2014 International Conference on Electronics and Communication System (ICECS -2014)

`
Face Recognition using Dual Wavelet Transform and
Filter-Transformed Flipping

Sagar Khashu Sowjanya Vijayanagar K Manikantan S Ramachandran
Department of Electronics and Department of Electronics and Department of Electronics and Department of Electronics and
Communication Engineering, Communication Engineering, Communication Engineering, Communication Engineering,
M S Ramaiah Institute of Tech., M S Ramaiah Institute of Tech., M S Ramaiah Institute of Tech., S J B Institute of Tech.,
Bangalore-560054, India Bangalore-560054, India Bangalore-560054, India Bangalore-560054, India




Abstract Face Recognition (FR) under varying pose and
illumination conditions is challenging, and extracting pose and
illumination invariant features is an effective approach to solve
this problem. In this paper, we propose three novel techniques,
viz. Filtered Dual Wavelet Transform (FDuWT), Raster Scan
Discrete Wavelet Transform (RDWT) and Filter Transformed
Flipping (FTF), to improve the performance of the FR system.
FDuWT is used for edge enhancement and denoising. RDWT is
used to extract salient features. FTF is used to neutralize the pose
variant features. Individual stages of the FR system are examined
and an attempt is made to improve each stage. After efcient
feature extraction through RDWT, a Binary Particle Swarm
Optimization based feature selection algorithm is used to search
the feature space for the optimal feature subset. Experimental
results, obtained by applying the proposed algorithm on three
benchmark face databases, namely, Color FERET, Extended
Yale B and Pointing Head Pose, show that the proposed system
outperforms other FR systems.
Keywords-Face Recognition; I mage Preprocessing; Feature
Extraction; Binary Particle Swarm Optimization
I. INTRODUCTION
Face Recognition (FR) is one of the most successful
applications of image analysis. This is due to its wide range of
commercial and law enforcement applications in fields such as
medicine, security, human-computer interactions and
surveillance [1]. FR approach is mainly used for identification
of a person based on his/her physiological characteristics [2].
Despite extensive research and study in this domain, a robust
FR system has not yet been realized. Problems such as
illumination variation [3] [4], pose [5], expression, occlusion,
background are the few of hindrances to a successful FR
process.
This paper comprises of following different sections: An
overview on the problem caused due to illumination and pose
variance in Section II. In Section III, the related works have
been discussed. The next section, Section IV, provides an
insight into the proposed techniques. The next three sections,
Section V, Section VI and Section VII contain the
Experimental Results and their Analysis, Comparison with
other FR systems and Conclusion respectively.
___________________________
*Corresponding author. Email: kmanikantan2009@gmail.com
II. PROBLEM DEFINITION AND CONTRIBUTIONS
Images varying in pose are difficult to be recognized using
Feature Extraction and Selection techniques due to variation in
postures and head orientations making pose variance an
important issue for FR. Similarly for Illumination Variance,
due to change in position of light source, the illumination
intensity and direction of light incident on the face also
changes. These images have invariant pose and background
but the illumination variation creates a problem for
recognition process. Hence, to exploit the pose and
illumination invariant face features, following techniques are
proposed.
Filtered Dual Wavelet Transform (FDuWT) for edge
enhancement and denoising: It is a preprocessing
technique that is used for emphasizing the edges of the
face and noise reduction. It uses Wiener filtered
Discrete Wavelet Transform followed by Stationery
Wavelet Transform technique.
Raster Scan DWT (RDWT) for Feature Extraction:
This technique is used to select only the salient
features as required by converting the feature matrix
obtained after processing it into a 1-D array through
raster scan and applying levels of 1-D DWT.
Filter Transformed Flipping (FTF) for neutralizing
pose variant features: If the recognition condition for a
testing image fails for first time, then this technique is
applied to improve the recognition rate by flipping the
image and enhancing the face features, thus negating
the effect caused due to pose variance.
III. RELATED WORKS AND ANALYSIS
A Face Recognition (FR) system comprises of the training
and testing stages. Training stage involves preprocessing,
feature extraction, feature selection and creation of face
gallery. The testing stage consists of a test image which passes
through preprocessing, feature extraction and feature selection
processes followed by feature matching of these images [6].
Fig. 1 shows the general block diagram of an FR system.


