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Contents lists available at ScienceDirect

Pattern Recognition

journal homepage: www.elsevier.com/locate/pr

**Extraction of illumination invariant facial features from a single image using nonsubsampled contourlet transform
**

Xiaohua Xie a,c, Jianhuang Lai b,c,n, Wei-Shi Zheng d

a

School of Mathematics & Computational Science, Sun Yat-sen University, China School of Information Science and Technology, Sun Yat-sen University, China c Guangdong Province Key Laboratory of Information Security, China d Department of Computer Science, Queen Mary University of London, UK

b

a r t i c l e in fo

Article history: Received 6 August 2009 Received in revised form 25 April 2010 Accepted 20 June 2010 Keywords: Face recognition Illumination normalization Nonsubsampled contourlet transform Multiplicative noise

abstract

Face recognition under varying lighting conditions is challenging, especially for single image based recognition system. Exacting illumination invariant features is an effective approach to solve this problem. However, existing methods are hard to extract both multi-scale and multi-directivity geometrical structures at the same time, which is important for capturing the intrinsic features of a face image. In this paper, we propose to utilize the logarithmic nonsubsampled contourlet transform (LNSCT) to estimate the reﬂectance component from a single face image and refer it as the illumination invariant feature for face recognition, where NSCT is a fully shift-invariant, multi-scale, and multidirection transform. LNSCT can extract strong edges, weak edges, and noise from a face image using NSCT in the logarithm domain. We analyze that in the logarithm domain the low-pass subband of a face image and the low frequency part of strong edges can be regarded as the illumination effects, while the weak edges and the high frequency part of strong edges can be considered as the reﬂectance component. Moreover, even though a face image is polluted by noise (in particular the multiplicative noise), the reﬂectance component can still be well estimated and meanwhile the noise is removed. The LNSCT can be applied ﬂexibly as neither assumption on lighting condition nor information about 3D shape is required. Experimental results show the promising performance of LNSCT for face recognition on Extended Yale B and CMU-PIE databases. & 2010 Elsevier Ltd. All rights reserved.

1. Introduction Face recognition technologies have been widely applied in the areas of intelligent surveillance, identity authentication, human– computer interaction, and digital amusement. However, one of the main limitations in deploying face recognition systems for practical use is their relatively low performance due to illumination variations. The face recognition vendor test (FRVT) 2002 [1] and the FRVT 2006 [2] have both revealed that large variation in illumination would seriously affect face recognition algorithms. Many well-known face descriptors such as local binary patterns (LBP) [4] and Gabor wavelet [3] have been proved to be effective for face recognition under good illumination condition, but their performances would degrade for large variations in illumination. So face illumination normalization is

a central task in face recognition, and many algorithms have been developed to tackle this issue. 1.1. Related work and analysis The approaches of solving illumination problem in face recognition can be generally summarized into three categories1 [32]: preprocessing and normalization technique [35–37], face modeling [33,38–40], and invariant feature extraction [4,5,20,21,41]. Methods of preprocessing and normalization process face image using image processing techniques, such as histogram equalization (HE), to normalize face image such that it appears to be stable under different lighting conditions. These approaches are always easy to implement, but it is still hard to obtain notable improvement for recognition. The model-based approach attempts to construct a generative 3-D face model that can be used to render face images of different poses and under

1 We would like to point out that by using special hardware, one can obtain (near) infrared images invariant to visible light. Discussing this approach is beyond the scope of this paper.

n Correspondence author at: School of Information Science and Technology, Sun Yat-sen University, China. Tel./fax: + 86 20 84110175. E-mail addresses: sysuxiexh@gmail.com (X. Xie), stsljh@mail.sysu.edu.cn (J. Lai), wszheng@ieee.org (W.-S. Zheng).

0031-3203/$ - see front matter & 2010 Elsevier Ltd. All rights reserved. doi:10.1016/j.patcog.2010.06.019

