A Multi-Algorithmic Face Recognition System
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A Multi-Algorithmic Face Recognition System#Soumitra Kar, Swati Hiremath, Dilip G. Joshi, Vinod.K.Chadda and 1Apurva BajpaiEISD, BARC, Mumbai-400 085, Indiaskar@.inAbstractThe importance of utilising biometrics to establish personal authenticity and to detect impostors is growing in the present scenario of global security concern. Development of a biometric system for personal identification, which fulfills the requirements for access control of secured areas and other applications like identity validation for social welfare, crime detection, ATM access, computer security, etc. is felt to be the need of the day. Face recognition has been evolving as a convenient biometric mode for human authentication for more than last two decades. S everal vendors around the world claim the successful working of their face recognition systems. However, the Face Recognition Vendor Test (FRVT) conducted by the National Institute of Standards and Technology (NIST), USA, indicates that the commercial face recognition systems do not perform up to the mark under the variations ubiquitously present in a real-life situation. Availability of a largely accepted robust face recognition system has proved elusive so far. Keeping in view the importance of indigenous development of biometric systems to cater to the requirements at BARC and elsewhere in the country, the work was started on the development of a face-based biometric authentication system. In this paper, we discuss our efforts in developing a face recognition system that functions successfully under a reasonably constrained set-up for facial image acquisition. The prototype system built in our lab finds facial match by utilizing multi-algorithmic multi-biometric technique, combining gray level statistical correlation method with Principal Component Analysis (PCA) or Discrete Cosine Transform (DCT) techniques in order to boost our system performance. After automatic detection of the face in the image and its gross scale correction, its PCA and DCT signatures are extracted. Based on a comparison of the extracted signature with the set of references, the set of top five hits are selected. Exact scale of the face is ascertained w.r.t. each of these hits by first locating the eyes employing template matching technique and then finding the inter-ocular distance. After interpolating the face to the exact scale, matching scores are computed based on gray level correlation of a number of features on the face. Final identification decision is taken amongst this set of five faces, depending on the highest score. We have tested the technique on a set of 109 images belonging to 43 subjects, both male and female. The result on this image-set indicates 89% success rate of our technique.1Deputed to BARC by ECIL for this project.Index TermsFace recognition, Identification, Multi-algorithmic, Multi-biometric, Discrete Cosine Transform, Principal Component Analysis, Correlation.1.INTRODUCTIONBiometrics makes automated use of the unique personal features to establish the identity of a person. It is a tool for positive identification of a human subject as biometric signatures cannot be stolen, forgotten, lost or communicated to another, as is possible in the case of authentication employing cards, keys or passwords, so common in day-to-day use. In the present scenario of increased security concern, the necessity and relevance of making use of biometrics to establish personal identity and to detect impostors are assuming significance. Biometric techniques are based on either physiological characteristics (like finger print, iris, etc.) or behavioral traits (like voice dynamics, gait, etc.).Depending upon the suitability in a particular application, one has to choose a particular biometric [15] to be used as the basic signature for recognition. We selected the face based approach on the considerations that facial imaging, being non-intrusive, has easy client acceptance, apart from the fact that face recognition is the most natural means of biometric identification for human beings. The present circumstances around us demand increased level of security and, therefore, machine capability of personal identification from the facial image is considered invaluable. Face-based biometric systems have the potential to fulfill the requirements for access control of secured areas, surveillance, social welfare, law enforcement, etc. Although there are a few commercial face recognition systems available around the globe, their performance is not up to the mark under the practical variabilities [5]. This encouraged us to take up face recognition system development.For enhancing the accuracy of biometric systems, multi-biometric technique with the ability to utilise either multiple biometric modalities or multiple instances within a modality and/or multiple algorithms, prior to making a specific verification/identification decision, has been suggested [16]. We have developed a prototype face recognition system utilising multi-algorithmic multi-biometric technique to boost the system performance. It is based on combining Correlation with Principal Component Analysis (PCA) or Discrete Cosine Transform (DCT) technique for the purpose of deciding a facial match.The outline of the paper is as follows. In the present section, the topic biometrics is introduced and the choice of face as the underlying signature for biometric system development is justified. In section II, we make a brief literature survey on face recognition. In section III, we describe our technique of face recognition. This is followed by the presentation of performance results of our prototype system in section IV, and concluding remarks in section V.2. BACKGROUND