2014 International Conference on Electronics and Communication System (ICECS -2014)
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Figure 1. A General Face Recognition System.


Seven of the already existing methods used in the paper are
briefly explained in this section.
A. DWT as a preprocessing technique and feature extractor
2-D DWT [7] provides a frequency as well as time domain
analysis of an image. It divides the images into four
components which are approximation (cA), Horizontal (cH),
Vertical (cV) and Diagonal (cD) as shown in Fig. 7(a) and (b).
dimension wise, each component is smaller than the original
image. The cA component is a reduced form of the original
image and has only the significant features of the image. DWT
also has the ability to reduce disturbance in an image while
retaining all the significant features present in the image.
DWT plays a crucial role in our proposed feature extractor
and preprocessing technique for Color FERET, Extended Yale
B and Pointing Head Pose databases.
B. SWT as preprocesing technique
SWT [8] [9] is a wavelet transform technique designed to
overcome the lack of translation-invariance of DWT [10]. 2-D
SWT decomposes the image into four output components
which are cA, cH, cV and cD. These components, for 2-D
SWT, are 3-D matrices and are of the same dimensions as the
original image, unlike the components in 2-D DWT. SWT is
required for denoising of an image for Color FERET and
Pointing Head.
C. Binary Particle Swarm Optimization (BPSO) for feature
selection
After feature extraction, there are many redundant features
in the feature matrix which are reduced using a feature
selector. BPSO, Genetic Algorithm, Bacterial Foraging are
some of the evolutionary algorithms. Particle swarm
optimization (PSO) [11], first introduced by J. Kennedy and
R. Eberhart [12], is a technique based on the bird flocking or
fish schooling.
In each iteration, the velocity and position of the particle is
updated according to the Eq. (1) and Eq. (2) respectively.

(1)
c1 , c2 are PSO parameters having values between 0 and 2.

(2)


Figure 2. Different Illumination Enhancement Techniques on Extended Yale
B database image: Original image (top-left), Adaptive Histogram Equivalence
(top-right), GIC (bottom-left) and Logarithmic Transform (bottom-right).

BPSO [13] is a discrete form of PSO where each particles
position is given as a string of 1s and 0s and its velocity is
between 1 and 0 using sigmoid function given by Eq. (3).
[sv
id

1
1-e
-v
id
] (3)
The features with value 1 are selected whereas with those
having value 0 are rejected. BPSO is used a feature selection
technique to reduce the number of selected features to around
50 percent of the extracted features without affecting the RR.
Fitness function [14] is the most important segment of
PSO which denes the quality of the optimizer. The role of the
tness function is that it denes the point in the problem space
which helps in determining the best possible solution for the
particles.

Figure 3. Effect of Wiener Filtering on an image.


Figure 4. Images depicting effect of Sobel Edge Detection Technique:
Original Image (Left) and Image after applying Sobel Edge Detection
(Right).

TABLE I. TECHNIQUES USED FOR DIFFERENT DATABASES



Figure 5. Block diagram of proposed FR system for Pose Variant images. (Note: The techniques used in Stages 1, 2 and 3 are shown in Table I).



Figure 6. Block diagram of proposed FR system for Illumination Variant images.
D. Illumination Enhancement Techniques
Illumination Enhancement techniques [15] are employed to
enhance the illumination invariant features of the Extended
Yale B database images. Histogram Equalization increases the
illumination of an image non-uniformly. Gamma Illumination
Correction (GIC) affects the contrast image uniformly
Logarithmic Transform increases the relative brightness of the
Database Stage-1 Stage-2 Stage-3 Feature Extraction Feature Selection
Gray
scaling
Adaptive
HE+GIC+LT+Sobel
FDuWT FTF Raster scan DWT BPSO
Color FERET
Extended Yale B
Pointing Head Pose

















2014 International Conference on Electronics and Communication System (ICECS -2014)
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image. Fig. 2 shows the effect of each of these techniques.
E. Wiener Filter for smoothing of images
A Wiener filter is used for smoothing of the image.
Smoothing means to capture important patterns in the image
while leaving out noise or other fine-scale structures as shown
in Fig. 3. It removes the irregularities, blurs and holes in an
image.
F. Sobel edge detection as preprocessing technique
Sobel Edge Detection Techniques [16] are used for tracing
the edges of Extended Yale B database images as shown in
Fig. 4. It aims at identifying points where the gradient of the
image is maximum.
G. Euclidean classifier for similarity measurement
Euclidean classifier is a technique to measure the degree to
which the training and testing images match by calculating the

Euclidean distance (D) between the feature vectors of testing
(V
T
) and training (V
I
) images according to the Eq. (4).