In order to tackle this problem. and properly factorizing R and L from I is then a key research problem. however. has weak directionality and is hard to effectually capture the geometrical structures of a face image due to its isotropy. In order to address this problem. Using multiple images of the same object. a face recognition method based on the combination of the phase congruency and the Gabor wavelets has been proposed [45]. This method has several advantages compared to existing methods.e. To reduce the halo artifacts.15].y)L(x. and mean shift ﬁltering [18]. However. Xie et al. the reﬂectance component is always extracted from a face image for recognition. and R is obtained by R¼I/L or directly by high-pass ﬁltering. with the similar kernels of Garbor wavelet.17].y)¼R(x. as a face image is nonlinearly represented by the reﬂectance and illumination components according to the Lambertian (reﬂectance) model. . Therefore. since 2-D natural image is not the simple stack of 1-D piecewise smooth scan-lines. NSCT can efﬁciently capture the geometrical structures such as contours in a natural image and can accurately approximate the low frequency illumination ﬁelds. Chen et al. This limits their abilities in capturing multi-scale structures of an image. Based on this assumption. With a rich set of basis images oriented at varying directions in multiple scales. Accordingly. Weiss proposed a maximumlikelihood estimation method to obtain reﬂectance component [7]. 2-D separable wavelet. 2-D wavelet will not achieve the second point. Based on the Lambertian theory. Compared with the other two approaches. We will analysis that in the logarithm domain the low-pass subband of face image and the low frequency part of strong edges can be regarded as the illumination effect. Accordingly a better approximation of image can be obtained by contourlet transform as compared to wavelet transform [24]. weak edges. (2) Exploring the smoothness along the contours. respectively. multi-scale. is therefore introduced and formulated for extracting more effective illumination invariant facial features. Contributions In a natural image. where R and L are the reﬂectance component and illumination component. To solve the problem. the contourlet transform [26] represents image using the bases with different elongated shapes and in a variety of directions following the contour. Recently. This may be due to the multi-scale capability of wavelet transform and therefore better edge-preserving ability is obtained in the low frequency illumination ﬁelds. bilateral ﬁltering [16. logarithmic total variation (LTV) [20]. the nonsubsampled contourlet transform (NSCT) [27] allows redundancy and can represent image more completely. We note that curvelet and contourlet have been used for face image recognition in [28–30]. It is interesting to note that facial structures and noises (in particular multiplicative noises) can be distinguished by LNSCT. Unlike wavelet. These methods decompose face image into different frequency subbands and then directly use the coefﬁcients of subbands as the facial features for recognition. Preliminary: NSCT Contourlet transform [26] is a new extension of wavelet transform in the two-dimension case using non-separable and directional ﬁlter banks. In fact. contourlet transform can effectively capture the smooth contours merely using a small number of basis. which is a fully shift-invariant. for a single image. Reﬂectance component represents the intrinsic structures of the subject and can be regarded as a kind of illumination-invariance features. a common assumption is that L changes more slowly than R. the logarithmic nonsubsampled contourlet transform (LNSCT). [12] proposed to combine several low-pass copies as the estimation of L. these methods may not extract the effectual discriminative features as the decomposed coefﬁcients contain much redundant information. 2. Discontinuity preserving ﬁltering is also used to estimate L. we ﬁrst brieﬂy introduce NSCT (Section 2) before detailing LNSCT (Section 3). As shown in [21]. self quotient image (SQI) [41]. 1. Phase congruency [23] is also a kind of image feature insensitive to the variations in illumination and contrast. However. The above ﬁlters lack the capabilities of multi-scale analysis. discontinuity points are typically located along contours owing to smooth boundaries of physical objects [24]. estimating R from I is an ill-posed problem [8]. and noises can be distinguished by NSCT. Direct linear decomposition in the image domain. such as anisotropic diffusion [13. the intensity of a 2D surface I can be described as I(x. Jobson et al. the proposed methodology can estimate the reﬂectance component effectively even though the input image has been blurred by noise. a number of training samples are required and many assumptions are always made. So an effective representation of image should have the following two abilities: (1) Isolating the discontinuities at edge points.y) ¼R(x. As an advanced development of contourlet transform. We call this method as LWT. Our experimental results (Section 4) then show the signiﬁcant improvement by using LNSCT for single image based face recognition. In these methods. as a simple tensor of 1-D wavelet. In order to end up with a reasonably small-size feature vector.y) [6]. In the rest of paper. is proposed in this paper to estimate the reﬂectance component from a single face for face recognition. Nonsubsampled contourlet transform (NSCT) [27]. More importantly. strong edges. cannot extract the intrinsic illumination invariant features very well. [21] proposed using the wavelet analysis in the logarithmic domain for image decomposition. extracting illumination invariant features is a more effective approach for face recognition under various lighting conditions. these methods would all create halo artifacts under natural lighting condition.14. while weak edges and the high frequency part of strong edges can be considered as the reﬂectance component. various of low-pass ﬁlters such as homomorphic ﬁltering [9] and Laplacian ﬁltering [10] were developed to extract L. After initializing L by low-pass ﬁltering. and multi-direction transform. Chen et al. Because of this. Therefore. / Pattern Recognition 43 (2010) 4177–4189 varying lighting conditions. which is a multiplicative model.y).y)L(x. a multi-scale and multi-directivity transform has to be considered. Zhang et al. Land and McCann [11] proposed Retinex model to estimate R as the ratio of the image I to the low-pass estimator L. they perform linear matrix decomposition in the original image domain rather than logarithmic domain. for face recognition the LWT outperform the LTV model. i. and logarithmic wavelet transform (LWT) [21]. the dual-tree complex wavelet transform (DT-CWT) [22] is used for face representation [43]. particularly the capability of edge preserving and simple parameter selection.4178 X. proposed the intrinsic illumination subspace based method to improve the result of estimation [19]. Using square-shaped bases. Furthermore. I(x.2. DT-CWT is good at capturing directional selective features in six different ﬁxed orientations at dyadic scales and outperforms Gabor due to less redundancy and more efﬁcient computation. [20] proposed the logarithmic total variation (LTV) model to factorize face image. Representative methods include local binary patterns (LBP) [4]. Gabor feature [5]. These behaviors ensure that the contourlet transform has the above two abilities and captures more directional information than wavelet. However.

