age of 23.6 years. Before the experiment, subjects must rest fully.
2) The 2008 BCI competition IV-2a EEG data set
Coffee, tea or alcohol is not allowed to drink. Seven of them have
In order to fully verify the algorithms in this paper, the 2008
the experiences about the experiment of speech imagery before,
BCI competition IV-2a EEG data set is also used [32]. It is provided
but none of them have attended the experiment about imaging the
by the Department of Medical Informatics, Institute for Biomedi-
body rotate or visualizing the Chinese strokes. They sit and finish
cal Engineering, University of Technology Graz. This data set has
the experiment with their hands relaxed naturally. By looking at a
four types of motor imagery, and they are left hand, right hand,
22 inch LCD screen, they get hints of the experiment. The Academic
feet and tongue, respectively. The EEG signals are recorded from
Ethics Committee of Southeast University permits the experimen-
22 Ag/AgCl channels, and 3 electrooculogram (EOG) channels are
tal protocol. After comprehending the purpose of the experiment
also recorded. The sampling rate is 250 Hz, and the band-pass filter
and relevant considerations, all subjects sign Informed Consent.
is set as 0.5−100 Hz. 9 subjects participate in the data collection
Without feedback, the experimental paradigm of this data set
experiment, and they are labeled as A1-A9, respectively. Every
comes from the first step of the experiment in Reference [14]. It is
experiment has two sessions. The first session is for training, and
the mental tasks with speech imagery. As shown in Fig. 1, each trial
the second is for testing. Each session has 72 trials for each type of
starts with a fixed asterisk for two seconds, and subjects can have a
imagination, and it results in 288 samples per session. As shown in
rest. Then, with a fixation cross, it is a ready period for one second.
Fig. 3, the timing scheme consists of a fixation cross of 2 s, and a cue
After that, it is a “Cue” for one second. When the “Cue” is “ (left)”,
of 1.25 s. After the cue, it is followed by a period of motor imagery
subjects image rotating their bodies to the left with reading the
of 3 s. When the cue appears, the subjects begin to imagine until
Chinese character silently. When the “Cue” is “ (one)”, they visu-
the end of the imaginary period.
alize writing the strokes with reading it silently. Subjects perform
the corresponding task during the imaginary period. With keeping
2.2. Preprocessing
their bodies still and silent, they need to repeat the same task over
and over again. Between each trial, they can take short breaks. In
The two data sets have different acquisition channels and ampli-
each run, the two cues are displayed fifteen times at random. There
fiers, so their preprocessing is a little different. For our own data,
are five runs in the entire experiment. Therefore, over the course
the EEG signals from the frontal lobe are more susceptible by EOG
of the experiment, there are 75 imagery periods of each cue.
interference, so the EOG signals are removed by SCAN 4.5 at first.
Imagining the body rotation is associated with motor cortex.
The useful information of EEG is mainly distributed in  (4−8 Hz), ˛1
Silent reading is a kind of language activity. Additionally, with
(8−10 Hz), ˛2 (10−13 Hz), ˇ1 (13−20 Hz) and ˇ2 (20−30 Hz) waves
involving both language and motor tasks, it is relatively compli-
[33]. In order to improve the signal-to-noise ratio, the EEG signals
cated to imagine writing a Chinese character. Therefore, to record
of two data sets are both filtered by the 6th order Butterworth
more comprehensive EEG signals, the primary motor area, Broca’s
band-pass filter. The filter range is 4−35 Hz.
area, Wernicke’s area, and superior parietal lobule of cerebral cor-
tex should be covered by an electrode cap. With 35 channels,
2.3. Deep Neural Networks (DNN)
the cap corresponding to the expanded version of international
10–20 system is shown in Fig. 2. To collect EEG signals, the equip-
ment is a SynAmps 2 system (Neuroscan Co., Ltd.). When recording 1) Compact Convolutional Neural Network
experimental data, it is easy to introduce the interference of CNN is a type of artificial neural networks, and its structure is
electrooculogram (EOG). To record the EOG signals, two bipolar the multilayer perceptron [23]. Inspired by the working principle of
channels are placed around the eyes. In order to reduce the power the visual cortex, the convolutional layers are introduced into CNN.
4 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

