Ear-parotic face angle - University of Macau Institutional Repository
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Ear-parotic face angle - University of Macau Institutional Repository
Pattern Recognition Letters 53 (2015) 9–15 Contents lists available at ScienceDirect Pattern Recognition Letters journal homepage: www.elsevier.com/locate/patrec Ear-parotic face angle: A unique feature for 3D ear recognition✩ Yahui Liu b, Bob Zhang c, David Zhang a,∗ a Biometrics Research Centre, Department of Computing, Hong Kong Polytechnic University, Kowloon, Hong Kong Department of Computer Science and Technology, Harbin Institute of Technology Shenzhen Graduate School, Shenzhen, China c Department of Computer and Information Science, University of Macau, Macau b a r t i c l e i n f o Article history: Received 16 June 2014 Available online 30 October 2014 Keywords: 3D ear recognition Biometrics Ear-parotic face angle 3D ear indexing a b s t r a c t This paper proposes a unique characteristic in 3D ear images: ear-parotic face angle of the person. The earparotic face angle feature is defined as the angle between the normal vector of the ear-plane and the normal vector of the parotic face-plane. It is a unique and stable feature in 3D ears, and is able to provide indexing identification as well as hierarchical verification solutions which enhance both the speed and accuracy of 3D ear recognition. The experimental results show that by using the angle indexing in identification, the search range is reduced to 9.69% from the original, which is a considerable reduction in time. The verification experiment also achieved an equal error rate (ERR) improvement (from 2.8% to 2.3%) by combing the angle feature with iterative closest point (ICP) method. © 2014 Elsevier B.V. All rights reserved. 1. Introduction Biometric authentication is playing important roles in applications of public security such as access control [1], forensics, and e-banking [2,3]. In order to meet the needs of different security requirements, new biometrics including palmprint [4], vein [5], ear [6–8] and so on, have been developed. Among them, the ear has proven to be a stable candidate for biometric authentication due to its desirable properties such as universality, uniqueness and permanence. In addition, an ear possesses several advantages: its structure does not change with age and its shape is not affected by facial expressions [9,10]. Researchers have developed several approaches for ear recognition from 2D images. Burge and Burger proposed a method based on Voronoi diagrams [8]. They built an adjacency graph from Voronoi diagrams and used a graph matching based algorithm for authentication. Hurley et al. proposed a system based on force field feature extraction [11]. They treated the ear image as an array of mutually attracting particles that act as the source of a Gaussian force field. Choras presented a geometrical method of feature extraction from human ear images [12]. Although these approaches show some good results, the performance of 2D ear authentication will always be marred by illuminations and pose variation. Also, the ear has more spatial geometrical information than texture information, but spatial information such as posture, depth, and angle are limited in 2D ear images. ✩ ∗ This paper has been recommended for acceptance by G. Borgefors. Corresponding author. Tel.: +852 27667271; fax: +852 27740842. E-mail address: [email protected] (D. Zhang). http://dx.doi.org/10.1016/j.patrec.2014.10.014 0167-8655/© 2014 Elsevier B.V. All rights reserved. In recent years, 3D techniques have been used in biometric authentication, such as 3D face [13,14], 3D palmprint [15–17] and 3D ear recognition [18–23]. A 3D ear image is robust to imaging conditions and contains surface shape information which is related to the anatomical structure as well as being insensitive to environmental illuminations. Therefore, 3D ear recognition has drawn more and more researchers’ attention recently. Yan and Bowyer [18] presented an automated segmentation method by finding ear pit and using an active contour algorithm on both color and depth images, in addition to describing an improved iterative closest point (ICP) approach for 3D ear shape matching. Chen and Bhanu [19] proposed a 3D ear recognition algorithm based on local surface patch and the ICP method. They also presented a 3D ear indexing method [20] which combined feature embedding and a support vector machine based learning technique for ranking the hypotheses. Islam et al. provided an effective method for ear detection using the key points to extract the local feature of the 3D ears [21]. Zhou et al. presented a complete 3D ear recognition system combining local and holistic features in a