k}j. Example of NSCT with three-stage pyramid decomposition. Consequently. we will denote the decomposition procedure of NSCT as ðfyj. the number of the directional subbands at a speciﬁc level is a power of two. 1 illustrates an overview of NSCT. Allowing redundancy would make NSCT represent images more ﬂexibly and more completely. Comprehensive comparison in Ref. which allows redundancy. NSCT could highly beneﬁt for image denoising and enhancement.1 ð1Þ where is convolution operator. k lj k ¼ 1. j ¼ 1. The nonsubsampled contourlet transform (NSCT) [27]. The NSDFB is constructed in cascade by combining two-channel fan ﬁlter banks and parallelogram ﬁlters without downsamplers and upsamplers. and therefore the detection of contours is obtained.fJ0 Þ ¼ NSCTðf Þ ð5Þ where 2 is the number of directional subbands at the j-th level. the input signal can be ^ ^ reconstructed by f ¼ f 1 .k gj.k Directional decomposition Multiscale decomposition Fig. i ¼ 0.k ¼ ueq *fj1 . the J reconstruction of NSCT is denoted as ^ f ¼ iNSCTðfyj.X. Then reconstruction of NSCT can be described as follows: k ^0 ^ f j ¼ f jþ1 ^1 fj ¼ ^ fj ¼ veq *yj. J ð4Þ i ¼ 0. We denote the equivalent ﬁlter for the k-th direction as ueq . By combination of NSP and NSDFB. so that directional subbands of different levels are generated. respectively. {yj. NSCT is suitable for preserving geometrical structures in natural scenes and is therefore an excellent technique for image . I is the identity matrix. It should be noted that ﬁltering with the upsampled ﬁlters does not increase computational complexity.k gj..1. Assume g0 and g1 are the corresponding synthesis ﬁlters of h0 and h1. Specially.k}j. Then the highpass subband fj1 is decomposed into several directional subbands by NSDFB and fj0 is for the next-stage decomposition. n A N Â N ð2Þ k A supp ðhi Þ where S¼2j À 1I is the sampling matrix. / Pattern Recognition 43 (2010) 4177–4189 4179 Lowpass subband f30 f3=f20 Highpass subband f31 (for directional decomposition) f2=f10 f1 f21 Bandpass directional subbands y2. 1. NSCT is constructed as a fully shift-invariant.k . then the directional k subbands can be obtained by yj. (2). pseudo-Gibbs phenomena may appear in image ﬁltering [25]. In our paper.fJ0 Þ ð6Þ 3. . multi-scale. [27] has demonstrated that NSCT performs better than wavelet and contourlet transform for image denoising. It is worth to note that shift-invariant is very important. .. The details of design for ﬁlters are referred to [27]. . On the other hand. n ueq .k k k¼1 ^0 ^1 g0 *f j þg1 *f j 2j X l . (4) from the J-th level to the ﬁrst level. NSCT is implemented by nonsubsampled ﬁlter bank structures. . Due to these merits. In this paper.k f11 Bandpass directional subbands y1. Lacking shift-invariance. all ﬁlters of pyramid are upsampled by 2 in both dimensions and this operation has been implied in the Eq. More speciﬁcally. This procedure would repeat on the low-pass subband by setting fj þ 1 ¼ fj0 for the next level decomposition and the ﬁnal low-pass subband is fJ0 . is a new development of contourlet transform. respectively. NSP ﬁrst splits fj into a lowpass subband fj0 and a high-pass subband fj1 using low-pass ﬁlter h0 and high-pass ﬁlterh1: fji ¼ hi *fj . multi-scale. . and multi-direction transform. it is constructed by combining the nonsubsampled pyramid (NSP) structure that ensures the multiscale property and the nonsubsampled directional ﬁlter bank (NSDFB) structure that gives varying directions. In the following paragraphs. Fig. we investigate the effect of NSCT for image decomposition and formulate the LNSCT based illumination invariant facial features extraction. the convolution formula is X fji ½n ¼ hi ½kfj ½nÀkUS.k . the ‘maxﬂat’ ﬁlters and the ‘dmaxﬂat7’ ﬁlters are.k are directional subbands coefﬁcients and y0 is low-pass subband.k and the low-pass subband ^ fJ0 . and supp(hi) is the compactly supported function of hi. Denote fj as the input signal in the j-th level (1r jrJ). 2lj ð3Þ Given directional subbands {yj. . selected for NSP and NSDFB. by setting f J þ 1 ¼ fJ0 and iterating the procedure in Eq. NSCT differs from other multi-scale analysis methods in that the contourlet transform allows for different and ﬂexible number of directions at each scale. Xie et al. For the next level. and veq is the synthesis ﬁlter of k where f is the input signal. The reconstruction of NSCT (invert NSCT) is also based on ﬁltering operation according to the invert procedure of decomposition. directional ﬁlter bank can concatenate the neighboring singular points into (local) contours in the frequency domain. and multi-direction decomposition. Methodology As a fully shift-invariant. According to the direction information.

2. 2 illustrates the decomposition on the original face image by NSCT. / Pattern Recognition 43 (2010) 4177–4189 analysis. Multiplicative noise is a type of signal-dependent noise. the logarithm transform of the luminance (similar to the logarithm of intensity) is a crude approximation to the perceived brightness. (c) strong edges. (8) is multiplicative. v. illumination component and reﬂectance component of face image can be effectually estimated. there are three categories of pixels: strong edges. as an additive model. . weak edges. Fig. In order to address this problem. and inrush current of camera. (b) low-pass subband. Specially. the intensity of a face surface I can be represented as I¼RL ð7Þ NSCT is used to estimate R in our LNSCT model. (8) yields f ¼ logI ¼ log R þ logL þ log N9v þu þ Z ð9Þ where indicates element-by-element multiplication. L. Furthermore. R stands for view independent reﬂectance component. and Z keep the similar characters as R. we cannot apply NSCT directly on the original image to get the illumination invariant components. which may be generated by imaging device and is difﬁcult to remove without impairing image details. By extraction and recombination of these components in the logarithm domain. In the real life. 3. the reﬂectance component can still be well estimated by our LNSCT model. if the image is blurred by multiplicative noise. these components still can be effectually separated. u. Taking logarithm transform on Eq. Fig. We next investigate how The logarithm transform turns the multiplicative model into the additive model. Components analysis of face image using NSCT in the logarithm domain. Fig. When the input image has been polluted by noise. and noise. It is interested to note that in the logarithm domain the illumination effects are just on the low-pass subband and the strong edges. Furthermore. and N. (a) Noise-blurred image. classical image estimation techniques can be applied. However. since the logarithm preserves structures. neither assumption on the number of light sources nor 3D shape information is required. respectively. 3 illustrates the components analysis of face image in the logarithm domain by NSCT. Generally. The strong edges correspond to those pixels with large magnitude coefﬁcients in all subbands. This highly supports the feasibility of using LNSCT for the extraction of illumination invariant facial features. For an image. noise can be distinguished from facial structures. a blurred face image I can be represented as I¼RLN ð8Þ where N is the multiplicative noise. and noise can be distinguished in the NSCT domain. which can be classiﬁed by analyzing the distributions of their coefﬁcients in the NSCT subbands [27]. The noise corresponds to those pixels with small magnitude coefﬁcients in all subbands. Xie et al. It shows that the illumination has effects on both the high-frequency subband and low-frequency subband. and L is the shading of a Lambertian surface which is the ﬁnal light received at a certain location. NSCT decomposes a signal into different frequency subbands in additive form. LNSCT According to the Lambertian reﬂectance function. After that the reﬂectance component is considered as the illumination invariant features for face recognition.1. and (e) noise. reﬂectance component may not be properly estimated by the ﬁltering based technologies. Considering the multiplicative noise. determined only by the surface material. (d) weak edges. we therefore consider the factorization in the logarithm domain. which is a kind of intrinsic feature of object. In the logarithm domain. In the reﬂectance model. for instance vague lens. (b) low frequency part. the process of capturing images of objects and scenes. Its advantages are mainly two-fold: ﬁrst. 3. strong edges. Fig. Face image decomposition using direct NSCT. since noise and reﬂectance component both produce low-magnitude coefﬁcients in the frequency domain. For illumination invariant face recognition. The weak edges correspond to those pixels with large magnitude coefﬁcients in some directional subbands and small magnitude coefﬁcients in the other directional subbands at the same scale. weak edges. second. so logarithm transform can partially reduce the lighting effect.4180 X. and (c) high frequency part. (a) Original face image. usually introduces noises including additive noise and/or multiplicative noise into the images. However the right hand side of Eq. the problem here is how to factorize the reﬂectance component R from a given face surface I.