OF THE WORKFor over two decades [4] face recognition has drawn attention of the research community. Face identification from a single image is a challenging task because of variable factors like alterations in scale, location, pose, facial expression, occlusion, lighting conditions and overall appearance of the face. With the synergy of efforts from researchers in diverse fields including computer engineering, mathematics, neuroscience and psychophysics, different frameworks have evolved for solving the problem of face recognition. Among these, the prominent approaches are those based on Principal Component Analysis (PCA), Local Feature Analysis (LFA), Template Matching, Neural Network, Model Matching, Partitioned Iterated Function System (PIFS), Wavelets and Discrete Cosine Transform (DCT). The choice of a particular solution is governed by its suitability in a particular application.In PCA method, also known as Eigenface method, face images are projected onto the so called eigenspace [6] that best encodes the variations among known facial classes, and recognition is achieved by carrying out match of these projected feature vectors. The advantage of this method is real-time recognition, but the method in itself is sensitive to change in illumination, facial orientation and its size. LFA [8] method of recognition is based on analysing the face in terms of local features, e.g., eyes, nose, etc. by what is referred to as LFA kernels. LFA technique offers better robustness against local variations on the facial image in carrying out a match, but does not account for global facial attributes. Face recognition based on template matching [13] represents a face in terms of a template consisting of several masks enclosing the prominent features e.g. the eyes, the nose and the mouth. Matching is usually carried out by a correlation score computed from the pixel intensities of these masks taken from the reference, with the query image. H owever, this method is sensitive to scale, orientation, and nonlinear illumination changes of the face. Recognition by Neural Network [11] are based on learning of the faces in an ‘Example Set’ by the machine in the ‘Training Phase’ and carrying out recognition in the ‘Generalization Phase’. But to succeed in a practical set-up, the examples should be adequately large in number to account for variations in real life situations. Model Matching methods of face recognition (like Hidden Markov Model (HMM) [12]) train a model for every person during model learning and choose the best matching model, given a query image. Success of these methods largely depends on building realistic representative models. Recognition technique formulated on Partitioned Iterated Function System (PIFS) [9] makes use of the fact that human face shows region-wise (fractal) self-similarity, which is utilised for encoding the face to generate the PIFS code. Recognition is performed by matching these PIFS codes. Although PIFS code extracts the signature of the face efficiently, the technique is not robust against the facial variations occurring from instance to instance. Selection of the prominent coefficients from the wavelet transform (WT) is effective in extracting the signature of a face and eliminating the redundancies. Moreover, WT provides a inherent handle to deal the data at different scales. Ref. [12] deals with WT employed to carry out face recognition. DCT-based recognition technique [7] depends on the capabilities of the discrete cosine transform to extract the facial signature in terms of a few DCT coefficients. Recognition is achieved by matching the DCT signatures. Both wavelet and DCT have promising future as the underlying techniques for implementation of successful face recognition systems. Fusing the scores of several different classifiers applied on the same data is a very promising approach to improve the overall accuracy of the biometric systems [18]. We make use of such intramodal fusion [14] combining correlation-based template matching with PCA or DCT methods applied on the same facial data to decide the authenticity of a subject. In this paper, we present a prototype system implementing our technique of face recognition.3.MULTI-ALGORITHMIC FACERECOGNITIONEarlier we developed a technique [1] of verifying human face by matching against templates retrieved from the reference database created during registration process. In this technique the matching is carried out in terms of a set of correlation scores corresponding to different areas of interest (rectangular bit-maps representing different regions of the face) and their Euclidean distances measured in pixels. This technique can be extended for identification by matching the input face against every registered identity to choose the one which gives the best correlation scores and minimum distance error. Unfortunately, correlation is compute-intensive, and to match a face against a large number of reference faces using correlation software takes unacceptably long duration for a practical application.A PCA-based ApproachA survey [2,4] on the available literature revealed the main techniques of face recognition which are mentioned in section II. We decided to implement the PCA method of recognition first. In this method as well as those described in subsections 3B and 3C, our prototype recognition system (described in the later part of subsection 3C) makes use of reasonably constrained imaging set-up with facial image grabbed in frontal geometry under sufficient illumination level in order to minimise the variations in the acquired image. We made use of the open source routine [17] forcarrying out face detection from the captured images as well as for computation of eigenfaces and for projecting a facial image on the face space to obtain a set of