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Wenyi Feng ) , Yingbai Yan 1, Guofan Jin, Minxian Wu, Qingsheng He

State Key Laboratory of Precision Measurement Technology and Instruments, Department of Precision Instruments, Tsinghua Uniersity, Beijing, 100084 China Received 30 September 1999; received in revised form 7 February 2000; accepted 10 February 2000

Abstract A multichannel optical correlation processor based on volume holographic associative memory in a photorefractive crystal and wavelet transform is proposed for human face recognition. Distortions due to shift, rotation, scale, and partial hiding are studied to understand invariant performance of the processor. Our results show that shift-invariance and rotation-invariance are key problems for practical applications of the processor to human face recognition. Theoretical analysis and simulation conclude that the focal length of the Fourier transform lens is the main factor to affect shift-invariance of the processor. Shift-invariance would be improved if the focal length were enlarged. With regard to rotation-invariance, a novel mechanism to recognize human faces with any rotation angle is proposed and testified by experiments. The processor is more practical with the improvement of invariance. q 2000 Elsevier Science B.V. All rights reserved.

Keywords: Volume holographic storage; Wavelet transform; Optical correlators; Invariance; Human face recognition

1. Introduction The associative memory characteristic of volume holographic storage in a photorefractive material has been successfully used to construct optical correlators w13x. A photorefractive correlator offers unique capabilities such as multichannel operation, parallel processing, and real time response. Once all the patterns are stored in a photorefractive material, it can be employed as a database for pattern recogniCorresponding author. Tel.: q 86-10-6278-1204; fax: q 86-106278-4691; e-mail: fengwy@post.pim.tsinghua.edu.cn 1 E-mail: yyb-dpi@mail.tsinghua.edu.cn.

)

tion. An input image can be compared with all the stored patterns simultaneously. Wavelet transform has also been introduced to photorefractive correlators to improve the accuracy of correlation identification w46x. The conventional correlation of images converts to the correlation of main features extracted by the same wavelet filter. A sharp correlation peak with little sidelobes is obtained, and the system is robust to noise. Invariant recognition is a key problem to construct a practical processor. It is known that a volume holographic correlator is no longer fully shiftinvariant. Several methods have been proposed to achieve shift-invariance with a volume hologram as

0030-4018r00r$ - see front matter q 2000 Elsevier Science B.V. All rights reserved. PII: S 0 0 3 0 - 4 0 1 8 0 0 . 0 0 5 8 6 - 1

142

a matched filter w7,8x. The angular peristrophic hybrid multiplexing w9x and the method of circular harmonics w10x have also been used for rotation-invariant recognition in a volume holographic correlator. Distortions due to rotation, scale, and partial hiding have been studied in a photorefractive joint transform correlator for fingerprint identification on a limited data bank w11x. However, invariant performance of a volume holographic wavelet correlation processor has not been researched. Our volume holographic wavelet correlation processor for human face recognition is demonstrated at first in Section 2. Its invariant performance due to shift, rotation, scale, and partial hiding is described in Section 3. In Section 4, theoretical analysis and simulation are made for improvement of shift-invariance. A novel multiplexing mechanism is proposed to recognize patterns with any rotation angle in Section 5. Finally, some conclusions are given.

2. Volume holographic wavelet correlation processor If two images are f x, y . and s x, y ., respectively, their wavelet correlation is defined as f x , y . m ha x , y . m s x , y . m ha x , y .

q` q`

Hy` Hy`

F u, . H U a x u, a y . S U u, .

