B GIO DC V O TO

I HC NNG

TRNG CNG LI

NHN DNG KHUN MT S DNG

PHNG PHP BIN I EIGENFACES
V MNG NRON

Chuyn ngnh: Khoa hc my tnh

M s:

60.48.01

TM TT LUN VN THC S K THUT

Nng - Nm 2013

Cng trnh c hon thnh ti

I HC NNG

Ngi hng dn khoa hc: TS. HUNH HU HNG

Phn bin 1: PGS.TS. L VN SN

Phn bin 2: TS. NGUYN MU HN

Lun vn c bo v trc Hi ng chm Lun vn tt nghip

thc s K thut hp ti i hc Nng vo ngy 19 thng 5
nm 2013.

C th tm hiu lun vn ti:

- Trung tm Thng tin - Hc liu, i Hc Nng

M U
1. L do chn ti
Vi s pht trin nhanh chng ca cc loi my mc hin i
nh my nh s, my quay phim k thut s, my vi tnh, th
lng thng tin con ngi thu c di dng hnh nh l kh ln.
X l nh l mt trong nhng lnh vc ngy cng c ph bin
trong i sng x hi. Khng ch dng li vic x l nhng vt
nhe, ti ch v phc hi cc nh c, ngy nay cc k phng php
x l nh mang li nhng tin b vt bc nh nhn dng vn tay,
nhn dng khun mt, nhn dng i tng khi n kt hp vi lnh
vc tr tu nhn to.
Bn cnh , vn an ninh bo mt ang c yu cu khc
khe ti mi quc gia trn th gii. Cc h thng xc nh, nhn dng
con ngi c ra i vi tin cy cao. Mt trong nhng bi ton
nhn dng con ngi c quan tm nht hin nay l nhn dng
qua khun mt.
C hai phng php nhn dng ph bin hin nay l nhn
dng da trn c trng ca cc phn t trn khun mt nh bin i
Sng Wavelet (Gabor Wavelet) v Mng Nron (Neural Network),
Support Vector Machine (SVN), v nhn dng da trn xt tng
th ton khun mt nh phng php Phn tch thnh phn chnh
(Principal Component Analysis PCA) phng php Phn tch s
khc bit tuyn tnh (Linear Discriminant Analysis LDA), phng
php Phn tch c im vng (Local Feature Analysis LFA).
Nhn dng khun mt dng Eigenfaces v mng Nron mang li
hiu qu nhn dng cao bi n hot ng n nh v c tnh thch

2
nghi cao khi d liu u vo thay i nhiu. l l do ti chn
ti: Nhn dng khun mt s ng phng php bin i Eigenfaces
v Mng Nron.
2. Mc tiu v nhim v
Mc tiu nghin cu:
- Nghin cu phng php trch rt c trng Eigenfaces.
- Nghin cu phng php nhn dng bng mng Nron.
- p dng thnh cng 2 phng php trn vo vic nhn
dng khun mt.
Nhim v chnh ca ti:
- Nghin cu tng quan v nhn dng khun mt.
- Nghin cu cc phng php nhn dng bng mng Nron,
Eigenfaces
- p dng nhng phng php trn vo thc t trong vic
nhn dng khun mt.
3. i tng v phm vi nghin cu
i tng nghin cu bao gm:
- L thuyt v nhn dng khun mt.
- Cc vn lin quan n cc phng php nhn dng
khun mt.
- Phng php nhn dng khun mt bng mng Nron v
Eigenfaces.

3
Phm vi nghin cu:
- D liu c x l l file nh tnh vi nh c chp vi
gc nghin khng ng k (khng qu 10).
- nh c chp trong iu kin nh sng bnh thng
(khng chp ngc sng, chp bng my k thut s).
4. Phng php nghin cu
Phng php ti liu:
- Tm hiu cch lp trnh vi Matlab.
- Tm hiu tng quan v bi ton nhn dng khun mt.
- Tm hiu cc phng php nhn dng khun mt.
- Tm hiu phng phng php trch rt c trng
Eigenfaces..
- Tm hiu phng php nhn dng bng mng Nron.
Phng php thc nghim:
- Tin hnh phn tch v ci t: thut ton pht hin khung
mt PCA, mng Nron, kt hp Eigenfaces v mng Nron.
- So snh v nh gi kt qu t c.
5. ngha khoa hc v thc tin ca ti
ngha khoa hc:
- Nghin cu vic nhn dng khun mt.
- Nghin cu v phng php nhn dng khun mt
Eigenfaces v mng Nron trong vic nhn dng khun mt.