(4)

If the value of D is 0 for a given set of training and testing
feature matrices then, match is achieved and recognition rate
is incremented.
IV. PROPOSED TECHNIQUES AND FACE RECOGNITION
SYSTEM
For judging the performance of the proposed FR system, a
parameter called the Recognition Rate (RR) is considered
defined by Eq. (5) as



(5)
The role of training images is that they act as a memory for
the system and train the system in order to keep it ready for
recognition with the testing image.
In real-time applications, the testing images are not pose or
illumination invariant, i.e., the image obtained can be in any



Figure 7. Process Flow for Proposed Techniques FDuWT and FTF.




Figure 8. Filtered Dual Wavelet Transform (FDuWT) process ow.

pose or illumination conditions. For such situations, proposed
FR system for pose and illumination variant images
respectively. The following section proposes three techniques:
Filtered Dual Wavelet Transform (FDuWT) and Filter
Transformed Flipping Technique (FTF) for preprocessing,
Raster scan DWT (RDWT) for Feature Extraction. Table I
depicts the proposed techniques as applied on different
databases.
A. Filtered Dual Wavelet Transform (FDuWT) for
preprocessing
This technique makes use of two wavelet transform
techniques: DWT and SWT hence, the name. Firstly, 2-D
DWT is applied on the original image to obtain the four
frequency components which are then scaled. Scaling implies
that each component is multiplied with a scalar value to
amplify the effect of the components. To these components,
Wiener filter is applied to remove these continuities and
provide smoothing. Smoothing aims at reducing the noise over
a bigger area to nullify its magnitude. This reduces the
presence of face features such as eyes, lips, nose etc. and
enhances the influence of edges. Inverse DWT is then
performed to the filtered and scaled components followed by
Wiener filtering.
This is followed by 2-D SWT for denoising to obtain the
four components. Each of these components contains different
amounts of low and high frequency components. In order to
cancel the noise effect caused by very high frequency

Figure 9. Feature Extraction using Raster scan DWT.



Figure 10. Filter Transformed Flipping (FTF) Process Flow

components (mostly cD), scaling is done to each of these
components. It is followed by inverse 2-D SWT to combine all
the four components into an enhanced denoised image.
Furthermore, Wiener filter is again applied to smoothen the
image and a final image after FDuWT is obtained.
A detailed analysis of this technique can be seen in Fig. 7.
Fig. 8 shows the flow of FDuWT technique.
For pose variant images, FDuWT helps in edge
enhancement of pose and denoising of image. Hence, the pose
of the image is highlighted and matched with the training set.
In case the recognition fails, the Filter Transformed Flipping
(FTF) Technique is used which is explained further.
FDuWT plays a major role in illumination variant images
by enhancing the edges. Since there is not a significant
variation in poses of illumination variant images, i.e., the edge
of these images is almost the same, it results in a high RR.