=H a x u, a y . exp i 2p xu q y . d u d

It is a real positive function, which is beneficial for fabrication. According to the expression 1., wavelet correlation is the inverse Fourier transform of two waveletfiltered spectrums. Angle multiplexing is used to implement the volume holographic wavelet correlation processor. Wavelet-filtered spectrum holograms of all the patterns are stored in a PR crystal at first. When wavelet-filtered spectrum of an input image is used to read out the holograms, wavelet correlation outputs of the input image and all the stored patterns will be restored simultaneously along transmitting directions of the reference beams. Hence, an input image will be corresponding to a correlation intensity vector. It can be identified by finding position of the correlation peak with maximum intensity or calculating the minimum distance between the vector of the input image and that of patterns. Our volume holographic wavelet correlation processor is shown in Fig. 1. The linear polarized light generated from a laser is expanded, filtered and collimated by a microscope lens BL, a pinhole PH, a beam-expanding lens EL, and a diaphragm D. Passing through a half wave plate HP1 , the light is divided into a reference beam and an object beam by a polarized beam-splitting prism BS. A proper power distribution between two beams will be achieved by adjusting HP1. A beam scanning setup made up of lenses L 1 and L 2 controls the reference beam. The two lenses are confocal. Moving L 1 causes the shift of the focus. As a result, the transmitting angle of the reference beam alters while the beam passes through

1.

where m is the correlation operator, h a x, y . y1 s ax ay h xra x , xra y . is the wavelet filter, a s a x , a y . is the dilation factor of the wavelet function, F u, ., S u, . and H a x u, a y . are the Fourier transforms of f x, y ., s x, y . and h a x, y .. Mexican-hat wavelet function is adopted in our system to fabricate the filter. It is quadratic differential of the Gaussian function and is also one of the most useful edge detection functions. In the frequency domain, the function is w12x

H u, . s 4 p 2 u 2 q 2 . exp y2 p u 2 q 2 .

2.

143

Fig. 2. Experimental results of 120 human faces recognition: a. d. system outputs with No. 1, 40, 80, and 120 human face as the input image.

L 2 . To ensure that the two beams have an interference region, we should make the size and position of the reference beam motionless on the recording plane, and only permit the alteration of its direction. The demand can be assured while the planes laid L 1 and the PR crystal satisfy the imaging relation. Spherical reference beam is used for a more compact structure. Correlation output is detected on the convergent plane of the reference beams without another lens to make inverse Fourier transforms for the read out beams. The input pattern on the SLM is Fourier transformed by a lens FL, filtered by a wavelet filter, and imaged onto the PR crystal by the lens IL. A half wave plate HP2 is used to adjust polarization direction of the object beam to be same as that of the reference beam. The two beams interfere to form a volume hologram in the PR crystal. Moving the lens L 1 and replacing the input pattern, we can record angle-multiplexing holograms in the PR crystal. When all the patterns are recorded in the PR crystal, the system is ready for recognition. In recognition, only the object beam is needed. The image for identification is fed to the system whose spectrum is filtered by the wavelet filter and imaged onto the PR crystal to read out the holograms. Multichannel wavelet correlation outputs are captured by a CCD camera and transferred to the computer for postprocessing. The whole process is arranged by a personal computer. Because the time-consuming recording process is a priori and the recognition

process is implemented instantly, the processor can be used for real-time pattern recognition. By simulation and experiments, we have concluded that cross-talk noise of multichannel volume holographic correlation is reduced significantly with the introduction of wavelet filtering w13x. Two-dimensional scanning can be used to record angle-multiplexing holograms. As shown in Fig. 1, we define the two scanning directions as x and y. An experiment of 120 human faces recognition is done to testify its validity. The PR crystal in our experiment is Fe: LiNbO 3 , whose size is 8 = 8 = 3 mm3 and the adulteration of Fe is 0.03%. The 120 human faces are recorded as 4 rows along x-direction and 30 columns along y-direction. All the patterns are stored in the PR crystal by scanning from up to bottom and left to right. Fig. 2 shows the system outputs with No. 1, 40, 80 and 120 face as the input image, respectively. The correlation peak with maximum intensity appears at the correct position. 3. Invariant performance of the processor It is known that discrimination of a volume holographic correlator is improved with the introduction of wavelet transform. However, invariant performance is more significant in many practical applications such as fingerprint identification and human face recognition. The system performance is dependent upon its structural parameters. The parameters