4
- ng dng thnh cng cc phng php x l nh vo thc
t.
- To tin cho nhng nghin cu tip theo trong tng lai.
ngha thc tin:
- Cung cp cc thut ton h tr cho cc thit b pht hin v
nhn dng khun mt ngi.
- Gip gim gi thnh cho cng tc bo v v bo mt.
- To tin cho vic xy dng c s d liu nhn dng
khch hng mt cch t ng thng qua khun mt.
6. B cc ca lun vn
Ni dung ca lun vn c chia thnh cc phn nh sau:
M u
Chng 1: Tng quan v x l nh: Chng ny gii thiu
tng quan v cc k thut s l nh s, cc khng gian mu RGB,
HSV, CIE,
Chng 2: Cc phng php nhn dng khun mt: Chng
ny trnh by cc phng php nhn dng khun mt ph bin hin
nay nh Eigenfaces, mng Nron, SVM, M hnh Markov n,
Chng 3: Nhn dng khun mt s dng Eigenfaces v
mng Nron: Chng ny trnh by h thng v phng php nhn
dng khun mt c thc hin trong ti.
Kt lun v hng pht trin
Ph lc

CHNG 1: TNG QUAN V X L NH S

1.1. GII THIU CHUNG V X L NH S V NG
DNG
X l nh c ng dng rt rng v cn nhiu kin thc c
s khc nhau. u tin phi k n lnh vc x l tn hiu s, y l
kin thc nn tng cho x l tn hiu chung, cc khi nim v tch
chp, cc bin i Fourier, bin i Laplace, cc b lc hu
hn,...Th hai l cc cng c ton hc i s tuyn tnh nh xc sut
v thng k. Ngoi ra, cc kin thc cn thit khc nh Tr tu nhn
to, Mng Nron nhn to, l thuyt m,... cng thng c p
dng trong qu trnh phn tch nh v nhn dng nh.
1.2. TNG QUAN V CC K THUT X L NH S

Phn on nh

Biu din v m t

Tin x l nh

C s tri thc

Min
vn

Nhn dng
v ni suy
nh

Thu nhn nh

Hnh 1.1: Cc bc chnh trong x l nh s

Kt
lun

1.3. X L MC THP
1.3.1. Thu nhn nh
1.3.2. Tin x l nh
1.4. X L MC TRUNG
1.4.1. Phn on nh
1.4.2. Biu din nh
1.5. X L MC CAO
1.6. C S TRI THC
1.7. CC KHNG GIAN MU V NH MU
1.7.1. nh mu trong x l nh s
1.7.2. Khng gian mu RGB
1.7.3. Khng gian mu HSV
1.7.4. Khng gian mu CIE
1.8. X L HNH THI HC TRN NH NH PHN
1.8.1. Khi nhim c bn
1.8.2. Php co v gin nh nh phn
1.8.3. Php ng v m nh nh phn

CHNG 2: CC PHNG PHP NHN DNG

KHUN MT
2.1. EIGENFACES
Eigenface l phng php p dng trc tip php phn tch cc
thnh phn PCA, n c p dng rt nhiu vo biu din, pht
hin v nhn dng mt. u im ca phng php ny l biu din
c ton b nh v c nn rt tt (loi b nhiu v d tha).
2.1.1. Cc gian on ca eigenfaces
a. Giai on khi to
b. Giai on nhn dng
2.1.2. Tnh ton Eigenface
2.1.3. S dng Eigenface phn lp
2.1.4. Kt lun nhn dng bng Eigenface
2.2. MNG NRON
Mng nron nhn to, Artificial Neural Network (ANN) gi
tt l mng nron, l mt m hnh x l thng tin phng theo cch
thc x l thng tin ca cc h nron sinh hc. N c to ln t
mt s lng ln cc phn t (gi l phn t x l hay nron) kt ni
vi nhau thng qua cc lin kt (gi l trng s lin kt) lm vic
nh mt th thng nht gii quyt mt vn c th no .
Mt mng nron nhn to c cu hnh cho mt ng dng c
th (nhn dng mu, phn loi d liu,...) thng qua mt qu trnh