computationally efficient manner [22]. Even though good results were achieved by the works mentioned above, there is still room for improvement [23]. To date, there has been no work with 3D ears that have extracted angle features between the ear and parotic face. The angle feature is stable for each person and is unique in 3D images. This characteristic gives a 3D ear more special features than a 2D ear, which is a helpful candidate for ear indexing and coarse classification in 3D ear recognition. In this paper, we propose a unique global feature in 3D ear images: ear-parotic face angle of the person. The motivation of defining the ear-parotic face angle feature is to provide an original feature as an aid to improve the efficiency in 3D ear recognition. As we all know, time consumption is always a challenge in 3D ear recognition, and 10 Y. Liu et al. / Pattern Recognition Letters 53 (2015) 9–15 Table 1 Performance comparison with commercial scanner. Vivid 910 Our Scanner Accuracy (mm) Dimensions (mm) Price (USD) ±0.1 ±0.5 213 × 413 × 271 140 × 200 × 200 >20,000 <1000 the speed of a biometric system is an important factor for real-time applications. By introducing the ear-parotic face angle feature, the hierarchical structure can be applied for 3D ear indexing which leads to a reduction of the search space in 3D ear recognition. We can use this feature to sort the samples in a registered database. When recognition is performed we only need to compare the test ear with candidate ears, and determine which has a closer angle value to the test ear. By using this method we do not need to compare all the registered ears with the test ear, and thus the efficiency can be improved taking less time and achieving a higher accuracy in the recognition stage. Since data collection is the very first step in a biometric recognition system, a short description of our special 3D ear acquisition device and 3D ear database is introduced at the beginning. The rest of the paper is organized as follows. Section 2 describes the 3D ear acquisition system we developed. Section 3 describes the definition of the ear-parotic face angle feature and how it is applied in 3D ear recognition. Section 4 shows our experimental results that subsequently prove the stability and effectiveness of the ear-parotic face angle feature. Section 5 is the discussion and future work. A conclusion is given in Section 6. (a) 2. 3D ear acquisition To date, most of the previous researchers use commercial laser scanners (for example, the widely used Minolta VIVID Series [18–23]) to acquire 3D ear images. Although these scanners have numerous functions and high accuracy, they are always expensive and big, which is inconvenient for practical biometrics applications. With this consideration, we developed a low-cost laser scanner for 3D ear acquisition using the laser-triangulation principle (as shown in Fig. 1(a) and (b)). The main components of our 3D ear scanner are CCD camera, laser projector, step-motor, and motion control circuit. The laser projector projects a red laser line on the object surface. The step motor rotates the laser projector to form a series of scanning lines. The CCD camera is used to capture the images in scanning sequence. The system is designed for access control. It adapts to both indoors and outdoors acquisition environment. The 2D and 3D ear images obtained by our scanner are shown in Fig. 1(c). Since the accuracy plays an important role for the computation of the ear-parotic face angle that affects the overall accuracy, the scanning system is calibrated using a comprehensive calibration method (interested researchers please refer to [24] for details). Table 1 is a brief comparison between Vivid 910 and the low-cost scanner. The accuracy of our scanner is ±0.5 mm, the dimensions are 140 × 200 × 200 mm, and the price is less than 1000 USD. We collected the 3D ear samples from 250 individuals using our 3D ear laser scanner. The subjects mainly consisted of volunteers from students and staffs at the Shenzhen Graduate School of HIT, including 178 males and 72 females with ages ranging from 20 to 60. These samples were collected on two separate occasions, at an interval of around one month. On each occasion the subject was asked to provide two left side face images and two right side face images. Therefore, each person provided eight images such that our database contains a total of 2000 images from 500 different ears. During data collection the subjects sat in a natural position on a chair with a backrest and kept still. The laser scanner was vertically and horizontally movable to accommodate for different seating and head positions. The scanner captures the front-view of ear at a (b) (c) Fig. 1. 