144

of our processor are wavelength l s 0.6328 mm, focal length f s 250 mm, thickness of the PR crystal t s 3 mm, inter-angle of the two beams u s 458, and size of the input image L = L s 4.8 = 4.8 mm2 . The invariant performance can be investigated on a limited data bank. A more direct method is to study the intensity change of a correlation output due to different distortions. First, shift-invariant performance is evaluated by the correlation between a human face and its shifted image. The simulated and experimental curves of the correlation intensity with respect to the shifts along x and y directions are shown in Fig. 3. It can be concluded that the shift invariance on x-direction is

Fig. 4. Rotation invariance of the processor.

much better than that on y-direction. In other words, the volume holographic correlator is approximately shift-invariant in x-direction. Then, we measure the angular sensitivity of the processor by the correlation between the human face and its rotated version. Varying the rotation angle in half-degree steps, we record the intensity of correlation outputs by simulation and experiment. The results are presented in Fig. 4. Similarly, the invariance due to scale and partial hiding is studied. Their results are shown in Figs. 5 and 6, respectively. The hidden part begins from bottom to up in the human face image. Based on our experimental results, a wavelet filter can also elimi-

145

the plane x, y .. The correlation of a particular input image f x 0 , y 0 . and all the stored patterns f m x 0 , y 0 . is obtained at the plane x c , yc .. Here, a single pattern is stored in the PR crystal with the reference beam generated at the point x m s ym s 0. The same image is used to read out the hologram. Without wavelet filtering, the diffractive field at the output plane is w14x

E x c , yc . st

HHd x 0 d y0 f x 0 , y0 . f

x 0 q j , y 0 qh .

sinc =

j 2 x 0 q j . qh 2 y 0 qh .

2f

lf

yc

3.

where nate the noise in an input image if it is properly designed. So the processor is robust to noise. According to experimental experience, a distorted human face could still be recognized when the correlation intensity is bigger than 60% of its auto-correlation intensity without distortion. Invariant performance of our volume holographic wavelet correlation processor for human face recognition can be approximately evaluated as: "2 mm in shift on x-direction, "0.1 mm in shift on y-direction, "68 in rotation, "7% in scale, and up to 40% hiding part. These results will vary while parameters of the processor change. Our object is to find the optimal parameters to improve invariance of the processor. Here, shift-invariance and rotation-invariance are most important for a practical processor, which will be mainly discussed below. 4. Improvement of shift-invariance A model shown in Fig. 7 is used for simulation of shift-invariance w14x. The input image is placed at the plane x 0 , y 0 . with its center at the origin, and illuminated with a plane wave. To simplify calculation, plane waves generated at different points at the plane x m , ym . are adopted as reference beams. The interference pattern formed between the Fourier transform of an input image and a reference beam is recorded in a thick holographic medium centered at

j s xc h s yc cos u q

2 x c q yc2

2f

2 x c q yc2

sin u

c s yc sin u y

2f

cos u

4.

The meanings of parameters above are shown in Fig. 7. Replacing the input image at the plane x 0 , y 0 . with its wavelet-filtered feature, we can get the diffractive field of the system with wavelet filtering.

146

It is

E x c , yc .

is L = L, we have < y 0 < - 1 L. As a result, the shift 2 along y-direction satisfies D y2 l f 2T t L q 2 f tan u . D2 x 2f

st

HHd x 0 d y0 Wf x 0 , y0 . Wf

10 .

x 0 q j , y 0 qh .

sinc =

j 2 x 0 q j . qh 2 y 0 qh .

2f

lf

yc

5.

x c s D x , yc s and t ar s

tan u

11 .

Shifting the image D x and D y along x 0 and y 0 directions, and feeding it to the system, we get the diffractive field at the output plane

E x c , yc . st

2 l f cos u

w cos u y 1 . D2 x q 2 x 0 cos u D x

12 .