8
hc t tp cc mu hun luyn. V bn cht hc chnh l qu trnh
hiu chnh trng s lin kt gia cc nron
2.2.1. Gii thiu v mng Nron nhn to
2.2.2. M hnh mng Nron
a. Cc kiu m hnh mng Nron
T kt hp
Kt hp khc kiu
Kin trc truyn thng
b. Perceptron
c. Mng hc
Hc c gim st
Hc tng cng
Hc khng gim st
d. Hm mc tiu
e. Hm sigmoid
f. Mng nhiu tng truyn thng
2.3. M HNH MARKOV N
Andrei A Markov (1895-1922) a ra mt m hnh dng
m hnh ho chui cc s kin m xc sut ca s kin thi im
hin ti c lin quan n s xut hin ca s kin thi im trc
. M hnh c gi l chui Markov

9
2.3.1. Gii thiu m hnh Markov n (HMM)
a. M hnh Markov
b. M hnh Markov n
2.3.2. Nhn dng khun mt bng m hnh Markov n
2.3.3. u im v hn ch
2.4. SUPPORT VECTOR MACHINE (SVM)
SVM l phng php nhn dng do Vladimir N. Vapnik
xut nm 1995. SVM l phng php nhn dng da trn l thuyt
hc thng k ngy cng c s dng ph bin trong nhiu lnh vc,
c bit l lnh vc phn loi mu v nhn dng mu. ng thi c
nhiu tnh nng u vit so vi cc phng php c in khc: d
dng x l, x l vi tnh n nh cao trn d liu phc tp, c th c
s chiu ln v quan trng hn c l kh nng x l tng qut.
2.4.1. S lt l thuyt SVM
a. SVM tuyn tnh
b. SVM phi tuyn tnh
2.4.2. Nhn dng mt ngi vi SVM
2.4.3. u im v hn ch

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CHNG 3: NHN DNG KHUN MT BNG

EIGENFACE
3.1. H THNG NHN DNG KHUN MT
nh tnh

Tin x l

Trch rt c trng

Nhn dng khun mt

Hnh 3.1: H thng nhn dng khun mt c n

3.1.1. Tin x l
Qu trnh tin x l i vi khun mt nhm nng cao cht
lng nh, chun ha d liu, kch thc nh. Cc nh trong nghin
cu ny l c cht lng tng i tt nn ta khng cn dng cc
thut ton nng cao cht lng nh m ta ch cn chun ha nh
(Normalize Image). Vic chun ha ny khin lch gia 2 im
nh c gim xung lm qu trnh rt c trng thm chnh xc.
3.1.2. Trch rt c trng
Trch rt c trng l k thut s dng cc thut ton ly ra
nhng thng tin mang nhng c im ring bit ca mt ngi.
Cc khu trong qu trnh trch chn c trng:

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- u vo: nh c chun ha.
- u ra: vector c trng ca nh u vo.
Qu trnh trch rt c trng c th hin qua lu sau:
Tp nh hc

Chun ha ma trn nh

Trunh bnh cc nh
Khi trch
chn c trng
Ma trn nh so vi nh
trung bnh

Tnh cc Eigenfaces

Eigenfaces
nh u

Chiu ln khng
gian Eigenfaces

Vector c trng

Hnh 3.2: S khi trch chn c trng s dng Eigenfaces

a. Tnh ton Eigenfaces
M hnh c xy dng v kim nghim trn b d liu ca
Faces94. B d liu la chn c 4 ngi, mi ngi 20 nh. Cc nh
hc c xp vo cng mt th mc v c nh s th t. nh c
kch thc 180x200 pixel, nn xanh.

