臺灣博碩士論文加值系統

本論文提出兩種人臉辨識方法，分別為多訓練樣本由粗到細策略之串級分類器，及單一訓練樣本由強健預估器作人臉辨識。人臉辨識架構基於串接多階段分類器，包含支援向量機(SVM)、特徵臉(Eigenface)及兩影像投射轉換法(two-view project transformation)。完整決策程序是以串級由粗到細階段進行，第一階段及第二階段以SVM一對全部(one against all, OAA)及一對一(one against one, OAO)原理，從訓練影像中挑選兩個與測試影像差異性最小的類別，再以第三階段特徵臉方法，決定優先次序的影像，最後階段以兩影像投射轉換法作兩影像之幾何配對，找出與測試影像有最大幾何相似度的訓練影像類別。實驗以Olivetti Research Laboratory (ORL)、Yale和中央研究院(IIS)人臉資料庫作多階段人臉辨識系統測試，實驗結果證明比單一分類器辨識精確度較佳。由於SVM之缺點在於辨識模型是以每人多樣本訓練取得，無法使用在每人單樣本，所以為解決此一問題，本文另提出基於兩影像投射轉換法之強健預估系統(Robust Estimation System, RES)。應用人臉影像之區域與全域資料作為強健預估，利用ORL及Yale人臉資料庫的原始影像做測試，而FERET人臉資料庫影像需做前處理，以擷取純臉部區域及執行校正轉換調整，粗略的分割臉部影像為四個最特殊之區域：左眼、右眼、鼻子及嘴巴，特徵擷取階段使用一階梯度大小方法。當處理分類階段時，區域特徵先作粗略配對，接著使用random sample consensus (RANSAC)強健預估處理全域特徵，主要目的為找出兩配對影像之基本矩陣。最後相似度分數被計算出來，分數最高者被指定為正確之類別。使用FERET、ORL及Yale人臉資料庫作實驗，實驗結果證明本文所提方法比其他方法的辨識性能，有顯著改善。

In this dissertation, we propose two novel face recognition algorithms, one is cascade classifiers for face recognition undertaken by coarse-to-fine strategy using multiple samples per subject, and the other is face recognition based on a two-view projective transformation using one sample per subject. Face recognition scheme based on multi-stages classifier, which includes methods of support vector machine (SVM), Eigenface, and two-view projective transformation, is proposed in this dissertation. The whole decision process is undertaken by cascade coarse-to-fine stages. The first and second stages are SVM with one-against-all (OAA) and one-against-one (OAO) method picks out two classes with the least variations to the testing images. From the selected two classes, the third stage with Eigenface method decides the priority of images for a fine match with testing images at final stage with two-view projective transformation method. A fine class with greatest geometric similarity to testing images is thus produced at final stage. This multi-stage face recognition system has been tested on Olivetti Research Laboratory (ORL), Yale and Institute of Information Science (IIS) databases, and the experimental results give evidence that the proposed approach is superior to the previous approaches based on the single classifier in recognition accuracy. The drawback of SVM can’t use one sample per subject to build the recognition model. In order to solve this problem, we propose a novel face recognition algorithm based on two-view projective transformation, called the robust estimation system (RES). Our approach adopts both local and global information for robust estimation. We utilize the original images from the ORL and Yale databases for performance evaluation. The images of FERET database are pre-processed to extract the face region and execute the affine transformation. We roughly divide the face images into the four block images that are most significant for a face: left eye, right eye, nose, and mouth. The feature used here are magnitudes of first-order gradients. While conducting the classification stage, local features are putatively matched before the processing or the global RANSAC robust estimation features, with the aim of identifying the fundamental matrix between two matched face images. Finally, similarity scores are calculated, and the candidate awarded the highest score is designated the correct subject. Experiments were implemented using the FERET, ORL and Yale databases to demonstrate the efficiency of the proposed method. The experimental results show that our algorithm greatly improves recognition performance compared to existing methods.