HHd x 0 d y0 Wf x 0 , y0 . Wf

According to < ar < - T and < y 0 < - 1 L, the shift along 2 x-direction satisfies

D xyc

= x 0 q j y D x , y 0 qh y D y .

sinc =

'L cos u q8 l f

2 2

2 y1

j 2 x 0 q j . qh 2 y 0 qh .

2f

2 1ycos u .

13 .

lf

6.

Define t ar s

j 2 x 0 q j . q h 2 y0 q h .

2f

lf

yc

7.

The correlation peak appears at the point that satisfies j y D x s 0, h y D y s 0. The wavelet correlation based on volume holograms is modulated by a sinc function. We define D x s 0 and D y s 0, respectively, to study the effect to correlation output by shifts along two different directions. When D x s 0 and D y / 0, we have x c s 0, yc s and Dyt ar s Dy cos u

From the expressions 10. and 13., we can conclude that bigger the focal length f, or smaller the PR crystal thickness t and two beams inter-angle u , better the shift-invariance of the processor. The main access to improve the shift-invariance is to choose a lens with a bigger f because decreasing t or u will reduce the angular sensitivity of the processor. Keeping other parameters and choosing different f, we obtain the change of correlation intensity by the shift along y-direction as shown in Fig. 8. The shift-in-

8.

lf

y0 f

y tan u

9.

The smaller the value of ar, the less the reduction of correlation intensity by the sinc function. We define < ar < - T as the condition of shift-invariance, where T is a small constant. If the size of the pattern

Fig. 8. Shift invariance of the processor along y-direction with different focal lengths.

147

variance along y-direction is improved with a bigger focal length, so is the shift-invariance along x-direction. It was reported that an approximate shift-invariant system would be achieved while the focal length f was bigger than 1000 mm w15x. 5. A mechanism to solve rotation-invariant recognition A novel method is proposed to recognize human faces with any rotation angle. It is more convenient than the angularperistrophic hybrid multiplexing method w9x. The idea of our mechanism is shown in Fig. 9a. If the original system can recognize human faces within a range of rotation angle wyT, T x, we can use 2T as the range width to divide 3608. In other words, 3608 is divided into a set of angle ranges: . . . , wy3T, yT x, wyT, T x, w T, 3T x, . . . In recording, all the patterns are rotated to one of the central angles of each ranges such as . . . , y2T, 0, 2T, . . . , and stored in the PR crystal by scanning along y-direction. The reference beam is restored on

Fig. 10. System outputs of an input image with different rotation angles: a. y158; b. y128; c. y98; d. y38; e. 08; f. 38; g. 98; h. 128; i. 158.

Fig. 9. a. Principle drawing of the mechanism for rotation invariance; b. distribution of correlation peaks on the output plane.

y-direction and moved a scanning interval on x-direction when all the patterns rotated to a central angle are recorded. Similar angle-multiplexing holograms are stored while all the patterns rotate to another central angle. The recording process goes on until all the patterns rotated to all the central angles are stored. Fig. 9b shows the distribution of correlation peaks on the output plane using the scanning order above. Each column stands for a certain pattern, and each row indicates a certain angle range. If an image with rotation angle a is fed to the system, a correlation peak with maximum intensity will appear at the corresponding patterns column and the row whose angle range contains a . In our system, T s 68. Images with rotation angle y128, 08 and 128 are recorded in the PR crystal to recognize an input image rotated from y188 to 188. Fig. 10 is the system outputs of an input human face with rotation angle y158, y128, y98, y38, 08, 38, 98, 128 and 158. Only useful part of each output is shown. Those results testify the validity of the proposed idea for rotation invariance. Certainly, the improvement of rotation invariance is based on the reduction of pattern number for