Fig. 3. Timing scheme of the paradigm of the 2008 BCI competition IV-2a EEG data [32].

two spatial filters are followed each frequency feature map, and
frequency-spatial features of the EEG signals are extracted. Along
each feature map dimension, Batch Normalization is applied. The
activation function is exponential linear unit (ELU). The expression
of ELU is [34]

x, x > 0
f (x) = (1)
˛(exp(x) − 1), x ≤ 0

x is the input eigenvalue, and ˛ is the hyperparameter to control


the saturation of ELU for negative net inputs.
The sampling rate of the EEG signals is reduced by an average
pooling layer with size (1, 4). In order to prevent over-fitting in the
training process, dropout technique is used at the last step of the
first block. The dropout probability is set as 0.5. In the second block,
the first step is separable convolutions. A separable convolution is
made up of a depthwise convolution (size (1, 32)) followed by eight
pointwise convolutions. The relationship within and across feature
maps can be decoupled, and then they are optimally merged as out-
puts. Batch Normalization, average pooling layer (size (1, 8)) and
dropout technique (the dropout probability is 0.5) are also exe-
cuted in sequence. ELU is selected as the activation function in this
block, too. After a flatten layer, the eigenvalues are input to a fully
connected (FC) layer at last. The final extracted eigenvalues can
be used for classification or for further feature extraction of other
neural networks. The specific manipulation depends on the needs,
so it is indicated by an ellipsis at the bottom of Fig. 4. When it
comes to classify directly, the activation function is softmax. The
input eigenvector z can be squashed between 0 and 1 by softmax
Fig. 4. Overall visualization of the compact CNN architecture. function [35]:
exp(zj )
Weight-sharing and sparse connectivity are the advantages of the outputj = K , j = 1, 2, ..., K (2)
convolutional layers. The two advantages can significantly reduce k=1
exp(zk )
the computational complexity. Unlike images and video having a
The number of units in the output of model is K, and it is equal to
lot of data to train CNN, the amount of data on EEG signals is very
the number of classes. As a classifier, the description of the archi-
small. For classifying the EEG signals, too many convolutional lay-
tecture of compact CNN is shown in Table 1.
ers of CNN can easily lead to over-fitting of the training model.
Therefore, it is very important to construct a suitable CNN model. 2) Shallow CNN
Compact CNN is a special CNN with depthwise and separable con- Besides the compact CNN, other structures of CNN can also
volutions, and it has fewer parameters [26]. Additionally, with a extract the frequency and spatial features of the EEG signals. To
little preprocessing, compact CNN can directly extract spatial and compare the effects of feature extraction of different CNN, a shal-
frequency features from raw data. low CNN is used [36]. The shallow CNN is inspired by the FBCSP,
As shown in Fig. 4, the structure of compact CNN has two and it consists of two layers of convolution with 40 units. The fist
blocks. In the first block, two convolutional steps are performed layer is a temporal convolution, and it is proposed to band-pass
in sequence. For ease of software implementation, 2D convolu- filter the EEG signals of each channel. The second layer is a spa-
tional functions are used. Eight 2D convolutional filters are fitted tial filter, and it achieves the convolution across the channels. The
to capture frequency information at first, and the filter length is kernel size of temporal convolution is 25, and a larger kernel size
64. Different band-pass frequencies of EEG are contained in the means a larger range of transformations. After the convolution lay-
outputting of feature maps. Depthwise convolutions are used to ers, it is followed by Batch Normalization, a squaring nonlinearity
acquire spatial features of the EEG signals. To obtain a certain num- and an average pooling layer. The activation function is logarith-
ber of spatial filters, the depth parameter is set as 2. Therefore, mic. Dropout technique is used, and the dropout probability is also
L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845 5

Table 1
The architecture of compact CNN as a classifier. Our own data set is selected as an example.