目錄
指導教授推薦書……………………………………………………………………
口試委員會審定書…………………………………………………………………
授權書………………………………………………………………………………iii
誌謝…………………………………………………………………………………v
Contents
CHAPTER I Introduction ………………………………………………………… 1
1.1 Background …………………………………………………………………1
1.2 Review the Methods of Feature Selection for Face Recognition …………2
1.3 Review the Methods of Classifier for Face Recognition …………………6
1.4 Objective of the Cascade Multi-Stage Classifiers System…………………8
1.5 Objective of the Robust Estimation System ………………………………10
CHAPTER II Background of the Two-View Projective Transformation …………14
2.1 Introduction ………………………………………………………………14
2.2 Two-View Projective Transformation ……………………………………15
2.3 Computing the Fundamental Matrix F ……………………………………16
2.4 Automatic Computation of the Fundamental Matrix F …………………18
2.5 Summary and Discussion …………………………………………………21
CHAPTER III Cascade Multi-Stage Classifier System for Face Recognition …24
3.1 Introduction ………………………………………………………………24
3.2 Feature Selection …………………………………………………………25
3.2.1 Data Sampling ……………………………………………………25
3.2.2 Data Transform ……………………………………………………26
3.2.3 Feature Vector Extraction …………………………………………29
3.2.4 Feature Selection in Our System …………………………………30
3.3 Classification Methods …………………………………………………30
3.3.1 Support Vector Machine for Binary Classifier ……………………30
3.3.2 One-Against-All (OAA) of SVM for Multi-Class Models ………34
3.3.3 One-Against-One (OAO) of SVM for Multi-Class Models ………35
3.3.4 Eigenface Method …………………………………………………36
3.3.5 Our Novel scheme of a Multi-Stage Classifier System ……………38
3.4 Experimental Results ……………………………………………………46
3.4.1 Face Recognition on ORL Database ………………………………47
3.4.2 Comparison with Previous Reported Results on ORL ……………48
3.4.3 Face Recognition on Yale Database ………………………………48
3.4.4 Comparison with Previous Reported Results on Yale ……………49
3.4.5 Face Recognition on the IIS Database ……………………………50
3.5 Summary and Discussion ………………………………………………50
CHAPTER IV Two-View Projective Transformation Using One Sample per Subject
…………………………………………………………………… 55
4.1 Introduction ………………………………………………………………55
4.2 The Novel Architecture of a Robust Estimation System…………………55
4.2.1 Extracting Global and Local Features ……………………………57
4.2.2 Locating Putative Matches of Local Features ……………………58
4.2.3 Defining RANSAC Matches with Global Features ………………59
4.2.4 Calculating the Similarity Score …………………………………60
4.3 Experiments and Results …………………………………………………62
4.3.1 Experiment Setup …………………………………………………63
4.3.2 Parameters used in RES Method …………………………………65
4.3.3 Results for the FERET Database …………………………………69
4.3.4 Results for the ORL and Yale Databases …………………………70
4.4 Summary and Discussion ………………………………………………73
CHAPTER V Conclusions ………………………………………………………77
REFERENCES ………………………………………………………………………79
APPENDIX …………………………………………………………………………92