Fig.01 to 0. eyes. however. k ¼ 1. Fig. Denote the decomposition of f by NSCT as ðfyj. 4 illustrates the decomposition of strong edges. and small-scale objects [20].. in the logarithm domain the low-pass subband of face image and the low frequency part of strong edges can be regarded as the illumination component.fJ0 Þ ð13Þ where iNSCT is the inverse NSCT. On the other hand. In order to estimate the reﬂectance component. . > > < ÀT. where fJ0 ðnÞ is also assigned by fJ0 ðnÞ ¼ 0 for 8n and thrT is deﬁned as ( x. (a) Strong edges. c is a parameter ranging from 0. It shows that unlike the high frequency part. cannot be simply treated as facial structures or illumination effect. Fig. 5. and the details are described below.k gj.k (j¼ 1. The strong edges. the low frequency part of strong edges hardly represents clear facial structures.fJ0 Þ ¼ NSCTðf Þ ð10Þ nAN Â N. So we need to conduct a threshold operation to distinguish the facial structures and illumination effect in strong edges. Decomposition of strong edges. where the low frequency part is treated as illumination effect and the high frequency part is regarded as facial structures. the same spatial location of the original image can be thought to be polluted by noise and the coefﬁcient should be set to zero.g. otherwise where T is the threshold. Since the low-pass subband belongs to the illumination component. and is often of large scale. (a) Noise-blurred image. . otherwise Fig.k ðnÞÞ. Note that using soft thresholding can avoid abrupt artifacts and obtain more pleasant visual results as compared to hard thresholding. s is the noise standard deviation of the subbands at a speciﬁc pyramidal level. since according to our observation they contain mostly facial structures as well as some illumination effect especially shadows.fJ0 Þ Z ð14Þ where fJ0 is the low-pass subband and yj.k .k . they contain weak edges. if MAX ocs Z ð15Þ thrT ðxÞ ¼ 0. (b) low frequency part. . noise. (b) illumination effect. but this would scarcely affect face recognition process. In this case. . that is MAX ¼ maxf9yj.k ðnÞ9g k ð12Þ Specially MAXocs means that the corresponding pixel produces small magnitude coefﬁcients in all subbands of the same scale. while weak edges and the high frequency part of strong edges can be considered as the reﬂectance component.k Þgj. a v high-pass thresholding operation thrT is imposed on yj. the logarithm noise can be extracted by Z ^ Z ¼ iNSCTðfthrT ðyj. y. Accordingly.X. Xie et al. and eyebrow) are mostly composed of lines. Decomposition of face image using LNSCT. so we use the soft high-pass thresholding v operation thrT as follows: 8 if x ZT > T. 2lj ) are bandpass directional subband coefﬁcients at the k-th direction of the j-th scale. edges. (c) reﬂectance component. sometimes few facial large structures may be mistakenly classiﬁed as illumination effect. According to the above analysis. and (d) noise. it should be ﬁltered out by setting fJ0 ðnÞ ¼ 0 for 8n.k to obtain v new directional subband coefﬁcients yuj. which includes decomposition and recombination of image structures. if MAX ocs > > : x. These suggest the scheme of using LNSCT for extraction of facial features. It should be pointed out that by threshold operation. the illumination pattern is composed of direct light illumination and/or shadows cast by bigger objects.k . if x rÀT v ð11Þ thrT ðxÞ ¼ > 0. Finally the logarithm of reﬂectance component v is estimated by reconstructing the signal from the modiﬁed NSCT coefﬁcients: ^ v ¼ iNSCTðfyuj. and MAX is the maximum magnitude of the coefﬁcients for each pixel across directional subbands at the same scale. and (c) high frequency part. / Pattern Recognition 43 (2010) 4177–4189 4181 On one hand. 4. J. mouths. since facial small structures (e. 5 gives an example of the face decomposition.k gj. This gives sufﬁcient reason to regard the low-pass subband belonging to illumination effect.1 subject to cs oT.k ðnÞ ¼ thrT ðyj.