Layer #flters Input Size #params Output Activation

Reshape 35 × 200 (35, 200, 1) 35 × 200 × 1


Conv2D 8 35 × 200 × 1 (1, 64) 512 35 × 200 × 8 Linear
BatchNorm 35 × 200 × 8 140 35 × 200 × 8
DepthwiseConv2D 16 35 × 200 × 8 (35, 1) 560 1 × 200 × 16 Linear
BatchNorm 1 × 200 × 16 4 1 × 200 × 16
Activation 1 × 200 × 16 1 × 200 × 16 ELU
AveragePool2D 1 × 200 × 16 (1, 4) 1 × 50 × 16
Dropout 1 × 50 × 16 1 × 50 × 16
SeparableConv2D 8 1 × 50 × 16 (1, 16) 640 1 × 50 × 8 Linear
BatchNorm 1 × 50 × 8 4 1 × 50 × 8
Activation 1 × 50 × 8 1 × 50 × 8 ELU
AveragePool2D 1 × 50 × 8 (1, 8) 1 × 6×8
Dropout 1 × 6×8 1 × 6×8
Flatten 1 × 6×8 48
Dense 96 48 98 2 Softmax

Table 2
The architecture of shallow CNN as a classifier. The ‘Square’ is given as f(x)=x2 , and ‘Log’ is f(x)=log(x). Our own data set is selected as an example.

Layer #flters Input Size #params Output Activation

Reshape 35 × 200 (35, 200, 1) 35 × 200 × 1


Conv2D 40 35 × 200 × 1 (1, 25) 1040 35 × 176 × 40 Linear
Conv2D 40 35 × 176 × 40 (35, 1) 56000 1 × 176 × 40 Linear
BatchNorm 1 × 176 × 40 4 1 × 176 × 40
Activation 1 × 176 × 40 1 × 176 × 40 Square
AveragePool2D 1 × 176 × 40 (1, 35), stride (1, 7) 1 × 21 × 40
Activation 1 × 21 × 40 1 × 21 × 40 Log
Dropout 1 × 21 × 40 1 × 21 × 40
Flatten 1 × 21 × 40 840
Dense 2 840 1682 2 Softmax

set as 0.5. The output is flattened to 1-D and then sent to a fully enter the model, the cells of LSTM can judge them. The eigenvalues
connected layer. The final extracted eigenvalues can be also used that conform to the rules are left behind, while the eigenvalues that
for classification or for further feature extraction of other neural do not conform are forgotten. Based on this principle, the problem
networks. When it comes to classify, the activation function is also of long-term dependence in RNN can be solved. The constructed
softmax. All the computational steps are embedded in the shallow LSTM network has two stacked layers in this paper. In each layer,
CNN, so all parameters of each layer can be jointly optimized. As the number of units corresponds to the number of sliding time
a classifier, the description of the architecture of shallow CNN is windows. The two layer structure is a compromise between per-
shown in Table 2. formance and resource. The output of the last time step of LSTM is
fed into the fully connected layer to get the classification results.
3) Long Short Term Memory
The activation function is softmax.
RNN is a kind of recursive neural network. Taking sequence data
as input, it gets recursion in the direction of sequence evolution. All 4) Series Convolutional Recurrent Neural Network
circulation units are linked by chains to form a closed loop. How- After extracting the temporal-spatial-frequency features, the
ever, it is a challenge to train RNN by gradient descent algorithm. useful information of EEG signals can be fully exploited. The goal
For an earlier network, RNN is insensitive to inputs. To address the of our research is to improve classification accuracy with com-
long-term dependence issue, LSTM is proposed as an improved ver- prehensive feature extraction. Therefore, how to combine these
sion of RNN [29]. LSTM can more effectively extract the temporal three features is the key. In order to achieve the research goal,
features of the EEG signals. Three control cells are added in LSTM, series and parallel convolutional recurrent neural network frame-
and they are input gate, output gate and forget gate, respectively. works are designed and compared. The series structure is shown
They can be described by these equations [29]: in Fig. 5. The frequency and spatial features of the filtered EEG
signals are first extracted by CNN, and then the sequences of
i = (Wi xt + Ui ht−1 + bi ) (3)
the extracted features are fed into LSTM to extract temporal
f = (Wf xt + Uf ht−1 + bf ) (4) features. The output of the last time step of LSTM layers is trans-
ported to a fully connected layer. A softmax classifier obtains the
o = (Wo xt + Uo ht−1 + bo ) (5) final prediction at last. To form the series convolutional recurrent
∼ neural network with LSTM, compact CNN and shallow CNN are
c = Wc xt + Uc ht−1 + bc (6)
respectively used as the CNN module. They are labeled as series
ct = f  ct−1 + i  c̃ (7) compact convolutional recurrent neural network (SCCRNN) and
series shallow convolutional recurrent neural network (SSCRNN),
ht = o  ct (8) respectively.
(x) = 1/(1 + exp(−x)) (9) 5) Parallel Convolutional Recurrent Neural Network
The series structure can extract different features step by step,
To control each gate, W, U and b are set as learnable parameters.
and the effect of temporal feature extraction is affected by the
x, h, i, f, o and c are input, output, input gate, forget gate, output gate
previous step. To independently extract the temporal features, a
and memory cell state, respectively.  represents element-wise
parallel convolutional recurrent neural network is also proposed
product. t represents the data as the time series. As the eigenvalues
6 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