List of Figures
Fig. 2.1 Geometry of corresponding points. ………………………………16
Fig. 3.1 Data sampling: (a) top-bottom scan, (b) raster scan. …………26
Fig. 3.2 Facial image and its DCT transformed image: (a) original image, (b) 2D plot after 2D-DCT, (c) 3D plot after 2D-DCT. ………………………………………………………………28
Fig. 3.3 Scheme of zig-zag method to extracted 2D-DCT coefficients to a 1D vector or n  m matrix. ………………………………………29
Fig. 3.4 Classification between two classes W1 and W2 using hyperplanes: (a) arbitrary hyperplanes l, m, and n. (b) the optimal separating hyperplane with the largest margin identified by the dashed line, passing the two support vectors. …………31
Fig. 3.5 Structure of the face recognition system. (a) training phase (b) testing phase. …………………………………………………………40
Fig. 3.6 (a) The weight vector T = [w1 w2 … w9] of input image. (b) The Euclidian distance between the input image and ten training samples, respectively. The sample 1, 2, 3, 4, 5 are the same classes and sample 6, 7, 8, 9, 10 are another classes. …42
Fig. 3.7 Four procedures of space information using RANSAC method to find the match and unmatch feature points. (a) Find Harris corners feature points in one testing and two training images. (b) Find putative matches of testing and training images. (c) Using RANSAC method to find testing and training images of match feature points. (d) Count numbers of match and unmatch feature points. ……………………………………………………45
Fig. 3.8 Some sample images from publicly available face database used in the experiments: (a) ORL face database, (b) Yale face database, (c) IIS face database. …………………………………46
Fig. 3.9 Comparison of recognition error versus the number of features of the OAA-SVM, OAO-SVM, Eigenface, and final stage of the Multi-stage classifier system on the ORL face database. ………………………………………………………………52
Fig. 3.10 Comparison of recognition error versus the number of features of the OAA-SVM, OAO-SVM, Eigenface, and final stage of the Multi-stage classifier system on the Yale face database. …53
Fig. 3.11 Comparison of recognition error versus the number of features of the OAA-SVM, OAO-SVM, Eigenface, and final stage of the Multi-stage classifier system on the IIS face database. …54
Fig. 4.1 System architecture for RES ……………………………………56
Fig. 4.2 The procedure of feature extraction. (a) Input image and define the block images with correlated positions. (b) Determine the local feature points in each block image. (c) Develop the global feature information. …………………………………………………57
Fig. 4.3 The RANSAC matches (a) Distinct subject (b) Identical subject ……………………………………………………………………61
Fig. 4.4 Define the parameters of distance d and angle  between RANSAC matches feature points. ……………………………62
Fig. 4.5 Some sample images from publicly available face database used in the experiments. (a) FERET database. The first row is original images and the second row is pre-processed images. (b) ORL database. (c) Yale database. ………………………………65
Fig. 4.6 The cumulative scores of the RES and control algorithms on the fb, fc, dup I and dup II probe sets. (a) fb set. (b) fc set. (c) dup I set. (d) dup II set. …………………………………………70
Fig. 4.7 Performance analysis of non-frontal facial variation, with/without glasses factor, and image noise ………………75
Fig. 4.8 Error analysis. First row: probe images. Second row: error results with most similar gallery images. Third row: Ground true gallery images ………………………………………………76

List of Tables
Table 2.1 The distance threshold for a probability of =0.95 that the point (correspondence) in an inlier. ………22
Table 2.2 The number N of samples required to ensure, with a probability p=0.99, that at least one sample has no outliers for a given size of sample, s, and proportion of outliers, . …………23
Table 3.1 Recognition performance comparison of different approaches (ORL database) …………………………………………………52
Table 3.2 Recognition performance comparison of different approaches (Yale database) …………………………………………………53
Table 3.3 Recognition performance comparison of different approaches (IIS database) …………………………………………………54
Table 4.1 Average trial numbers of identical subjects for RANSAC robust estimation (FERET database) ………………………67
Table 4.2 Average trial numbers of distinct subjects for RANSAC robust estimation (FERET database) ………………………67
Table 4.3 Feature numbers of identical subject in gallery and probe sets (FERET database, the magnitude of first-order gradients: T = 20) ………………………………………………………………68
Table 4.4 The recognition rates of the RES and comparison algorithms (FERET database) ……………………………………………69
Table 4.5 Recognition performance on ORL database in deterministic manner. …………………………………………………………72
Table 4.6 Recognition performance on YALE database in deterministic manner. …………………………………………………………72
Table 4.7 Recognition performance on ORL and YALE databases in random manner. ………………………………………………72
Table 4.8 The recognition rates of the RES and comparison algorithms in deterministic manner (ORL database) …………………73
Table 4.9 The recognition rates of the RES and comparison algorithms in deterministic manner (Yale database) …………………73
Table 4.10 The recognition rates of the RES and comparison algorithms in random manner (ORL and Yale databases) ……………73

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