(d) and (e) are the decomposition results using LNSCT. (9) is reduced to f ¼ vþ u And the Eq. 16. Accordingly. (a) are original images.1 and 0. (11) can be simpliﬁed as 8 x ZT > T. Parameter selection In order to implement the proposed method. Decomposition of noise-free face images using different methods.2. Regarding the threshold T. in the noise-free case. it can be directly used for face recognition. the number of directions at each scale for NSCT and the threshold T need to be set. Summarily. In general. Reﬂectance components estimated from noise-blurred images: (a) and (f) are noise-blurred images. and no less than four scales for the image of size 256 Â 256. the reﬂectance component R. the larger the size of an image is.2. and the illumination component L can be respectively obtained by ^ ^ R ¼ expðvÞ. several parameters. < v ÀT. in our approach. v. otherwise ð17Þ Fig. This is because that the decompositions such as total variation (TV) model and Gaussian ﬁltering used in other methods are just for separating the high. Figs. respectively). it needs at least three scales for the image of size 100 Â 100. the Eq. (c) and (e) are the estimated reﬂectance components. Fig. (b) and (g) are the estimated results by SQI. and cannot distinguish the noise and edges. 8 and 9 illustrate some estimated results using different NSCT parameters. Accordingly. 3. the illumination component L can be obtained by ^ ^ L ¼ expðf ÀvÞ ð19Þ . we do not need to distinguish facial structures from noise but to separate high. For NSCT. the richer the scales are required. It is shown that the proposed LNSCT attains more robust results than other methods. Finally. As shown. 7. Different rows correspond to the noises of different standard deviations (s ¼ 0. 7 illustrates the comparison of decomposition on noisefree images using LWT and LNSCT. (c) and (h) are the estimated results by LTV. Since the reﬂectance component is considered as the intrinsic facial features. Furthermore. the proposed algorithm is illustrated in Table 1. the relevant parameters are set empirically. (e) and (j) are the estimated results by proposed LNSCT. Xie et al. the blocking effects appear seriously in the reﬂectance component as well as the illumination component estimated by LWT. In contrast. (d) and (i) are the estimated results by LWT.and lowfrequency components of an image. for a grayscale image I. namely the number of scale. / Pattern Recognition 43 (2010) 4177–4189 Fig. the number of directions in each level should be large than eight. (b) and (d) are the estimated illumination components. it actually ð18Þ Consequently.and low frequency components. due to the lack of multi-directivity. 8. ^ ^ N ¼ expðZÞ. the logarithm of reﬂectance component. 16 directions are selected in three scales from coarse to ﬁne for the image of size 100 Â 100. For example. ^ ^ ^ L ¼ expðf ÀvÀZÞ ð16Þ Fig.4182 X. (b) and (c) are the decomposition results using LWT. 6. Restoring the logarithmic image to the original one may enlarge the possible inaccuracy of estimation [32]. x rÀT thrT ðxÞ ¼ > : x. the proposed LNSCT gets much properly smoother results. the noise N. In our experiments. is directly used as the facial features for face recognition. Specially. 6 displays the reﬂectance components estimated by different algorithms from the blurred images with various noises.

k ðnÞ ¼ thrT ðyj. For the n-th coefﬁcient.k ðnÞÞ 6. . (e) 16. The observed signal variances sf are estimated locally using the j. 8. 8. and 16 directions in three scales from coarser to ﬁner. (e) 16.k.n 1 m2 y X 9yj. the corresponding threshold Tj. (c) 16 and 8 directions in two scales. Fig.n j. [21] ﬁnds that the key facial features (reﬂectance component) in logarithm domain can be treated as ‘‘noise’’ in the denoising model.n ¼ ð20Þ j.k.k. and sf is the j. I’input image (I ¼RLN or I¼ RL) 2.k ðnÞÞ 5. (d) 8. 1. the threshold map Tj. / Pattern Recognition 43 (2010) 4177–4189 4183 indirectly depends on the face image itself. we use Table 1 The LNSCT algorithm. and 16 directions in three scales. Accordingly we can use the methods for denoising to select the shrink T. and 16 directions in three scales.k. Examples of reﬂectance component estimation from 100 Â 100 images using different NSCT parameters.n is calculated by Tj. 16.k. (a) are original images and (b)–(g) are the reﬂectance components estimated by using different numbers of directions in different scales. (d) 8. Examples of reﬂectance component estimation from 256 Â 256 images using different NSCT parameters.fJ0 Þ ¼ NSCTðf Þ v 4. Like [31].k. 16. but the actual noise and reﬂectance component can still be distinguished in our method. The analysis in Ref.n su ﬃ rﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ max ðsf Þ2 Àðsv Þ2 . 2. (b) 8 and 16 directions in two scales.k ðnuÞ A Nðyj. (f) 8.k. Set the low-pass subband fJ0 ðnÞ ¼ 0 for 8n the BayesShrink [31] which is derived in a Bayesian framework and ﬁnds the soft-threshold that minimizes this Bayesian risk.k is selected independently in each subband yj.k gj. (c) 16 and 8 directions in two scales.k. It should be noted that we just use the similarity of noise and reﬂectance component to select model parameter. (a) are original images and (b)–(e) are the estimated results by using different numbers of directions in different scales. 16. Xie et al. 9.k ðnuÞ9 2 D or f ¼ vþu su ¼ j.n observed signal (logarithmic face image) standard deviation of the n-th coefﬁcient at the k-th directional subband of the j-th scale. 8.k.k .n sfj.fJ0 Þ where su j. and 16 directions in four scales from coarser to ﬁner.n ¼ ðsv Þ2 j.k . and 16 directions in four scales.k. ðsv Þ2 is the reﬂectance component variance. and 16 directions in three scales. Suggested by the authors of Ref. Apply NSCT on f: ðfyj. 16. Obtain the illumination invariant features by constructing the signal from the modiﬁed NSCT coefﬁcients for face recognition: ^ v ¼ iNSCTðfyuj. 8.n is the illumination component standard deviation.k.0 j.k.n neighboring coefﬁcients contained in a m Â m square window Fig. [27]. Impose a threshold operation on the NSCT coefﬁcients: yuj. (g) 4. (b) 8 and 16 directions in two scales.k gj.k.n ^ j.X.n j. Take the logarithm: f ¼ logðIÞ ¼ logðRÞ þ logðLÞ þ logðNÞ ¼ v þ u þ Z 3.