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Hnh 3.3: D liu nh u vo

- Chun ha ma trn nh
Chun ha vector l khu u tin cn thc hin khi s dng
thut ton PCA. S phn b ca mt vector trong khng gian c
th hin qua trung bnh (mean) v chun (standard) ca vector .
Cho vector

, trung bnh v chun vector X

c tnh nh sau:
(3.1)

(3.2)

Theo t mt nh
ca

ban du, ta c trung bnh

v chun

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Php chun ha ma trn nh c thc hin theo cng thc
sau:
(3.3)

Kt qu qu trnh chun ha c th hin nh sau:

nh u vo

nh sau chun ha

Hnh 3.4: Chun ha nh

- Tnh trung bnh tp nh u vo
Bc ny cho ta xc nh c gc ta ca khng gian
vector biu din cc nh. nh trung bnh c tnh bng trung bnh
cng ca tt c cc nh. nh trung bnh ny th hin nhng im
ging nhau nht gia tt c cc khun mt.
Gi s nh hc l

, mi nh c kch thc

.
(3.4)

Trung bnh

nh trn c tnh theo cng thc:

14

Kt qu thc hin trn b d liu:

Hnh 3.5 Trung bnh nh ca tp d liu hc

- Eigenface:
Theo l thuyt, eigenface chnh l cc vector ring u ng vi
cc gi tr ring

c gi tr ln nht ca ma trn covariance:

(3.11)

tnh nhanh cc eigenface ny, ngi ta chuyn sang tnh

ton vi ma trn

. Ma trn C c kch thc N2xN2, vn

tm vector ring

ca ma trn C kh thc hin v kch thc qu

ln. tm vector ring

Gi s

ca C ta thc hin nh sau:

l vector ring ca ma trn

, tc l:

15
Nhn 2 v vi ma trn

vy

ta c

l vector ring ca C. By gi ta cn tim vector ring

ca ma trn

c kch thc

, ma trn

l vector ring tm c ca

. Lc , vector ring

. Gi s
ca ma

trn C cn tm l:

Theo cng thc (3.12), 80 gi tr ring cn tm c th hin

trn 80 eigenface tng ng vi 80 gi tr ring c th hin trn
hnh 3.6:

Hnh 3.6: Eigenface tm c

b. Qu trnh trch rt c trng
3.1.3. Nhn dng khun mt

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3.2. NHN DNG KHUN MT BNG MNG NRON
3.2.1. Cu hnh mng
Ta khi to mng Nron ban u vi cc thng s nh sau:
u vo mng l cc vector c trng c trch rt bng phng
php Eigenfaces, 80 nron u vo, 25 nron lp n, 4 nron lp
u ra, s dng hm truyn log-sig cc nron ca c hai lp mng,
chn tc hc lr = 0.01, dng phng php dc gradient tnh
li, chn gi tr li mse = 1e-10. Ngoi ra cc trng s v h s phn
cc c khi to ngu nghin trc khi hun luyn mng.
3.2.2. Qu trnh hun luyn mng
Mng Nron chng ta hun luyn l mng Nron truyn
thng, s dng thut ton loan truyn ngc.
3.3. KT QU V PHN TCH
3.3.1. C s d liu
C s d liu cho ti ton c ly t tp nh Faces94. Tp d
liu gm c 3060 nh ca 153 ngi, mi ngi c 20 nh khc
nhau. Cc nh c chp t mt khon cch c nh, v cc i
tng c chp mu lun ni chuyn trong sut qu trnh chp.
nh trong b d liu c kch thc 180x200, nn xanh. D liu ta
chn hun luyn v kim tra nh sau:
- Chn ra 4 tp d liu gm: Tp 1 (80 nh), Tp 2 (160
nh), Tp 3 (320 nh), Tp 4 (400 nh).
- Trong mi tp, mt ngi chn 20 nh khc nhau. 16 nh
a vo hun luyn v 4 nh a vo tp kim tra.

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3.3.2. Giao din chng trnh

Hnh 3.8: Giao din chng trnh

Chng trnh gm 3 phn chnh
- Phn Data: Ty chnh th mc cha d liu Train v th
mc cha d liu Test
- Phn Neural Network: Hun luyn mng Nron.
- Phn Face Recognition: Nhn dng mt s dng mng
Nron va hun luyn.
a.To tp d liu mu
Ta chn ng dn n th mc da d liu (nh) hc v
th mc cha d liu kim tra. Nhn Make Sample Data to d
liu mu

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Hnh 3.9: Chn ng dn n tp d liu mu

Lc ny, chng trnh s chun ha nh u vo, tnh ton
eigenface, trch rt c trng v lu cc vector c trng vo file
z_vectors.txt. Cc vector c trng ny s c a vo mng Nron
hun luyn
b. Hun luyn mng Nron.
Chn s nron lp n ri nhn vo Training Network bt
u hun luyn mng Nron.

