FACE RECOGNITION USING SUPPORT VECTOR MACHINES

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1 FACE RECOGNITION USING SUPPORT VECTOR MACHINES Ashwin Swaminathan ENEE633: Statistical and Neural Pattern Recognition Instructor : Prof. Rama Chellappa Project 2, Part (b) 1. INTRODUCTION Face recognition has a wide variety of applications such as in identity authentication, access control and surveillance. There has been a lot of research on face recognition over the past few years. They have mainly dealt with different aspects of face recognition. Algorithms have been proposed to recognize faces beyond variations in viewpoint, illumination, pose and expression. This has led to increased and sophisticated techniques for face recognition and has further enhanced the literature on pattern classification. In this project, we study face recognition as a pattern classification problem. We will extend the methods presented in Project 1 and use the Support Vector Machine [13] for classification. We will consider three techniques in this work Principal Component Analysis Fischer Linear Discriminant Multiple Exemplar Discriminant Analysis We apply these classification techniques for recognizing human faces and do an elaborate and detailed comparison of these techniques in terms of classification accuracy when classified with the SVM. We will finally discuss tradeoffs and the reasons for performance and compare the results obtained with those obtained in project 1.

2 2. PRINCIPAL COMPONENT ANALYSIS FOR FACE RECOGNITION 2.1. Algorithm Description The face is the primary focus of attention in the society. The ability of human beings to remember and recognize faces is quite robust. Automation of this process finds practical application in various tasks such as criminal identification, security systems and human-computer interactions. Various attempts to implement this process have been made over the years. Eigen face recognition is one such technique that relies on the method of principal components. This method is based on an information theoretical approach, which treats faces as intrinsically 2 dimensional entities spanning the feature space. The method works well under carefully controlled experimental conditions but is error-prone when used in a practical situation. This method functions by projecting a face onto a multi-dimensional feature space that spans the gamut of human faces. A set of basis images is extracted from the database presented to the system by Eigenvalue-Eigenvector decomposition. Any face in the feature space is then characterized by a weight vector obtained by projecting it onto the set of basis images. When a new face is presented to the system, its weight vector is calculated and a SVM based classifier is used for classification. The full details of the algorithm can be found in [1] Simulation Results We study the performance of the PCA algorithm under varying illumination and expression conditions under both the nearest neighbor classifier and the SVM based classifier. The sample input data given DATA.mat was used for simulation. This dataset contains images of 200 people with 3 pictures per person. The first image corresponds to the neutral face, the second one is the picture of the person with facial expression and the third corresponds to the illumination change. In our simulation, we used the neutral face for training and tested the image of the person under expression and illumination change. The overall classification accuracy was 62% with the nearest neighbor classifier. The performance improved slightly on using the SVM to around 65%. We used four different kernel functions for the SVM namely linear, polynomial, sigmoid and the radial basis functions (RBF). We noticed that the classification accuracy did not change much as the kernel type was changed for this dataset. When tested with illumination alone, the percentage accuracy in classification was around 65% with

3 the nearest neighbor classifier and 68% with the SVM classifier. The corresponding results for expression variations were around 59% and 62%. This indicates that the PCA is not a very good tool for face classification. This can be mainly attributed to the fact that it cannot handled illumination and expression variations. Further, for accurate and improved performance, the PCA requires more images for training greater the number of images available for training, the better the performance. By this way, it can handle greater amounts of variations among individuals. To better understand the performance of PCA, we study its detection accuracy when more images were available for training. In this case, we use the dataset provided POSE.mat. This contains images of 68 people under various illuminations and pose variations. It contains 13 images per person under various conditions. Some sample images from this dataset is shown in Fig. 1 and the different poses for one particular person is shown in Fig. 2. For our analysis, we first consider its performance for all faces with the frontal pose. We noticed that image indices 3, 4, 9 and 10 correspond to a similar frontal pose and we use these in our simulations. We train our classifier with two images per person and test it with the remaining two images. The results with both the nearest neighbor classifier and the SVM are shown in Fig. 3. We notice that the percentage accuracy in this case is as high as 92% (with 20 basis vectors) and further the accuracy gradually increases as the number of basis vectors is increased till around 97% (with 60 basis vectors). Thus, we notice that the PCA can perform better as the number of basis vectors are increased. We also notice that the nearest neighbor does not perform as well as the SVM and the corresponding detection accuracies are around 17% less compared to SVM. This indicates the superiority of the SVM over the nearest neighbor rule for classification. Next, we test the performance of the PCA under the leave one out strategy. Here, out of the 13 images per person, we use 12 images for training and the remaining one for testing. The performance of the PCA algorithm under these conditions are shown in Table. 1. The results with the nearest neighbor classifier are shown alongside the SVM based classifier for the purpose of comparison. In our experiments, we test with two different types of SVM kernels namely Linear and Polynomial. We clearly observe from the performance results in the table that the SVM with linear kernel outperforms the nearest neighbor rule in most cases when PCA is used to generate the statistics. We also note that the performance of the SVM classification method depends to a great extent on the choice of the kernel function used. Our results indicate that while the SVM with linear kernel performs similar to the SVM with the polynomial kernel functions, the SVM trained on sigmoid and radial basis functions perform much worse. This leads us to conclude that the choice of the kernel would primarily depend