one frontal-illuminated image of each subject was registered as the reference image and the rest images were used as the probe ones.) Number of images 1 0–12 7 Â 38¼ 266 2 13–25 12 Â 38 ¼456 3 26–50 12 Â 38¼ 456 4 51–77 14 Â 38 ¼532 5 477 19 Â 38¼ 722 . Face images from 38 individuals in Extended YaleB were captured under 64 different lighting conditions on 9 poses. we consider two kinds of evaluation. the closer the two samples v1 and v2 are.l1 9Þ v1 v2 99v1 992 99v2 992 ð23Þ l ð21Þ Finally the ðsv Þ2 is obtained by j. In our experiments. the number of genuine and imposter scores were 1360(¼20 Â 68) and 91120(¼20 Â 67 Â 68). On the other hand. 10). According to our observation. If there are in total M query images from all subjects. All images from the above face databases were simply aligned and resized to 100 Â 100.01. Accordingly the proposed model in Eq.k. where is the inner product and 99U992 is l2-norm. the 1428 frontal face images from 68 individuals under 21 different illumination conditions with background lighting off were selected to use in the experiments. l is consistently set to be 0. only the 2432 (¼ 64 Â 38) frontal face images from Extended YaleB database were used.n ðsv Þ2 ¼ s2 ðsM Þ2 j. the proposed LNSCT has been evaluated on Extended YaleB [33] and CMU-PIE [34] databases. there were 63(¼64–1) client samples and 2331(¼63 Â 37) impostor samples. / Pattern Recognition 43 (2010) 4177–4189 within each subband and m is generally set to be 5. For sv . the j.0005. [20] that the LTV model Fig. 10. Note that for veriﬁcation. Accordingly. Examples of reﬂectance component estimation with different l under different illumination conditions. the logarithm of reﬂectance component. Subsets Lighting angle (deg. 4.k. The normalized correlation was selected as the similarity metric. (d) Estimated results with l ¼ 0. (e) Estimated results with l ¼0. and M1 images out of these M query images can be correctly recognized.v2 Þ ¼ s¼ medianð9y1. Xie et al.n ð22Þ Different scale threshold l would lead to different scale smoothness (see Fig. Table 2 Subsets of Extended YaleB [33]. is directly used as the facial features. v.003. For CMU. 4.n j. it is j. The variances in different subbands are computed for a few normalized noise images and the average value ðsM Þ2 is obtained. (18) was used for evaluation here.n reﬂectance variance is estimated using the median operator In our method. Face recognition on noise-free images In this section. the selection of l is very important.k. the recognition results on noisefree images will be reported on each subset. the nearest neighbor (NN) classiﬁer was used.n inferred by using Monte Carlo technique [27]. for each subject from Extend YaleB database. respectively.4184 X. In the recognition case. In the veriﬁcation case.1. (b) Estimated results with l ¼ 0.003. In our experiment. we did not consider the partition of Extended YaleB anymore. for each face image I. In the experiment. Hence. So the number of genuine and imposter scores were 2394(¼63 Â 38) and 88578(¼ 2331 Â 38). namely recognition and veriﬁcation. The higher the similarity d(v1. All face images have been divided into ﬁve subsets according to the angle between the light source direction and the camera axis [33] as shown in Table 2.1. where the reﬂectance component variance in our model correspond to the noise variance in the denoising model.k. For Extended YaleB. We will report the ROC curve and equal error rate (EER) for each method to show the veriﬁcation performance. we report the performance of the LNSCT for face recognition on noise-free images. The normalized correlation between two vectors. v1 and v2. l should be selected from 0. then the recognition rate is M1/M. It has been experimentally veriﬁed in Ref. (c) Estimated results with l ¼ 0.05. Experimental results and analysis In our experiments.k. For CMU-PIE.v2) is. was calculated by dðv1 .001 to 0. (a) Original images. respectively.

2193 0. Thus. For contourlet.4645 0.0000 100.0840 92. / Pattern Recognition 43 (2010) 4177–4189 4185 Table 3 Face recognition rates of different methods on noise-free images. dual-tree complex wavelet transform (DT-CWT) [22].9430 72.3158 98.3538 0. Database CMU Method LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT Recognition rate (%) 75.0000 98. Database CMU Method LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT Recognition rate (%) 81. the numbers of scales and directions were set the same as LNSCT.5770 97.7519 81.0175 83. Xie et al.3383 14.0551 0. In the ﬁrst experiment.7331 51.6880 48. three levels daubechies3 wavelet was selected.0000 Set 2 100.7794 99.2706 0.7452 29.7293 76.9557 9. For curvelet.0537 0.8560 86.8277 89. logarithmic total variation (LTV) [20].8760 Set 1 Extended YaleB LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT 81.8120 Set 4 36.0000 100.7939 85.7760 99.5580 88.0441 99.3421 98. The images under frontal illumination condition are used as the reference images.7763 69.9265 Set 1 Extended YaleB LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT 100.4745 0.6140 90.7258 35.2940 Set 2 73.5570 87.6842 99.0000 100. we mainly focus on the comparison between LNSCT and the state-of-the-art algorithms for face recognition under varying lighting conditions.8504 63. including local binary patterns (LBP) [4].0176 0.6482 5.0000 100.3333 Set 4 10.9474 82.1960 Extended YaleB Table 5 Equal error rates (EER) of different methods on noise-free images.7756 84.0658 68.3265 0.8670 32.3684 38.3407 81.9549 87. and logarithmic wavelet transform (LWT) [21].2807 55.7544 71.4820 91.0789 75. For DT-CWT. 11.8338 13.3490 outperform several popular algorithms for face recognition.2940 91.6842 99.X.7018 76.5588 99.1930 76.3609 75.4960 Set 5 31.1360 80.4515 0.9211 52. ROC curves of different methods on noise-free images from (a) Extended YaleB and (b) CMU database. the magnitudes of high-pass wavelet coefﬁcients of four-level decomposition were used as facial features.9098 69. quotient image (QI) [40]. the 4-levels wrapping-based real-valued transform [44] was used.9699 Set 5 6.8722 77.1060 89.1926 0. The reference set (three images per individual) is randomly chosen.6667 76. As contourlet has special requirement on the resolution of image.2297 0.3676 78. self quotient image (SQI) [41].1920 85.5588 99.4100 70.8417 92.0000 91.2560 94.8383 81. and self quotient image (SQI) [41].5789 79.2719 78.5020 99.8496 22.2480 94. Database CMU Method LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT EER 0. such as quotient illumination relighting (QIR) [35].9889 82. We also report the results of similar techniques such as contourlet or curvelet approaches which directly use the high-pass coefﬁcients of decomposition for face recognition. For LWT.1324 89.7440 84.3824 77. .1809 0.9860 Set 3 64.0000 100.1870 94. for each subject only one image under normal (frontal) illumination condition was registered as the reference Table 4 Face recognition rates of different methods on noise-free images.2471 0.5920 98.7807 100.9699 49.0100 99.0294 0.5088 82. we have to resize the face images into 128 Â 128 for implementation.0000 Set 3 62.6842 100.1541 100 90 80 Verification rate (%) 70 60 50 40 30 20 10 10-3 LBP DT-CWT Curvelet Contourlet 100 90 80 Verification rate (%) 70 60 50 40 30 20 LBP DT-CWT Curvelet Contourlet SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 10 10-3 SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 Fig.4430 63.4100 93.9700 90.