3D ear acquisition system: (a) the principle of imaging and calibration, (b) the developed 3D ear acquisition device, and (c) the captured 2D ear sample and its corresponding 3D model. distance of about 30 cm with an approximately straight-on angle to the side of the face, and the tolerances for pose rotation is ±20°. The subjects were asked to take off all ornaments from their ear and tie their hair back to avoid any occlusions. The scanning process took approximately 2 s. 3. Unique ear-parotic face angle feature 3.1. Definition From Fig. 2 we can observe that there is an angle (θ ) between the ear and parotic face of a person. We assume there is a plane Af x + Bf y + Cf z + Df = 0, which represents the 3D points on the parotic face (the green circle shown in Fig. 2). We also use another plane, Ae x + Be y + Ce z + De = 0, to represent the 3D points on the ear edge (i.e., light blue square shown in Fig. 2). Thus, the normal vector of the parotic face plane can be obtained as nf = (Af , Bf , Cf )T , and the normal vector of the ear plane is ne = (Ae , Be , Ce )T . The angle between parotic face and ear can be defined as follows: θ= θ1 180 − θ1 ◦ if θ1 < 90◦ as the ear-parotic face angle else (1) where θ1 = arccos(nf , ne /(nf 2 ne2 )). 3.2. Angle feature extraction In order to calculate the ear-parotic face angle, the ear is first located using a mask. Next, the laser lines on the ear are extracted Y. Liu et al. / Pattern Recognition Letters 53 (2015) 9–15 11 Fig. 2. Ear-parotic face angle definition. (For interpretation of the references to color in the text, the reader is referred to the web version of this article.) Fig. 4. Process of using ROI edge points (both ear and parotic face) to calculate the ear-parotic face angle. Fig. 3. Ear image processing: (a) ear mask generation, (b) extraction of laser lines and key-points on the mask. (For interpretation of the references to color in the text, the reader is referred to the web version of this article.) and traced to represent the ear edge-points. Afterwards, region of interest (ROI) consisting of the ear and parotic face can be defined. Finally, the normal vectors nf and ne are obtained from the located ear and parotic face. Below we explain each step in detail. First, a mask was generated to separate the ear and parotic face areas from the original captured images. Among the 2D scanning sequence, there is no laser line in the last frame, so the last frame is selected for the mask generating. Next, a binarization image is acquired from it, and then the morphological dilation, opening, and closing options are applied to fill holes and remove noisy pixels in this binary image. Lastly, the connected component labeling algorithm is used, and the largest connected component is retained as the final mask (as shown in Fig. 3(a)). After the mask generating, the laser lines can be extracted within the mask region. Since the pixels on the laser lines are much brighter than the other pixels in the image, we extract the laser lines by selecting the brightest pixels in each column (as the white lines shown in Fig. 3(b)). Before calculating the angle between the ear plane and the parotic face plane, some representative key-points should be selected to describe the ear and the parotic face. This processing step consists of two major tasks: tracing edge points on the ear, and selecting stable points on the parotic face. Fig. 3(b) shows three cases of the edge points on the ear (marked in red), case 1: when laser lines are projected on the bottom of the ear (earlobe), select the furthest line’s right endpoint as an edge-point; case 2: when laser lines are projected on the ear and parotic face, select the rightmost line’s right endpoint as the edgepoint of interest; case 3: when there is only one line on the ear the rightmost endpoint is the edge-point. For the second task, key-points in Fig. 3(b) between the ear and parotic face are always the leftmost line’s endpoint (marked in green). In our case we only have to locate the lowest and highest key-points sets, and select the leftmost points of each set as the edge-points between ear and parotic face (e.g. P3 and P4 in Fig. 4). Using the key-points extracted above, we can segment the ear region and locate a round region on the face. As shown in Fig. 4, P3 and P4 are the leftmost edge points in the lower 1/4 and upper 1/4 of the ear. We connect a straight line from P3 to P4 as the boundary between ear and face. P1 is the lowest edge point and P2 is the highest edge point which makes A and B the projection points of P1 and P2 on the boundary line. C is the lower third of AB, and OC is perpendicular to AB. In our experiment the distance between O and C is 10 mm, and the radius of the circle is 5 mm. The ROI can be constituted by both the