Fig. 5. Series convolutional recurrent neural network architecture.

in Fig. 6. The parallel structure also contains CNN and LSTM. Unlike public data set also has 200 points. Finally, each task has 720 pieces
the series structure, it extracts the features in parallel. After passing of data.
through their own full connection layers, the two extracted fea- After band-pass filtering, the EEG signals are directly analyzed
tures are combined together. Finally, they are sent to a softmax by DNN. With Python 3.5.2 using the Keras API in TensorFlow,
classifier. To form the parallel structure with LSTM, compact CNN all models of DNN are trained on one NVIDIA GTX 1080 Ti GPU.
and shallow CNN are also respectively used as the CNN module. The models are trained with an Adam optimizer for 200 epochs,
They are labeled as parallel compact convolutional recurrent neu- and the learning rate is set as 1 × 10−5 . For 2 and 4 classifica-
ral network (PCCRNN) and parallel shallow convolutional recurrent tion problems, loss functions are set as binary crossentropy and
neural network (PSCRNN), respectively. categorical crossentropy, respectively. Batch size of all models is
64. The EEG signals have spatial, temporal and frequency fea-
3. Results tures, so it is helpful to improve the classification results by jointly
extracting these three features. Four novel architectures (SCCRNN,
Our own data has two kinds of signals, and the imagery period SSCRNN, PCCRNN and PSCRNN) with the series and parallel struc-
is four seconds for each kind. Therefore, there are four seconds of tures are proposed to extract the three features, respectively. To
EEG signals for analysis, and they come from 4 s to 8 s of every compare with the proposed architectures, the classification results
trial in Fig. 1. The four seconds data has 1000 points, and they of LSTM, compact CNN and shallow CNN are also calculated. Addi-
are evenly divided into five temporal segments without overlap. tionally, the results of a traditional method with CSP and SVM
Therefore, each data segment has 200 points. There are 75 imagery are obtained. After calculating by 10 × 10 cross-validation of the
periods for each task. After interception, each task has 375 pieces above eight methods, the results of our own data set are shown in
of data. The 2008 BCI competition IV-2a data set has four types Fig. 7.
of motor imagery. For more reasonable analysis of the proposed As shown in Fig. 7, the classification results between the two
algorithms, these four types of imagination are grouped in pairs at mental tasks are calculated for ten subjects. Significant differences
first. They can be combined into six groups, including left hand vs between the results are analyzed by paired samples t-test. For the
right hand, left hand vs feet, left hand vs tongue, right hand vs feet, eight algorithms, SCCRNN has the highest average accuracy with
right hand vs tongue, and feet vs tongue. After analyzing the two 85.6 %. It is 2.7 % higher than the compact CNN (p < 0.05). It indi-
classifications, the best algorithm will be selected to further ana- cates that time features extracted by LSTM have a contribution to
lyze the four classifications. The final results will be compared with the classification results. There is no significant difference between
the algorithms of other literatures. In the public data set, data loss the results of compact CNN and CSP-SVM (p > 0.05). The average
occurs at individual channels in very few trials of some subjects. result of SCCRNN is 4.0 % higher than CSP-SVM (p < 0.01). Com-
To keep the number of trials consistent for each subject, the chan- pared to conventional methods, better results can be obtained by
nels lost data are removed, rather than the trial being removed. For constructing appropriate deep learning models. There are two rea-
the 2008 BCI competition IV-2a EEG data set, the subjects begin sons for the results: firstly, higher classification accuracy can be
to imagine as soon as the cue appears. After imaging their bodies obtained by jointly optimizing feature extraction and classification
movement, four seconds data is generated. The data is also evenly algorithms; secondly, only the spatial features of EEG signals are
divided into five temporal segments without overlap. Because the extracted by CSP, and the frequency and temporal features are not
two data sets have the same sampling rate, each segment of the necessarily optimal results. Different DNN structures also have dif-
L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845 7

Fig. 6. Parallel convolutional recurrent neural network architecture.