(b) s ¼ 0. respectively. and (d) s ¼0.8179 43. For CMU.4706 99. and signiﬁcant improvements are obtained in some challenging cases.9181 67.1176 99.2105 Extended YaleB image. whereas LNSCT can attain robust recognition results.05 CMU LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT LBP Curvelet Contourlet DT-CWT SQI LTV LWT LNSCT 7.5441 76.4118 97. ROC curves of different methods on blurred images with different level noises on CMU database.6257 67.8822 84.6316 44.6316 43.1270 s ¼ 0.6316 43.4706 99.0844 84.5441 76.15. 456.7059 97.8529 99.0267 55.0426 84.4706 99.8529 2. LWT was claimed to perform better than LTV in Ref.6912 86. For Set 1–5 of Extended YaleB.2.7761 55.7647 87.3529 77.2941 s ¼ 0. It is shown that our proposed method gets the highest recognition rates on all of the selected face databases. on the Set 3–5 of Extended YaleB.0852 s ¼0.0267 44.4186 X.3824 1.2059 1.7206 77.8822 83. there were 228(¼266–1 Â 38). 456.5335 99.8529 2.0434 82.0588 89.4265 99. 532. The face recognition rates on different face databases (subsets) are tabulated in Table 3.1 2. and 722 query images.556 2. and the rest images were treated as the query ones.0125 2. e.0936 2. Since the variations of lighting in CMU and the Set 1–2 of Extended YaleB are relatively small. so that LNSCT can still effectually extract facial features from the face images with large variations in illumination. The images under frontal illumination condition are used as the reference images.8179 54.1324 88. our experimental results show that LWT does not always get higher recognition rates than LTV model especially on CMU database and Set 5 of Extended YaleB database. It may be 100 90 80 Verification rate (%) Verification rate (%) 70 60 50 40 30 20 10 0 10-3 LBP DT-CWT Curvelet Contourlet 100 90 80 70 60 50 40 30 20 10 102 0 10-3 LBP DT-CWT Curvelet Contourlet SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 100 90 80 Verification rate (%) Verification rate (%) 70 60 50 40 30 20 10 0 10-3 LBP DT-CWT Curvelet Contourlet 100 90 80 70 60 50 40 30 20 10 102 0 10-3 LBP DT-CWT Curvelet Contourlet SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 Fig.05.6324 99.0147 77. Xie et al.7059 97.8404 83.1.2647 99. under the challenging lighting conditions.4002 53.2 1. Database Method Recognition rate (%) s ¼0.15 1. However. It is mainly because of the multi-scale and multi-directivity analysis of NSCT.6759 2.4706 75. (a) s ¼0. there were 1360(¼20 Â 68) query images.4002 43. / Pattern Recognition 43 (2010) 4177–4189 Table 6 Face recognition rates of different methods on noise-blurred images.5815 84. (c) s ¼0. the performances of other methods drop. 12.5335 99.7794 2.0008 84. Though.9559 76. .8404 83.7761 43.g.0588 78. the performance discrepancy among the compared techniques is not too much notable.8529 3. [21].8764 67.2500 1.0493 43.

only one image under normal illumination condition was registered as the reference image and the rest images were the query ones. extra noise would be added into the image. curvelet. the reference images are the ones under uncertain illumination conditions. The ﬁnal results are shown in Table 4.2. respectively) and the mean equals to 1. they seem to do not work very well on the image with large variations in illumination.2. 100 90 80 Verification rate (%) LBP DT-CWT Curvelet Contourlet 100 90 80 Verification rate (%) LBP DT-CWT Curvelet Contourlet 70 60 50 40 30 20 10 0 10-3 SQI LTV LWT LNSCT 70 60 50 40 30 20 10 SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 0 10-3 10-2 10-1 100 101 False accept rate (%) 102 100 90 80 Verification rate (%) LBP DT-CWT Curvelet Contourlet 100 90 80 Verification rate (%) LBP DT-CWT Curvelet Contourlet 70 60 50 40 30 20 10 0 10-3 SQI LTV LWT LNSCT 70 60 50 40 30 20 10 SQI LTV LWT LNSCT 10-2 10-1 100 101 False accept rate (%) 102 0 10-3 10-2 10-1 100 101 False accept rate (%) 102 Fig. / Pattern Recognition 43 (2010) 4177–4189 4187 because in Ref. and (d) s ¼ 0. The above experimental results show that the proposed LNSCT has consistent outstanding performance. the query images have been polluted by the artiﬁcial multiplicative Gaussian noise with different standard deviations (s ¼ 0. It shows that LNSCT consistently gets the highest face veriﬁcation rate and the lowest EER on Extended YaleB and CMU databases. For each face database. 4. 13. 11. One main reason could be that unlike LNST. such as features extraction and synthesis of image. are illustrated in Fig. This section demonstrates the performance of LNSCT based on Eq. (a) s ¼0.1. In real-world applications.15. In some cases.2. . The recognition results were averaged over 50 random trials. (11) for face recognition on noise-blurred images. For LBP. no matter the reference images are under normal or uncertain illumination conditions. ROC curves of different methods on blurred images with different level noises on YaleB database.05. three images under uncertain illumination conditions for each person were randomly selected to form the reference set. it is hard to guarantee that ideal images are used to establish the reference set. In the second experiment. It shows that the proposed approach still obtains the highest recognition rates on all databases. and the EER of each method is displayed in Table 5. s ¼0. the ROC curves [42]. they are not based on a physical illumination model.1. Noise can seriously affect other facial image processing. and s ¼0. For each subject. contourlet. which show false accept rate (FAR) versus face veriﬁcation rate (FVT). Xie et al.15. (c) s ¼ 0.X. Face recognition on noise-blurred images In the process of capturing or transmitting image. (b) s ¼ 0. and the rest images were for probing. Then the facial features extracted by different methods from those blurred images were used for face recognition. The above experimental results justify that in the noise-free case the LNSCT model could capture more robust intrinsic facial features which are more discriminative as compared to other state-of-the-art algorithms. So it is important to investigate the robustness of a feature-extraction method to noise. s ¼0.05. [21] multiple images of each subject were selected to form the training set. and DTCWT. In the veriﬁcation mode.