ear region and the round region on parotic face. After preprocessing, we can locate the points in the parotic faceplane and detect the boundary points in the ear-plane. To compute the angle, the main task is to extract the normal vector that represents the ear/parotic face plane. In the above ROI selection stage, a set of ear boundary points and a region of parotic face points are located, and the 3D coordinates of these points are computed using: ⎡ x b−d tan θ ⎤ ( ) ⎡ ⎤ ⎢ x +f tan θ ⎥ x ⎢ y (b−d tan θ ) ⎥ ⎥ p = ⎣y⎦ = ⎢ ⎢ x +f tan θ ⎥ ⎦ ⎣ z ( f b−d tan θ x +f tan θ ) (2) 12 Y. Liu et al. / Pattern Recognition Letters 53 (2015) 9–15 Fig. 5. Process of using ROI edge points (both ear and parotic face) to calculate the ear-parotic face angle. Fig. 8. Registration and model indexing diagram. Fig. 6. Simulation of various possible ear-parotic face angles. where (x , y ) are the 2D coordinates of the point on the laser line recorded in the 2D image, b and d are the horizontal and vertical distances between the camera optic center and the projector axes respectively, θ is the laser projection angle, and f is the focal length of the camera. All parameters b, d, f are pre-calibrated while θ is controlled by a motor control circuit. Using the 3D coordinates of these points, the parotic face-plane and ear-plane can be hypothesized, and the normal vectors of these planes can be computed. The principal component analysis (PCA) has proven to be an effective method in seeking a projection that best represents the data in a least-squares sense by finding the principal axes of the data matrix [25,26]. It is mathematically defined as an orthogonal linear transformation that transforms the data to a new coordinate system such that the greatest variance by projection of the data comes to lie on the first coordinate (called the first principal component), the second greatest variance on the second coordinate, and so on. By using this characteristic of PCA, we can treat the 3D points cloud in the form of a 3-by-n matrix, and then the first principal component of the points cloud is the greatest variance by projection of the 3-by-n matrix, which is the length direction in our case (as shown in Fig. 5: PC1). In a similar way, the second principal component (PC2) is the width direction, and the third principal component (PC3) is the depth direction. According to the orthogonal characteristic of the principal components, we can see that the third principal component can be used as the normal vector to present the points cloud plane. Fig. 4 shows the procedure of calculating an ear-face angle. The 3D coordinates of the ear edge are stored in a 3-by-m matrix Se , and the 3D coordinates of parotic face is stored in a 3-by-n matrix Sf . Thus, the PCA method can be applied on both matrixes to obtain their normal vectors ne and nf respectively, where the angle between ear and parotic face can be computed according to the definition in Section 3.1. Fig. 6 is a series of simulations which illustrate the possible angles between ear and parotic face. Based on our definition the angle is between 0° and 90°. Some typical ear samples and their respective angles are shown in Fig. 7. 3.3. Angle indexing for 3D ear recognition The primary function of the angle feature is to reduce the time in recognition. We can use this feature to sort the samples in a registered database. When recognition is performed we only need to compare the test ear with candidate ears, and determine which has a closer angle value to the test ear. By using this method we do not need to compare all the registered ears with the test ear, and thus a lot of time can be saved. The registration and model indexing diagram is illustrated in Fig. 8. In the registration stage: (1) Given a model ear, we first locate the ROI which contains both the 3D ear and a circular patch of the parotic face. (2) Compute the angle θ between ear plane and parotic face plane. (3) According to the angle θ insert the ROI of the model ear into the registered ear database which is sorted by ear-parotic face angle in ascending order. Thus, the registered ears in database can be indexed by its angle, and the database stores both the 3D ears and their corresponding angle values. Fig. 7. Typical ear samples with different angles. Y. Liu et al. / Pattern Recognition Letters 53 (2015) 9–15 13 Table 2 Ear-parotic face angle difference between two years interval. Volunteer 1 2 3 4 5 6 Ear-parotic face angle (°) Angle after two years (°) Absolute difference (°) 24.78 24.52 0.26 30.25 30.96 0.71 33.36 34.19 0.83 37.38 36.65 0.73 38.12 38.96 0.84 42.54 43.50 0.96 Et and Em (Anglet and Anglem respectively). Meanwhile, the 3D points clouds of the ears’ ROI can be obtained (Ct and Cm respectively). If the difference between Anglet and Anglem is greater than a threshold (1.72° in our case, refer to Section 4.1), the distance (Dist) between Et and Em is set to positive infinity. Else, the ICP method is performed on Ct and Cm to calculate the distance. 