Fig. 7. After 10 × 10 cross validation, the results of eight methods are calculated for
our own data set.

ferent results. The average accuracy of compact CNN is better than


shallow CNN (p < 0.05). Series and parallel structures with the com-
pact CNN also have better results than those with the shallow CNN
(the series structure: p < 0.01, and the parallel structure: p < 0.05).
The classification effects between series and parallel structures are
also compared, and the results of two series structures are both bet-
ter than two parallel structures. The reason is that LSTM does not
work well with classifying the EEG signals directly, and its result is
only 69.2 %. When the features extracted by LSTM are directly com-
bined with the eigenvalues of CNN, the overall recognition rate will
be reduced. The classification results of two types of eigenvalues
differ too much, and the eigenvalues with lower results are easily
regarded as noise by the classifier. Finally, the final classification
results are reduced.
Comparing two types of CNN, the average result of shallow CNN
is lower than compact CNN. The reason is that the quantity of train-
Fig. 8. The training and verification processes of subject S1: (a) shallow CNN; (b)
ing data is small, and it is not easy to reach the optimal solution
compact CNN.
for shallow CNN. In order to observe the training process of two
models of subject S1, the accuracies of training and verification
processes are shown in Fig. 8, respectively. After several epochs
8 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

of training, the training accuracies (acc of Fig. 8) of shallow CNN as our own data set. Therefore, the results of the eight algorithms
quickly approach 1. However, the verification accuracies (val acc are no longer compared. Taking SCCRNN as an example, the results
of Fig. 8) only reach 0.76 and then stop increasing. There is an of six pairs of motor imagery will be mainly analyzed. Among the
obvious phenomenon of over-fitting. The model over-optimizes the four types of imagination, there is the greatest difference between
training data, and it cannot generalize the data beyond the training imagining the left hand and tongue movement (91.65 %). The results
set. The trained model of compact CNN has better generalization of right hand vs feet and right hand vs tongue are slightly lower,
performance. This is because the structures of shallow CNN and and they are 90 % and 89.8 %, respectively. The result of left hand
compact CNN are different. Taking our own dataset as an example, vs right hand is the lowest (85.9 %), which is even lower than
the numbers of trainable parameters are 58724 and 1884 for shal- the result of tongue vs feet (87.6 %). For the four categories of
low CNN and compact CNN, respectively. In addition to having far motion imagination, left and right hands motor imagery is the most
fewer training parameters than shallow CNN, the training speed of studied. However, the classification accuracy between them is not
compact CNN is also faster. necessarily the highest. The above results are all greater than the
The deep learning models are often referred as black boxes. The random value (50 %), so motor imagery has application value for
representations learned by models are difficult to extract, and the BCIs.
way that they behave is hard to understand. Fortunately, compared Because SCCRNN has the highest classification accuracy among
with other deep learning models, the representations learned by the eight algorithms, it is selected as the next method to calcu-
CNN are more suitable for visualization. To verify the robustness late the four classifications. Unlike the above results from cross
of models, the interpretability of model features is an important validation, the training sets (the first session) of the 2008 BCI com-
manifestation. As a result, various methods have been proposed to petition IV-2a EEG data set are used to train the SCCRNN. After
interpret and understand CNN [37]. The representations are inter- training, the evaluation sets (the second session) are used to test the
preted by visualizing the filtering layers of CNN in this paper. The model. In addition to accuracy, Cohen’s Kappa value is used more for
compact CNN with better training results is selected for visual- multi-classification [38]. This is because the accuracy is not equal to
ization. A random signal (the size of the signal is 35 × 200) with compare different categories. As a result, the Kappa value is selected
noise is transformed into a tensor, and the tensor is this shape to evaluate our method for the four classification algorithm in this
(1, 35, 200, 1). Then, it is input into the model. Stochastic gra- paper. The Kappa value is calculated by (po -pe )/(1-pe ) [39]. po is the
dient descent is used to adjust the values of the input signal. A classification accuracy and pe is a random probability (For example,
loss function is constructed to maximize the response of the fil- the random probability of two classification is 0.5, and four classi-