weightages. Software modules developed include those for facial size normalization, calculation of threshold parameters for classification and taking recognition decision based on the distance of set of weightages of the projected query face from the distances of set of weightages of the projected reference faces. The complete software was implemented in Visual C++ under MS-Windows. Fig.1. (a) shows a sample registration image gallery and Fig.1. (b) the corresponding eigenfaces from our PCA-based face recognition database.The test results on a set of 109 images (capturedusing our prototype system) belonging to 43 persons, both male and female, indicated that the PCA-based face recognition software was unable to extract the correct match to be the best match in few cases, but the correct identity was there in the top 5 matches for most of these cases. Although the main performance measure for a biometric identification system is the percentage of queries in which the correct answer can be found in the top few matches [3], this top set of matches must be further probed in order to identify the true owner of the rendered query biometric signature. Our aim was to use face recognition for access control. Therefore, our PCA implementation alone was deemed unsuitable under the situation when the final decision on granting access isrequired to be in an automated way.(a) (b)Fig.1. (a) Sample registration image gallery, and (b) the correspondingeigenfaces from database.B DCT-based Approach We also decided to probe the feasibility of DCT-based technique of face recognition for access control application. Open source routine for carrying out face detection from a given image was used. Software modules developed include those for facial size normalization, computation of DCT of a face image and making recognition decision based on the distance of the DCT code of the query face from the reference DCT codes in the database. All the modules were developed and integrated in Visual C++ environment under MS-Windows. Fig.2. (a) depicts a sample face, and (b) the corresponding DCT plot from our DCT-based face recognition database. The test results on the set of 109 images (mentioned in the previous section) indicated that the DCT-based face recognition software was unable to extract the correct face to be the best match in few cases, although the correct identity was there again in the best 5 matches for most of the cases. Therefore, our DCT implementation alone was alsounsuitable for access control application.Fig.2. (a) Sample face, and (b) the corresponding DCT plot from ourdatabase .C Multi-algorithmic approachIt was decided to try a multi-algorithmic approach for face recognition based on PCA followed by template matching using correlation as well as DCT followed by template matching using correlation methods. Here, the basic strategy was to select a few (we chose 5) probable identities as provided by PCA / DCT techniques and to decide the final identity to be that corresponding to the highest score provided by template matching method applied only on these selected 5 identities. This multi-algorithmic scheme of recognition kept the computational load within acceptable limit for adoption as a practical system, and at the same time, improved the recognition accuracy considerably. Ourproposed system is described below in details.Fig.3. Template selection. In the multi-algorithmic approach of multi-biometric face recognition, a user is registered with the system using the different algorithms employed, before they can be identified. For registration, after grabbing the facial image, location of the face is automatically detected and normalised w.r.t. size (128x128 in our system; a standard gray level interpolation algorithm is made use of) and w.r.t. illumination (to a predecided average intensity level). Next, a facial template (comprising of eyes, nose and mouth regions) for the user is selected (see Fig.3) manually. This template is stored in the reference database. After grabbing the facialimages (and normalising w.r.t. size and illumination), PCAanalysis is carried out to compute the eigenvectors, from which the set of weightages (reference PCA feature vector) .for all the registered users are calculated and stored. Also, DCT codes are extracted from the (normalised) facial images and stored in the reference database.During identification, the facial image of the person to be recognised (query) is grabbed. After detecting the face automatically in this image, it is normalised w.r.t. size and illumination. Then, the PCA and DCT signatures are extracted. Matching is carried out with this extracted signatures against the reference database. The top 5 identities are chosen both w.r.t. PCA and DCT matching, separately. The following processing steps are carried out on both these sets of 5 identities.Using the reference templates of the left and right eyes corresponding to all the top 5 identities, locations of the two eyes on the query face are determined using gray level correlation technique. The inter-ocular distance is used to calculate the scale factor of the query w.r.t. the reference image. Using this scale factor, the query is re-sized. Now, matching is carried out on the re-sized query using all the identity templates one by one (for the top 5 identities as found in the previous paragraph) using correlation. A quality degradation factor (QDF) is evaluated by linearly combining the correlation score and the distance error (computed based on the relative position of the features in the reference and query; see Fig.3). The recognised identity is decided to be that corresponding to the best (lowest in our formulation) QDF.All the steps involved in the face recognition process are indicated in the block schematic of Fig.4.We have made use of