4. Experimental results Fig. 9. The flowchart of combing angle feature and ICP matching. In the identification stage: (1) Given a test ear the location of the ROI which contains both the 3D ear (Ct ) and a circular patch of found on the face. (2) Compute the angle α between ear plane and parotic face plane. (3) In the registered database we locate an angle area [α − β , α + β ] (the angle β is a search range which is empirically chosen), and then select all ear models (Ci , i = 1, . . . , k, k is the number of registered models in the angle area [α − β , α + β ]) in this angle range as candidate models for identification. (4) Identification is performed between the test ear (Ct ) and candidate models (Ci , i = 1, . . . , k). If the total number of registered models in database is N, and the number of candidate models is k, the identification time will be reduced to k/N of the original time cost, by using this angle-indexing method. In verification stage, we used the ICP algorithm to measure the difference between model and test samples. The ICP algorithm developed by Besl and Mckay [27,28] is used to register two given points sets in a common coordinate system. Each iteration of the algorithm calculates the registration by selecting the nearest points. Variants of ICP have been proved to be effective to align 3D ears in previous works [18–21]. Below we explain the algorithm used in our case. (1) Initialization of the rotation matrix R0 and translation vector T0 . (2) Given each point in a test ear, find the corresponding point in the model ear. (3) Discard pairs of points which are too far apart using a tolerance distance tol. (4) Find the rigid transformation (R, T) and apply it to the test ear. (5) Go to (2) until no more corresponding points can be found or the maximum iteration number is reached. In this paper we used 10 as the tolerance distance for establishing closest point correspondence, and the maximum iteration number is 50 times. After rotation and translation the average distance of all corresponding points is calculated as the distance of model-test pair. Then, we combined the ear-parotic face angle feature and ICP together for matching. The angle feature is applied first before ICP registration. Its function is similar to a rejection classifier. The flowchart is shown in Fig. 9. When there is a matching between the test ear Et and the model ear Em , we first calculate the ear-parotic face angle of In the following section we provide the experimental results, which were performed on a single PC with Intel Core 2 CPU at 2.33 GHz and 2 GB of memory. Section 4.1 first illustrates the unique angle feature. Section 4.2 then shows the application of the ear-parotic face angle for 3D ear recognition. 4.1. Unique angle feature To prove the stability of the ear-parotic face angle, we followed six adult volunteers for almost two years. Table 2 shows that the earparotic face angles were stable during that period of time. It can be seen that the ear-parotic face angles extracted from the same subject at different capture sessions changes little, which corroborate that the proposed ear-parotic face angle is a stable feature. We computed all the samples’ ear-parotic face angles and found the maximum angle difference for the same ear at different capture sessions to be 1.72°. We calculated all 500 left and right ear-parotic face angles and Table 3 shows the ear-parotic face angle distribution. The first row shows the range of degrees while the second row depicts the number of individuals that fall into this range. From Table 3 it can be seen that the majority of individuals have an ear-parotic face angle between 30° and 39°, and the angle distribution is similar to Gaussian distribution. 4.2. Applications for ear recognition Using the ear-parotic face angle, the indexing procedure can be imported in 3D ear recognition. Table 4 shows the indexing performances for ear-parotic face angle. β is the angle search range given in Fig. 8, and is empirically chosen as the maximum difference 1.72° (refer to Section 4.1) divided into 10 equal intervals (1/10, 2/10, . . . , 10/10). The middle row k/N expresses fraction of the database, and the hit rate expresses the correctly indexed rate. The results show that the identification can achieve its best performance when the fraction of the database reaches 9.69%. This means our ear-parotic face angle indexing approach took less time in the identification stage to locate a match. Therefore, we can safely assume that