ter in the convolution layer. After passing through each filter, a fication is 0.25). To show whether our proposed method is good or
floating point tensor is obtained with the shape (1, 35, 200, 1). not, it is compared with the methods from other literatures. The
To display the tensor more clearly, the data is converted to the results of the comparison are shown in Table 3. To make the results
integer within the interval [0, 255]. Visual results of the convolu- clearer, the maximum Kappa value per row is marked bold. The
tion layer and depthwise convolution layer of compact CNN are standard deviations (Std) of the Kappa values of nine subjects are
obtained for subject S1, and they are shown in Fig. 9 and Fig. 10, also calculated for all methods.
respectively. Compared with the other six methods, the average Kappa value
There are eight convolutional filter patterns in the compact CNN, obtained by our proposed method is the highest (0.64). Two sub-
and they are named conv 1, conv 2, . . ., conv 8 in Fig. 9, respec- jects (A4 and A6) get the best results after using our method. The
tively. The EEG signals are band-pass filtered by convolutional Kappa values of five subjects exceed or reach 0.7. A hybrid learn-
filters. Each filter has a different filter range, so each subgraph of ing method based on two classifiers is proposed by Raza [40]. With
Fig. 9 has different color along the horizontal axis. For each sub- the method, other three subjects obtain the highest Kappa value
graph, the color along the vertical axis is basically the same. This in Table 3. However, its standard deviation is the largest, which
means the signals of all channels are filtered according to the same means that his method is the most volatile for different subjects.
filtering range. The depth parameter of the model is 2, so two After being processed by his method, subject A2 has the smallest
spatial filters are followed each frequency filter. Therefore, there Kappa value in Table 3. Particularly, the average value of all sub-
are 16 filter patterns in the depthwise convolution layer, and they jects is much lower than our method. Olivas-Padilla proposes a
are named depthwise 1, depthwise 2, . . ., depthwise 16 in Fig. 10, novel method: the features are extracted by discriminative filter
respectively. After passing through one of the band-pass filters, the bank common spatial pattern at fisrt, and then CNN is used to fur-
signals are further filtered by two spatial filters. Along the vertical ther extract and classify the features [43]. Compared with using
axes of these subgraphs, the values are changed. Large values indi- CNN to directly extract the features of EEG, the results obtained
cate that the signals of this channel are enhanced, and small values by this method are more stable and excellent (the Kappa value is
indicate that the signals are weakened. Finally, through these two 0.61, and it is the second highest value in Table 3). The standard
convolutional layers, frequency-spatial features of the EEG signals deviation of the method of Olivas-Padilla is the lowest. Because
are extracted. it does not extract the time features of EEG, the average value is
In order to fully verify our proposed methods, the results of also lower than our method (p < 0.05). Another 0.61 is obtained by
2008 BCI competition IV-2a data set are also calculated. For the the method proposed by Sharbaf, which is lower than our method
data set, there are four kinds of motor imagery. The results of six (p < 0.05). FBCSP is proposed by Ang, and it is developed from CSP.
pairs (left hand vs right hand (L vs R), left hand vs feet (L vs F), FBCSP focuses on subdividing the frequency components to get
left hand vs tongue (L vs T), right hand vs feet (R vs F), right hand higher accuracy [38]. However, FBSCP does not take account of
vs tongue (R vs T), and feet vs tongue (F vs T)) are respectively the temporal features of EEG, so its Kappa value is the second-
calculated by the above eight algorithms at first. The results are lowest of the seven methods. After comparing with conventional
shown in Fig. 11, and the best algorithm will be selected for further methods and deep learning algorithms, the results obtained by
analysis. our method is the best. A novel series structure is proposed: the
According to the classification of six pairs, the results of SCCRNN frequency and spatial features of EEG signals are extracted by com-
are also the highest. This result is consistent with our own data pact CNN at first, and then the temporal features are extracted
set. SCCRNN has a certain adaptability to perform excellent results by LSTM. Therefore, the frequency, spatial and temporal features
for different data sets. Except for several inconsistencies, the gen- of EEG can be fully mined, and the classification results are also
eral situation of the other seven algorithms is basically the same improved.
L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845 9

Fig. 9. Visualization of filter patterns of the convolution layer of compact CNN for subject S1.