4 Fig. 1. Sample Images from Pose.mat on the kind of data to be classified. Next, we study the performance for Fischer Linear Discriminant Analysis. 3. FISHER DISCRIMINANT ANALYSIS 3.1. Algorithm Description The PCA takes advantage of the fact that, under admittedly idealized conditions, the variation within class lies in a linear subspace of the image space [2]. Hence, the classes are convex, and, therefore, linearly separable. One can perform dimensionality reduction using linear projection and still preserve linear separability. However, when the variation in classes is large, there is a lot of variance in the observed features and this leads to wrong classification results. This problem can be offset by considering a modified set of optimization leading to a different set of basis vectors. Instead of finding the best set of basis vectors to minimize the representation error,

5 Fig. 2. Sample Pose Variations from Pose.mat we modify our cost function to improve classification accuracy. More specifically, the basic idea behind Fisher Linear discriminant analysis is to find the best set of vectors that can minimize the intra cluster variability while maximizing the inter cluster distances. The between class scatter matrix is defined as c S B = N i (µ i µ)(µ i µ) T (1) i=1 and the within-class scatter matrix is defined as c S W = N i (x k µ i )(x k µ i ) T (2) i=1 x k X i where µ i is the mean of the features in class i and µ is the overall cluster mean. x k stand for the data points and c represents the number of classes. The fisher linear discriminant analysis finds the features that maximizes the cost function give by J = W T S B W W T S W W (3)

6 Detection Accuracy SVM classifier Nearest Neighbor No. of Basis Vectors Fig. 3. Percentage Accuracy of PCA when tested with frontal images and classified using nearest neighbor rule and the SVM This can be solved by solving a generalized eigenvalue problem and thus the final solution can be expressed as a solution of S B W i = λ i S W W i (4) In our implementation, we first perform a PCA on the input data to reduce its dimensionality. We then use the modified features and perform a Fisher analysis on it. The resulting FLD basis vectors are used in classification. For the entire details on implementation, the readers are referred to [2] and the references therein Simulation Results The FLD algorithm was simulated. It is observed that the resulting faces are very noisy for the POSE.mat dataset that has a very high degree of variation of poses of several people. This is one of the problems that have been observed for Fisher Analysis in literature [5]. This has also led to improved algorithms to find the fisher faces. Some works have proposed to use a modified version of the within scatter matrix, by replacing S W by S W +ρi where I is the identity matrix and ρ is an appropriate chosen threshold. Our analysis with the modified definition of the S W gave better results with less noisy fisher faces. Further details of the implementation can be found in [5]. The modified scheme was implemented. We observed that the performance of the face recognition algorithms for FLD is better than that of PCA in most cases. In our implementation, we used the POSE.mat

7 Table 1. Percentage accuracy of PCA under leave one out for POSE.mat Index of Left sample Percentage Accuracy Percentage Accuracy Percentage Accuracy Nearest Neighbor rule SVM Linear classifier SVM Polynomial kernel dataset containing 68 subjects. In this dataset, there are 13 images per person. We used 12 for training and the remaining one for testing. More specifically, we first performed a PCA to reduce the dimensionality of the data from 1920 to 748 by retaining the projections along the most significant eigenvectors directions. A fisher analysis was then done on these projection values and a set of 67 features were obtained for each class. We then use the nearest neighbor rule for classification and test the performance results with those of the SVM based classifiers. Detailed studies were performed on the algorithm with the POSE.mat dataset. We observed that the FLD on an average performed much better that the PCA in most cases. Moreover, we note that we used all the eigen vectors in the case of PCA while we just retained the top 67 basis vectors in the case of FLD. This also brings in much superior data compression. To further study the performance improvement, we considered the Leave one case in greater detail. We obtained the percentage accuracy for different cases based on the index of the sample used in training. The results are shown in Table. 2. For the sake of comparison, we show again the corresponding results for PCA. We observe that the average performance of the FLD is better that that of the PCA in most cases but we also note that in some cases PCA did better than FLD in classification. Next we compare the performance of the SVM with the nearest neighbor classifier. From the results