2014 International Conference on Electronics and Communication System (ICECS -2014)
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Figure 11. Different pose varying images of (a) Pointing Head Pose, (b) Color
FERET databases and Illumination varying images of (c) Extended Yale
B database.
B. Raster Scan DWT (RDWT) based Feature Extractor
For Feature Extraction, RDWT technique is used. It
converts the 2-D feature matrix obtained after preprocessing to
1-D matrix by raster scanning it and applies DWT to this 1-D
feature matrix as shown in Fig. 9.
This technique produces the approximation and diagonal
coefficient components which are in frequency domain. Since,
feature selection works better in frequency domain, this
technique works as a successful extraction technique.
Also, the approximation coefficient component obtained
has low frequency components in both vertical and horizontal
direction. Hence, it consists of only significant features of the
whole image, thus reducing the number of features that are to
be optimized. It is to be noted that, operations on 1-
dimensional matrix is easier and faster than on a 2-
dimensional matrix, hence giving this technique an edge.
C. Filter Transformed Flipping (FTF) for Feature
Improvement
Flipping is used to produce mirror image of a given
image. This technique acts as an alternate preprocessing
technique when the face recognition fails. The process flow of
the technique can be referred from Fig. 10. In this technique,
2-D DWT is applied on the original image to get the four
components which are scaled with a scaling factor
individually to amplify the effect of each of these components.
Wiener filtering is applied on the scaled components for
smoothing them to obtain four filtered-scaled frequency
components. Inverse 2-D DWT is applied to combine these
components and again Wiener filter is applied.
After the DWT and Wiener filtering is done, flipping
technique is applied. The image is flipped with reference to
vertical symmetry and added to the original image. By doing
so, a hybrid image consisting of the flipped image and the
original image is obtained. This hybrid image is used as the
new testing image for feature extraction and selection
processes. FTF works on the principle of symmetry of pose
variant images. If the pose of the test image is absent in the
training images whereas its opposite pose is available in the
training images, then this technique produces a flipped hybrid
image which will be similar to the training set of images than
the original test image. Hence, this technique increases facial
TABLE II.
TABLE DEPECTING AVERAGE RR, MAXIMUM RR, TRAINING (TR .) TIME,
TESTING (TE.) TIME AND AVERAGE NUMBER OF SELECTED FEATURES FOR
DIFFERENT TRAINING: TESTING RATIOS OF COLOR FERET, EXTENDED YALE
B AND POINTING HEAD POSE DATABASES. PC DETAILS: 4GB RAM, I 5, 3
RD

GENERATION PROCESSOR


Database

Ratio
Avg.
RR
(%)
Top
RR
(%)
Avg.
Tr.
Time(s)
Avg.
Te.
Time(s)
Featu
-res


Color
FERET
4:16
6:14
8:12
10:10
12:8
81.13
87.55
91.33
93.21
95.05
85.18
90.82
95.71
96.86
95.71
131.42
116.51
129.45
108.50
109.75
112.63
97.00
82.51
62.00
48.66
963
970
975
969
982

Extended
Yale B
1:18
2:17
3:16
4:15
5:14
93.89
96.69
98.17
99.58
99.62
85.18
90.82
95.71
96.86
95.71
60.29
56.36
70.00
57.81
59.24
55.37
46.05
47.52
41.04
38.69
2997
2994
2995
2978
2982

Pointing
Head Pose
50:136
60:126
70:116
80:106
90:96
96.48
97.13
97.88
97.64
98.5
97.48
97.38
98.62
98.17
99.03
99.71
95.36
114.55
101.33
98.00
91.54
80.90
79.32
71.82
62.48
138
152
143
153
148

features of the test image and neutralizes the pose invariance
by using the symmetrical nature of pose variant images, hence
boosting the recognition rate. Fig. 7 gives the detailed insight
into this technique.
V. EXPERIMENTAL RESULTS AND ANALYSIS
The experiments have been conducted on Color FERET
[17], Extended Yale B [18] and Pointing Head Pose databases
[19]. The techniques have been applied to the databases shown
in Fig. 11 and their results have been compiled and compared
as shown in Table II. The training set is selected randomly and
the remaining images are taken to be testing images. It is due
to this randomness that the average RR has been considered
instead of absolute RR.
Dataset modification has been implemented on each of the
databases to take into account all the possible pose and
illumination varying scenarios. Moreover, the results have
been noted for 5 different ratios for each database to see the
variation of Tr.: Te. Image ratio on RR.

A. Experiment (a): Color FERET Database
The database Color FERET is customized for 35 subjects
selecting 2 images each from fa, fb, hl, hr, pl, pr, ql and qr and
four images randomly selected from ra, rb, rc, rd, re for each
subject. There are a total of 20 images per individual for
which the ratio 8:12 has been used as the reference Tr.: Te.
Image ratio.
For this database, RDWT is used as the feature extractor.
Also, FDuWT is applied as the preprocessing technique. If in
any case, the recognition due to FDuWT fails, then FTF
technique is applied to testing image to improve the RR. The
final RR is obtained after the application of all of these
techniques.