Fig. 10. Visualization of filter patterns of the depthwise convolution layer of compact CNN for subject S1.

Table 3
Our proposed method in comparison to past studies by calculating the Kappa value, and the maximum Kappa value per row is marked bold.

Subject Ang et al. [38] Xie et al. [39] Zeng et al. [40] Raza et al. [41] Sharbaf et al. [42] Olivas-Padilla et al. [43] Our proposed method

A1 0.68 0.77 0.74 0.88 0.75 0.68 0.77


A2 0.42 0.33 0.27 0.22 0.31 0.36 0.38
A3 0.75 0.77 0.77 0.88 0.82 0.69 0.75
A4 0.48 0.51 0.43 0.39 0.56 0.62 0.65
A5 0.4 0.35 0.29 0.53 0.47 0.6 0.54
A6 0.27 0.36 0.27 0.33 0.38 0.45 0.47
A7 0.77 0.71 0.73 0.38 0.75 0.71 0.76
A8 0.76 0.72 0.77 0.85 0.74 0.72 0.78
A9 0.61 0.83 0.8 0.81 0.67 0.66 0.7
Mean 0.57 0.59 0.56 0.58 0.61 0.61 0.64
Std 0.17 0.19 0.23 0.25 0.17 0.11 0.14
10 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

Fig. 11. After 10 × 10 cross validation, the results of eight algorithms are calculated for the 2008 BCI competition IV-2a data set: (a) L vs R; (b) L vs F; (c) L vs T; (d) R vs F; (e)
R vs T; (f) F vs T.
L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845 11