148

correlation from two dimensions to one dimension. However, the pattern number in one-dimension is enough for many applications owing to large capacity of volume holographic storage. 6. Conclusions We have reported the invariant performance of a volume holographic wavelet correlation processor to recognize distorted human faces. Distortions due to shift, rotation, scale, and partial hiding are considered. The processor can handle "2 mm in shift on x-direction, "0.1 mm in shift on y-direction, "68 in rotation, "7% in scale, and up to 40% hiding part. Shift-invariance of the processor has been theoretically analyzed and simulated. It is concluded that choosing a bigger focal length will lead to improvement of the shift-invariance. A novel mechanism is also proposed and experimentally verified for rotation-invariance. A human face with any rotation angle can be recognized by the processor. The idea can be extended to other volume holographic correlators to solve the rotation-invariant problem. Here, we improve the invariant performance by storing distorted forms of the patterns in the PR crystal. A more effective method is combined with distorting the input image to match the stored patterns before it is fed to the processor. For example, we can shift, rotate or scale the input image orderly and feed it to the processor one by one. The method is feasible now because the speed of SLM is rather high to perform the process. Further researches based on these points are currently being investigated for a practical processor. Acknowledgements We appreciate the financial supports of the National Natural Science Foundation of China

69877007. and the High Technology Research and Development Program of China 863-307-14-4.. References

w1x F.T.S. Yu, S. Wu, A.W. Mayers, S. Rajan, Wavelength multiplexed reflection matched spatial filters using LiNbO 3 , Opt. Commun. 81 1991. 343347. w2x S. Faria, A. Tagliaferri, S. Bos, A. Paulo, Photorefractive optical holographic correlation using a Bi 12 TiO 20 crystal at l s 0.633 mm, Opt. Commun. 86 1991. 2933. w3x F.T.S. Yu, S. Yin, Bragg diffraction-limitted photorefractive crystal-based correlation, Opt. Eng. 34 1995. 22242231. w4x M. Wen, S. Yin, P. Purwardi, F.T.S. Yu, Wavelet matched filtering using a photorefractive crystal, Opt. Commun. 99 1993. 325330. w5x W. Feng, G. Huang, Y. Yan, G. Jin, Multichannel wavelet correlators by the use of associative storage in a photorefractive material, Proc. SPIE 3554 1998. 149154. w6x W. Feng, Y. Yan, G. Jin, M. Wu, Q. He, Wavelet transform to improve recognition accuracy of a volume holographic correlator, Proc. SPIE 3749 1999. 211212. w7x C. Gu, J. Hong, S. Campbell, 2-D shift-invariant volume holographic correlator, Opt. Commun. 88 1992. 309314. w8x Q. He, P. Yeh, L. Hu, S. Lin, T. Yeh, T. Tu, S. Yang, K. Hsu, Shift invariant photorefractive joint transform correlator using Fe:LiNbO3 crystal plates, Appl. Opt. 32 1993. 3113 3115. w9x Z. Wen, X. Yang, Multichannel photorefractive correlator for rotation-invariant optical pattern recognition, Opt. Commun. 135 1997. 212216. w10x C. Chang, H. Yau, Y. Tong, N. Puh, Rotational invariant pattern recognition with the method of circular harmonics using a BaTiO 3 crystal, Opt. Commun. 87 1992. 219222. w11x J. Rodolfo, H. Rajbenbach, J.-P. Huignard, Performance of a photorefractive joint transform correlator for fingerprint identification, Opt. Eng. 34 1995. 11661171. w12x I. Ouzieli, D. Mendlovic, Two-dimensional wavelet processor, Appl. Opt. 35 1996. 58395846. w13x W. Feng, Research on Optical Wavelet Parallel Processing, Ph.D. thesis, Tsinghua University, Beijing, China, 1999. w14x C. Gu, H. Fu, J.R. Lien, Correlation patterns and cross-talk noise in volume holographic optical correlators, J. Opt. Soc. Am. A 12 1995. 861868. w15x A. Pu, R. Denkewalter, D. Psaltis, Real time vehicle navigation using a holographic memory, Opt. Eng. 36 1997. 27372746.

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