Figure 12. Combined Graphical representation for Average Recognition Rate (RR), Maximum RR, Tr. Time and Te. Time for different Tr.: Te. Ratios of Color
FERET, Extended Yale B and Pointing Head Pose database

2014 International Conference on Electronics and Communication System (ICECS -2014)
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TABLE III.
COMPARISON OF RECOGNITION RATES WITH EXISTING
TECHNIQUES FOR COLOR FERET DATABASE

Figure 13. Graphical comparison of proposed techniques with other
techniques.
B. Experiment (b): Extended Yale B Database
The database Extended Yale B has been customized for 28
subjects where we have considered the pose 0 for each subject
and subset 5 consisting of 19 images per subject. The
reference ratio considered for Tr.: Te. Images is 3:16.
For Extended Yale B database, Illumination Enhancement
Techniques And Sobel Edge detection has been applied as the
1st stage of preprocessing phase. Then, FDuWT is applied as
the next preprocessing technique followed by RDWT
extraction. The final RR obtained is after the training and
testing images have been modified by each of these proposed
techniques individually.

C. Experiment (b): Pointing Head Pose Database
The Pointing Head pose database is for 15 subjects each
consisting of 186 images for which the Tr.: Te. Image ratio
being considered as reference is 70:116. The Pointing Head
Pose database is a pose varying database. Thus for this
database, FDuWT, RDWT and FTF Technique work
successfully and give the final RR.
From Fig. 12, it can be clearly seen that for all three
databases, the Avg. RR increases as the number of training
images increases. Moreover, the proposed techniques work
best for Extended Yale B database which is an Illumination
Variant database.
VI. COMPARISON WITH OTHER FR SYSTEMS
The average recognition rates for Color FERET database
obtained by the proposed techniques for a training to testing
ratio of 8:12 are compared with various standard techniques
such as DFT spectrum, DWT Thresholding and Laplacian
Gradient Masking (LGM), Selective Illumination
Enhancement Technique (SIET), Singular Value
Decomposition (SVD) and Fisher linear discriminant analysis
(FLDA), hierarchical and parallel Semi Random Subspace
method (HSemi-RS and PSemi-RS) and K-means clustering as
shown in Table III and Fig.13.
In terms of number of features, 811 features have been
considered in DFT spectrum technique [20] as compared to
975 features corresponding to our proposed technique for
Color FERET database with 8:12 ratio. For the same ratio of
Color FERET database the training and testing times obtained
for DFT spectrum technique [20] are 88.72s and 123.90ms
respectively whereas for our proposed techniques, the times
are 129.45s and 82.51s respectively.
VII. CONCLUSIONS
A novel approach for a exible FR system is proposed
which uses the combination of Filtered Dual Wavelet
Transform (FDuWT) technique for edge enhancement and
denoising, Raster Scan DWT (RDWT) for feature extraction,
Filter Transformed Flipping (FTF) for pose neutralization and
BPSO -based feature selection. These techniques have played
a key role and have been the main contributors for the high
recognition rates (RR) being obtained. A successful attempt
has been made to equally handle all image variations (pose
and illumination). The experimental results indicate that the
proposed method has performed well under severe
illumination conditions with top RR having reached 100% for
subset 5 of Extended Yale B. It is also successful in tackling
the most challenging task of pose variance in FR with average
RR of 91.33% for Color- FERET database with a training:
testing ratio of 8:12, and an average RR of 97.13% for
Pointing Head Pose database with a training: testing ratio of
60:126. On a PC with Intel Core i5 2.5 GHz CPU and 4 GB
RAM, the proposed method costs an average testing time of
82.51 seconds (for Color FERET database, 8:12 ratio, 35
subjects) using MATLAB(R) [24]. This may still be a
limitation of the proposed method for real-time applications.
Hence, a future research issue could be to develop faster
computation methods. The tradeoff for the proposed methods
is that as the number of training images increases, the
recognition rate also increases but it compromises with an
increase in the computation time.

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