Hnh 3.10: Chn s nron lp n

Mng Nron chng ta hun luyn gm 80 vector u vo, 25
nron lp n, 4 lp u ra.

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Hnh 3.11: Thng tin mng Nron va c hun luyn

Mng ny c kt qu u ra thc t ng vi u ra chng ta
mong mun, hiu sut t 100%.

20

Hnh 3.12: Kt qu hun luyn mng ca Tp 80 nh / 4 ngi

b. Nhn dng khun mt

Hnh 3.13: Chn nh nhn dng

Chng trnh s x l v tr v kt qu c nhn dng c
ngi ny hay khng nhn dng c.

21

Hnh 3.14: Nhn dng c nh u vo

Hnh 3.15: Khng nhn dng c nh u vo

3.3.3. Kt qu thc nghim
Bng 3.1: Hiu sut nhn dng khi thay i s nron lp n
S Nron
5
10
15
20
25
30
35
lp n
Hiu sut
98.39 99.37 99.81 99.83 99.90 99.82 99.81
(%)

22
S liu ca Bng 3.1 c ly t thc nghim trn Tp 2 (160
nh) ca b d liu, ta thy s nron trong lp n bng 25 th s cho
hiu sut nhn dng cao nht. Khi d liu u vo khng i, s
nron trong lp n qu nhiu cng gy ta kh khn cho vic hc ca
mng (cu trc phc tp, d liu t,...) lm cho t l nhn dng thp.
Ta chn s nron lp n theo phng php thc nghim, v mi bi
ton khc nhau s c s nron lp n khc nhau cho hiu sut nhn
dng cao nht. Theo kt qu trn ta s chn s nron lp n l 25 cho
cc ln hc ca mng Nron.
Mi ln hun luyn mng Nron cc trng s c khi to
ngu nhin, nn s cho cc kt qu khc nhau mi ln hun luyn.
Vi mi tp d liu, ta cho hun luyn nhiu ln ri ly kt qu trung
bnh v kt qu hun luyn cao nht a vo Bng 3.2
Bng 3.2: Hiu sut nhn dng ca mng Nron
Tp d liu kim
Hiu sut (%)
tra
Trung bnh
Ln nht
Tp 1
99.99
100
Tp 2
99.94
100
Tp 3
99.21
100
Tp 4
98.89
100
Bng 3.3: Hiu sut nhn dng bng cc phng php khc nhau
Phng php
Hiu sut nhn dng (%)
Waveletface+k NN
Curveletface+k NN
Discriminant Waveletface+k NN
Discriminant Waveletface MLP
Discriminant Waveletface NFP
Eigenface NN

94.5
95.5
95.5
93.9
96.9
98.9

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Kt qu trn c thc hin t b d liu Faces94, Mi ngi
chn 20 nh, 12 nh hun luyn v 8 nh kim tra.
T bng trn ta thy c hiu sut nhn dng ca Eigeinface
kt hp vi mng Nron cao hn hn cc phng php sng Wavelet
kt hp vi mng Nron.

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KT LUN
ti xy dng h thng nhn dng khun mt dng
phng php Eigenfaces kt hp vi mng Nron, phng php ny
c hiu sut nhn dng cao v n nh hn hn cc phng php
sng Wavelet. Mt u im na c th thy qua cc kt qu l d
lng thng tin vo mng nhng kt qu nhn dng vn cao hn.
thu c kt qu nhn dng vi chnh xc cao hn cn ti u hn
na cu trc v cc thng s mng, iu ny i hi thi gian th
nghim v hun luyn mng lu hn.
Mng Nron l mng c tnh linh hot nn ta c th p dng
n khng ch cho nhn dng khun mt, m cn ng dng cho nhn
dng vn tay, iu b. y chnh l mt u th ca mng Nron m
nhng thut ton khc kh c c.
Tuy nhin kt qu nhn dng ta thu c nm trong nhng
iu kin c th. Vic ng dng h thng vo thc t s gp nhng
vn thch thc hin nay nh cc thng s ca mi trng, cht
lng nh thu c... y l mt hng pht trin ca ti a
h thng vo cc ng dng thc t nh qun l nhn vin, qun l an
ninh, kim sot ra vo.