8 presented in Table 2, we observe that the SVM with the linear kernel performs better than the nearest neighbor rule in all cases. The detection accuracies observed in this case are higher than those obtained using the nearest neighbor rule. Although SVM performs better, we also remark that the nearest neighbor rule is the simplest of the classifiers and uses the least amount of computations. The SVM on the other hand is computationally more complex and involves solving a high dimensional optimization problem. Thus, we observe a tradeoff between computational complexity and detection accuracy and in applications where computational complexity is not a primary concern, SVM would be a better choice. Table 2. Percentage accuracy of PCA and FLD under leave one out for POSE.mat Index of % Accuracy with PCA % Accuracy with PCA Accuracy with FLD Accuracy with FLD Left sample nearest neighbor rule SVM Linear kernel nearest neighbor rule SVM Linear kernel MULTIPLE EXEMPLAR DISCRIMINANT ANALYSIS 4.1. Algorithm Description In the previous section, we studied the performance of the FLD on face recognition. Although FLD works better than PCA, we noticed that the percentage accuracy is quite low in many cases. For example, when we train with all images except the image 7 (for all faces) and test on the image with index 7, the average percentage accuracy was very low and was around 7%. This leaves a lot of room for improvement.

9 This was the basic motivation behind the algorithm proposed by Zhou and Chellappa [5]. In this paper, the authors argue that the main disadvantage of the FLD is the use of a single exemplar. Hence, the authors propose to use multiple exemplar. More specifically, the authors re-define the within-class and the between class scatter matrices to get improved performance. In this case, the S B and S W have been redefined as c S W = i=1 c S B = 1 N 2 i c x j X i i=1 j=1,j i (x j x k )(x j x k ) T (5) x k X i 1 (x m x k )(x m x k ) T (6) N i N j x k X j x m X i The multiple-exemplar discriminant analysis then find the optimal set of basis vectors that maximizes J = W T S B W W T S W W (7) with the new definitions of S B and S W. For further details, the readers are referred to [5] Simulation Results and Discussions We implemented the MEDA method and studied its performance under the dataset POSE.mat. We choose images from 20 subjects for your study. The first situation that we considered is the Leave one out case. In this case, we randomly chose one image out of the 13 for training and used the remaining image for testing. In Table 3, we show the performance results and compare it with the FLD method described in the previous section. We observe that the MEDA performed better or equal to the FLD in most cases. This improved performance can be attributed to the multiple-exemplars used in the MEDA approach compared to FLD. The results are shown in Table 3. Next, we study the performance of the type of classifier. We show the corresponding classification results obtained using the SVM classifier in Table 3. The results indicates that the SVM classifier performs equally or better than the nearest neighbor rule in most cases. This again demonstrates the superiority of the SVM for classification. Although, the MEDA seems to perform better in many cases, the computational complexity of MEDA method for training is very high compared to the regular FLD method. This prohibits its usage in situations where the low computational complexity is desired. However, the training is an one-time process and therefore the MEDA might be preferred in some applications where this is not an issue. The compu-

10 tational complexity during testing is same in both cases as both these techniques use the nearest neighbor rule (or SVM as the case may be) for classification. Table 3. Percentage accuracy of MEDA and FLD under leave one out for POSE.mat with 20 Images Index of % Accuracy with MEDA % Accuracy with FLD MEDA FLD Left Sample Nearest neighbor rule Nearest Neighbor SVM Linear kernel SVM Linear kernel NEAREST FEATURE LINE METHOD FOR FACE RECOGNITION 5.1. Algorithm Description The nearest feature line method was proposed by Li and Lu in 1999 [10]. This method is an extension of the PCA method for face recognition. Here, the authors do an PCA first to reduce the dimensionality of the input data. They then propose the nearest line method to classify the data into various classes. The basic idea behind this algorithm is to consider any two points in the same class. Given these points, the authors then hypothesize that all the points that lie on the line joining these two points will also belong to the same class. Therefore, the distance between the third point (test point) and the class can now be written in terms of the distance between the point and the line joining these two training points chosen. For the case of multiple training points, the authors then extend this method by considering all possible combinations of the two points in the same class. Mathematically, given two points x 1 and x 2 of the same training class, the algorithm finds the distance