4. Discussion ation also keeps each channel independent. Different from the
structure of shallow CNN, convolution kernels of compact CNN
The efficiency of BCIs is often determined by the classification are used to separate the correlation of signal in plane space and
accuracy of the EEG signals. Compared with other CNN-LSTM mod- different channels. This method not only simplifies the struc-
els, we propose three novelty parts in the DNN models to improve ture of convolution kernels but also maximizes the characteristic
the classification accuracy. Firstly, novel DNN architectures are pro- information. This is one benefit of the depthwise and separable
posed to jointly extract the temporal-spatial-frequency features. convolutions. The previous feature maps are not all connected
CNN-LSTM models proposed by Zhang only extract the spatial and in the compact CNN, which can reduce the training parameters.
temporal features of EEG, and they ignored the frequency features The reduction of parameters is more conducive to the classifica-
[31]. Secondly, series structures are found to be superior to parallel tion of less data. Compared with other CNN architectures (such
structures. This is due to different extraction sequences. Thirdly, our as DeepConvNet and ShallowConvNet) [36], the number of train-
method makes the models as simple as possible to accommodate able parameters of compact CNN has been decreased at least 31
the wearable devices in the future. CNN-LSTM models proposed times (For compact CNN and shallow CNN, the numbers of trainable
by Bashivan and Schwemmer deal with images [28,30], and our parameters are 1884 and 58724, respectively). In order to compare
models directly deal with EEG signals. With the addition of image with the compact CNN, the results of shallow CNN are also cal-
processing, the complexity of the models can be increased. The culated. In the process of training, shallow CNN needs to fit more
three features can be extracted by Xie’s model [29]. Its structure parameters. From the training and verification processes of shallow
is similar to the series structure with shallow CNN, whose classifi- CNN, the phenomenon of overfitting still appears. Batch Normal-
cation accuracy is not as good as the series structure with compact ization, average pooling layer and dropout technique have been
CNN. In addition, the number of parameters of shallow CNN is much added, but the effect is not obvious. As the amount of data is lim-
more than that of compact CNN, and this is not conducive to the ited, the training of DeepConvNet is too easy to over-fit. Therefore,
datasets with less data. Our own data set and the 2008 BCI com- the results of DeepConvNet are not shown.
petition IV-2a EEG data set are both used to validate the proposed Although deep learning can be better than conventional algo-
models. Their results are compared with the results of CSP + SVM, rithms in some cases, it is not absolutely perfect. The major
LSTM, compact CNN and shallow CNN. For both sets of data, the disadvantage of deep learning is that it consumes a lot of com-
highest results are obtained by SCCRNN. SCCRNN is a series struc- puter hardware resources, and GPUs are often needed to run deep
ture with compact CNN and LSTM. At the same time, we compare learning. For the BCIs, the algorithms have practical value with the
SCCRNN with the methods from other literatures, and its result is ability to process data online. Particularly, low latency can greatly
also the best. improve user experience. Therefore, in addition to improving the
Via multiple channels, the EEG signals are electrical signals classification accuracy of deep learning, reducing the running time
that can respond to change in the brain over time. Therefore, of the model is also an important research direction. To improve the
the EEG signals have useful features in temporal, spatial and fre- training speed, the easiest way is to reduce the number of model
quency domains. The features of these three domains should be parameters. Taking CNN as an example, compact CNN has fewer
simultaneously extracted and analyzed. This process can not only trainable parameters than shallow CNN, and the training of com-
comprehensively analyze the EEG signals, but also improve the pact CNN is also faster. The trained models can be directly used to
classification accuracy of metal tasks. As a traditional method, classify the EEG signals, which is much faster than the training pro-
temporal-spatial-frequency features extraction usually develops cess. However, in the follow-up experiments, whether the delay
on the basis of spatial features (such as CSP). The multichannel EEG of models can be suitable for the online BCIs is needed to further
signals can be decomposed into multiple time and frequency seg- verify.
ments by temporal windows and band-pass filters, respectively. With the small data sets of EEG signals, the training of the
Then, the spatial features of each time-frequency segment are standard DNN may be easy to overfit. This leads to poor generaliza-
extracted by CSP. Finally, temporal-spatial-frequency features are tion performance of the trained model. To solve this problem, the
selected and classified by generalized sparse linear discriminant amount of data should be increased as much as possible. Prolonged
analysis method [17]. The feature extraction and feature classifi- training may cause subjects fatigue, and it results in the decrease
cation are separated in the conventional processing method, and of signal to noise ratio of the EEG signals. Therefore, it is unrealistic
it may not necessarily achieve the optimal results. However, these to increase the amount of data by overextending the experimen-
two steps are closely integrated and jointly optimized in deep learn- tal time. To increase the amount of data in this paper, the data of
ing. During the training of the model, the effect of feature extraction imaginary period is intercepted by a sliding time window. In addi-
can be directly adjusted according to the classification results. The tion to this method, new data can be generated by adding noise to
deep learning networks with series and parallel structures are pro- the original data [45]. Besides using your own data to augment the
posed in this paper. Among them, the frequency and spatial features data set, other subjects’ data can be used to perform inter-subject
can be extracted by CNN, and the temporal features can be extracted transfer learning techniques [46]. To improve classification results,
by LSTM. After extracting all three kinds of features, the networks the data augmentation techniques will be enriched in our future
obtain significantly better results than those extracting only one research.
or two kinds of features. Furthermore, different extraction order
of three kinds of features leads to different results. For two data
sets, the results of series structures are better than those of parallel 5. Conclusions
structures. It is easy to over-fit, when the temporal features of EEG
are directly extracted by LSTM. The classification results are also Without additional feature extraction, the classification results
not good. In order to improve the classification accuracy of LSTM, can be gotten from end-to-end learning by DNN. During the train-
the spatial-frequency features can be extracted by FBCSP at first ing of the model, feature extraction and classification can achieve
[44]. the best matching. For the traditional processing algorithms of
The result of compact CNN is superior to that of shallow CNN. EEG signals, the feature extraction and classification algorithms are
For a single channel, EEG signals belong to one-dimensional time set separately. Therefore, DNN has more potential to improve the
signals. For ease of software implementation, the two-dimensional classification accuracy. In this paper, the novel series and parallel
convolution is used in the standard convolution layer. This oper- structures with CNN and LSTM are proposed to extract frequency,
12 L. Wang, W. Huang, Z. Yang et al. / Biomedical Signal Processing and Control 58 (2020) 101845

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