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China (Number 021 766. School of Information Science and Technology. Chang. [34] T. Pattern Recognition 40 (2007) 2118–2125. Ozkaramanli. Xie. [33] A. he is a Professor with the Department of Automation. M. The quotient image: class-based re-rendering and recognition with varying illuminations. kernel methods in machine learning.Z. Kriegman. His research interests include pattern recognition and computer vision. Choi. S. Li. pattern recognition. Grgic. Phillips. B. He is now working on the European SAMURAI Research Project with Prof. [30] K. [39] H. Wang. Guangzhou. Wei-Shi Zheng received the B.D. May. China. UK. IEEE Transactions on Pattern Analysis and Machine Intelligence 25 (2003) 063–1074. He has taken charge of more than ﬁve research projects. W. His current research interests are in object association and categorization. Sim. Belhumeur. EURASIP Journal on Advances in Signal Processing. [44] E. Donoho. Zheng was awarded the HP Chinese Excellent Student Scholarship 2008. M. Yuen Pong C. Delac. He is currently a visiting student. Rizvi. He received the M. Dr. Efﬁcient face recognition method using a combined phase congruency/Gabor wavelet technique. Moon. I-Tech. A subspace model-based approach to face relighting under unknown lighting and poses. Ching Y. Gao. Baker. C. P. Jianhuang Lai was born in 1964. Hong Kong. Blanz. Er. U.. 2003. degree in applied mathematics in 1989 and the Ph. NSFC (Numbers 60144001. under the supervision of Prof. L. Suen.Sc. candidate of Sun Yat-sen University in PR China. Bezalel. book chapters. He is also interested in discriminant/sparse feature extraction. 2004.M.J. 2008. Yu. C. 2002. Wu. IEEE Transactions on Systems. Recent advances in face recognition. D. [37] S. and conferences. S. Wu. in: Proceedings of International Workshop Analysis and Modeling of Faces and Gestures. T. degree in science with specialties in mathematics and computer science and the Ph. Chinese Academy of Sciences. degree in applied mathematics from Sun Yat-Sen University. Face recognition based on ﬁtting a 3D morphable model. Fast discrete curvelet transforms. [38] V. A. degree in mathematics in 1999 from Sun Yat-sen University. Eleyan. Optical Information Systems III. Shadow compensation in 2D images for face recognition. T. 978-953-7619-34-3. August. Choi. Illumination normalization for robust face recognition against varying lighting conditions. London. [45] E. Multiscale modeling and simulation 5 (2007) 861–899. Shashua. IEEE Transactions on Image Process 9 (2000) 1532–1546. Majumdar. at Hong Kong Baptist University. Queen Mary University of London. 60675016). Lam. Candes. and face image analysis.X. Stan Li at the Institute of Automation. Wang. The CMU pose. K.D. Part B 36 (2006) 458–466. Vetterli. China. especially focusing on illumination and pose normalization of human face. where currently. Shim. Beijing.S. IEEE Transactions on Pattern Analysis and Machine Intelligence 23 (2001) 643–660. Man and Cybernetics. and NSF of Guangdong. T. H. and an exchanged research student working with Prof. Austria. including NSFGuangdong (U0835005). Face recognition under varying illumination based on a 2D face shape model. Illumination compensation and normalization for robust face recognition using discrete cosine transform in logarithm domain. From few to many: illumination cone models for face recognition under variable lighting and pose. S. T. IEEE Transactions on Pattern Analysis and Machine Intelligence 23 (2001) 129–139. Face recognition by Curvelet based feature extraction. in: Proceedings of IEEE Conference on Face and Gestures (FGR). S. IEEE Transactions on Pattern Analysis and Machine Intelligence 22 (2000) 1090–1104. respectively. 06023194). D. Efron. multimedia communication. Gong and Dr. [42] P. D. Demirel. [32] W. His current research interests are in the areas of digital image processing. The FERET evaluation methodology for face-recognition algorithms. Xiaohua Xie is a Ph. Article ID 185281. Xie et al. [41] H. Kim. M. Chen. Cao. illumination. the Key (Key grant) Project of Chinese Ministry of Education (Number 105 134). Q. H. He has published over 60 papers in the international journals. Lecture Notes in Computer Science 4633 (2007) 806–817. He serves as a board member of the Image and Graphics Association of China and also serves as a board member and chairman of the Image and Graphics Association of Guangdong.S. / Pattern Recognition 43 (2010) 4177–4189 4189 [29] T. Complex wavelet transform-based face recognition. Pattern Recognition 38 (2005) 221–230. dimension reduction. . Y. Guangzhou. H. Vienna. 2008. Zhao. Vetter. Adaptive wavelet thresholding for image denoising and compression. He is a Postdoctoral Researcher at the Department of Computer Science. He joined Sun Yat-sen University in 1989. M. at Concordia University in Canada. M. J. Riklin-Raviv. in 2003 and 2008. China. [43] A. et al. [35] S. and expression (PIE) database. Mandal.G. Z. Bsat. wavelets and their applications. in: Proceeding of IEEE Conference on Computer Vision and Pattern Recognition (CVPR).D. Xiang. 236. P. 2005. He has been a visiting student working with Prof. Rauss. Bartlett. Georghiades. IEEE Transactions on Image Processing 17 (2008) 1331–1341. [31] S. Demanet. S. Chen. B. [36] X. Generalized quotient image. [40] A. in: Proceedings of SPIE. 60 373 082. Shan.J. Luo.

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