11 between the test point x and the line joining these two points as d(x, {x 1, x 2 }) = x p (8) where the point p is the point that lies on the line joining x 1 and x 2 and can be expressed as p = x 1 + µ(x 2 x 1 ) with µ = (x x 1 ).(x 2 x 1 )/((x 2 x 1 ).(x 2 x 1 )) (9) For further details of the algorithm, the readers are referred to their paper [10] Simulation Results This algorithm was implemented. The simulation results were obtained for the POSE.mat dataset. Again, the leave one out strategy was tested. Out of the 13 images available per person, one of them was left out and the testing was performed on the remaining. The results of our testing are shown in Table 4. The results indicate that the Nearest feature line (NFL) method perform slightly better than the PCA. This is because, it some ways, it considers all the points between the two data in the same class as therefore can be effectively understood as increasing the amount of samples available during the training procedure. The corresponding results for the SVM with linear kernel are also shown in the table for the sake of comparison. Thus, we observe from the table that on the pose.mat dataset, the NFL method is only provides marginal improvement. However, it is very computationally intensive in the testing phase like the SVM. We also notice that the SVM performs better than the NFL method in most of the cases. 6. COMPARISON STUDY WITH DIFFERENT DISTANCE METRICS In this section, we study the performance under various distance metrics used in the nearest neighbor rule and compare the results with that of the SVM. For our analysis, we only use the PCA method and test it for the POSE.mat dataset. We consider the Leave one out case and then study the performance of the PCA under three distance measures namely L1, L2 and L3 norms. The results are shown in Table. 5. We observe that the performance varies a lot depending on the choice of the norms. Our comparison results studying the first three norms indicate that on an average the L2 is able to better capture the variability and thus has superior performance. We also notice that the SVM with linear classifier performs the best

12 Table 4. Percentage accuracy of PCA with Nearest Neighbor, NFL and SVM under leave one out for POSE.mat Index of % Accuracy with PCA Accuracy with NFL PCA with Left sample Nearest Neighbor SVM CONCLUSIONS In this project, we consider 4 different methods for face recognition. They are (1) Principal Component Analysis (2)Fisher Linear discriminant analysis (3) Multiple Exemplar Discriminant Analysis and (4) Nearest Feature Line method and studied its performance under the SVM based classifier with the nearest neighbor rule. The simulations were performed under various illuminations, expression and pose variations. The performance results indicate that MEDA has a slight upper hand among the four methods as regards to choice of features for classification. Our comparison results with the nearest neighbor rule and the SVM indicate that the SVM performs much better in all cases. Further, we also notice that the performance of the SVM critically depends on the choice of the kernel functions. Our results with the four different kernels linear, polynomial, radial basis and sigmoid indicate that the linear and polynomial kernels performs best for the data sets that we tested on. Thus, we infer that the choice of the kernel is highly data dependent. We conclude that the SVM classifier seems to perform best but care needs to be taken to choose the best kernel for classification.

13 Table 5. Percentage accuracy of PCA under different distance metrics under Leave one out strategy. *NN indicates Nearest Neighbor rule Index of Left sample NN* - L1 norm NN* - L2 norm NN* - L3 norm NFL SVM REFERENCES [1] M. Turk, A. Pentland, Eigenfaces for recognition, Journal of Cognitive Neuroscience, vol. 3, pp 72-86, [2] P. Belhumeur, J. Hespanha, and D. Kriegman, Eigenfaces vs. Fisherfaces: Recognition Using Class Specific Linear Projection, IEEE Trans. PAMI, vol. 19, pp , [3] K. Etemad and R. Chellappa, Discriminant Analysis for Recognition of Human Face Images, Journal of Optical Society of America A, pp , [4] W. Zhao, R. Chellappa, A. Rosenfeld, and J. Phillips, Face Recognition: A Literature Survey, to appear ACM computing surveys, 2003 [5] S.K.Zhou and R.Chellappa, Multiple-Exemplar Discriminant Analysis for Face Recognition, ICIP. [6] M.S.Bartlett, J.R.Movellan, T.R.Sejnowski, Face recognition by Independent Component Analysis, IEEE Trans. on Neural Networks, Vol. 13, No. 6, Nov [7] B.Moghaddam, T.Jebara, A. Pentland, Bayesian Face recogition, MERL research report, Feb 2002.

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