open source routines [17] for carrying out face detection from the captured image during registration and identification, as well as for computation of the eigenfaces and the set of weightages for an image from these eigenfaces.Fig.5 shows the prototype face recognition system. The system comprises of a Pentium-IV PC executing the recognition software, a table-top stand-mounted video camera, a frame grabber plugged in the PC, sitting arrangement kept at a fixed distance of about one meter from the camera, a flexible enclosure surrounding the seat to minimize the effect of fluctuations of the ambient lighting and a set of four fluorescent light sources providing sufficient illumination within the area enclosed.Fig.4. Block schematic of face recognition algorithm based on combination of correlation and PCA/DCT techniques.Fig.5. PC-based face recognition system4.RESULTSThe technique has shown promising results during laboratory tests conducted for a set of 109 images belonging to 43 different subjects.Fig.6. Recognition rate of various face recognition techniques tried.The recognition rate, measured as the ratio of successful attempts (cases where the best match is the correct match) to the total attempts, was analyzed offline for the various approaches. It was observed that addition of correlation technique improved the recognition rate. As the best 5 matches provided by the individual PCA / DCT technique are the input for correlation technique, the improvement in recognition rate of the combined approach is expected. Moreover, when recognition decision given by PCA followed by correlation technique was combined with that of DCT followed by correlation technique using OR logic, the recognition rate further improved to 89% (Fig.6). This is contributed by those attempt cases in which the correct identity appeared in the best 5 matches provided by only one of the techniques i.e. either the PCA or the DCT but not in the both.With Access Control Application in view, the False Rejection (FR) and False Acceptance (FA) Rates of PCA and DCT were studied as a function of Euclidean distance threshold. Fig.7 shows that for PCA method the FR is 20% and FA is 12% at a distance threshold setting of 7.5.Fig.7. FR and FA rates vs. Distance Thr plot for PCA method.Fig.8. FR and FA rates vs. Distance Thr plot for DCT method.Fig.8 shows the performance achieved by the DCT method. The figure indicates that at distance threshold of 2500, the FR and FA are both approximately 20%. It is also observed from the plot that further increase in the threshold limit does not provide any improvement in the false rejection rate. This behavior is attributed to the attempts with degradation of facial image quality because of inadvertent and inevitable variations in size and orientation, which are bound to occur in a practical scenario.In multi-algorithmic scheme, both the techniques are combined with correlation technique in cascaded fashion i.e. the best 5 results of either the PCA or the DCT technique are provided as the input for the correlation technique, and a threshold is applied to the best QDF calculated for these 5matches.Fig.9. FR, FA rates vs. QDF Thr plot for PCA and Cor method.The FR and FA rates of the combined techniques were studied as the function of the QDF threshold. The plots in Fig.9 and Fig.10 indicate remarkable improvements in FA rate and a marginal improvement in the FR rate. Note that the FA rate is zero for a wide range of QDF values. This makes our multi-algorithmic technique very much suitable for Access Control Application.Fig.10. FR, FA rates vs. QDF Thr plot for DCT and Cor method.5. CONCLUSIONSRecognition of identity of the person based on facial biometric signature can be used in many applications such as access control of secured areas, tele-banking, surveillance, law enforcement, etc. This paper describes a prototype system for carrying out human face recognition based on a combination of correlation with PCA or DCT technique used for the purpose of deciding a facial match. The system has been tested on a data set of 109 images belonging to 43 subjects.Recognition of a person from a 2D projected image of the 3D face is a challenging task because of pose variations of the head along with change in facial appearance. Our prototype recognition system makes use of reasonably constrained imaging set-up with facial image grabbed in frontal geometry under sufficient illumination level in order to minimise the variations in the acquired image. The size of the face in the image acquired during recognition varies due to inadvertent and inevitable head movement occurring between successive instants. Our algorithm tackles this problem by computing the exact scale of the face from inter-ocular distance and normalizing with respect to the registration data. Our technique performs successfully under linear change of intensity level in the face image. However, presently, any nonlinear intensity change cannot be counteracted, although there are few measures suggested regarding it in the literature [10].The authors plan to combine PCA and DCT methods in future along with some of the other suggested techniques for face recognition, e.g. H MM, PIFS, etc. after evaluating the effectiveness of the latter, in order to improve the recognition performance of the face-based multi-algorithmic biometric system.ACKNOWLEDGEMENTThe authors are thankful to Mr. G.P. Srivastava, Director, E&I Group, BARC and Mr. P.S. Dhekne, Associate Director, E&I Group, BARC for their encouragement to take up the task of development of face recognition system. The authors acknowledge the assistance of Mr. Rajesh Babu and Mr. Santosh Gaikwad for setting up the prototype system.REFERENCES[1] S. Kar, Swati Hiremath, D.G. 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