the angle feature has a good indexing performance for 3D ear recognition. To assess the verification improvement by using the proposed earparotic face angle feature, we conducted comparison experiments utilizing the ICP matching and the Angle + ICP matching, and compared results in terms of equal error rate (ERR) and receiver operating characteristic (ROC) curve. Also the result of using only the angle feature is included for reference. The ROC curves generated by using Angle, ICP and Angle + ICP were plotted in Fig. 10. The black dash curve is the verification result using only the angle feature with an EER of 7.8%, the red curve represents the verification statistical result by using ICP matching with an EER of 2.8%, while the blue dashed curve is the result of combining the angle feature and ICP matching that achieving an EER of 2.3%. As can be seen in Fig. 10 the blue dashed curve is 14 Y. Liu et al. / Pattern Recognition Letters 53 (2015) 9–15 Table 3 Ear-parotic face angle distribution. Angle (°) 0–9 10–19 20–29 30–39 40–49 50–59 60–69 70–79 80–89 90 Number 0 44 112 152 108 51 19 6 8 0 0.860° 5.44% 81.2% 1.032° 6.22% 86.4% 1.204° 7.06% 90.0% 1.376° 7.88% 92.4% 1.548° 8.77% 93.6% 1.720° 9.69% 100% 5° 24.91 0.13 10° 24.46 0.32 15° 24.47 0.31 20° 24.19 0.59 Table 4 Angle-indexing performance with different β a values. βa k/N Hit rate 0.172° 1.22% 23.6% 0.344° 2.41% 41.2% 0.516° 3.45% 61.2% 0.688° 4.52% 73.6% Table 5 Ear-parotic face angles of the same ear at different viewpoints. Viewpoints Angle (°) Absolute difference (°) −20° 25.61 0.83 −15° 25.58 0.80 −10° 24.87 0.09 −5° 25.60 0.82 0° 24.78 0.00 Table 6 Ear-parotic face angles under different facial expressions. Facial expression Normal Anger Disgust Fear Happiness Sadness Surprise Variance Ear-parotic face angle (°) 36.65 36.80 36.34 36.51 35.97 36.48 35.60 0.17 (±20°) while their absolute difference is quite minimal (<0.9°). Also, we captured the same ear under different facial expressions, such as anger, disgust, fear, happiness, sadness, and surprise. Table 6 shows that the ear-parotic face angle changes barely with facial expression. Admittedly, the statistics of the robustness testing are not enough to conclude that most of the ear angles are not sensitive to view point changes and to facial expressions. So the future extension of this work will collect more special samples with respect to the viewpoint changing, facial expressions, and partial occlusions. Furthermore a robust and universal angle feature extraction method which can be commonly used based on existing published databases will be researched. Finally, we will achieve an efficient recognition system by using more detailed features in 3D ear and fuse global and local features together. 6. Conclusions above all the other curves. This means for the same false acceptance rate the Angle + ICP matching will have a higher genuine acceptance rate compared to the others. In this paper, we presented a unique global feature of the 3D ear: the ear-parotic face angle. This feature is calculated as the angle between the ear plane and the parotic face plane in 3D ear images. It is a novel and independent feature compared to the existing features in 3D ear recognition. Experimental results illustrated its characteristics: universal, stable, distinguishable (coarsely) and permanence over a period of time. Although it is a single feature that cannot distinguish the individuals directly, the ear-parotic face angle feature can provide indexing identification and hierarchical verification solutions which enhance both the speed and accuracy in 3D ear recognition. The experimental results show that the search range was reduced to 9.69% from the original, and the EER has been reduced from 2.8% to 2.3%. Another advantage is that the ear-parotic face angle feature is not an internal feature of the 3D ear, it is an independent external feature containing the spatial orientation information of the ear relative to the face. Therefore, the ear-parotic face angle feature can be used in conjunction with other existing features in 3D ear recognition without any limitations. 5. Discussion and future work Acknowledgments To test the robustness of the angle calculation, we captured the same person’s ear at different viewpoints as shown in Fig. 11, and subsequently calculated their ear-parotic face angles. The results listed in Table 5 show that the angles change little to viewpoint changes The authors would like to thank the editor and the anonymous reviewers for their help in improving the paper. The work is partially supported by the GRF fund from the HKSAR Government, the central fund from Hong Kong Polytechnic University, the NSFC fund Fig. 10. 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