A Hidden Markov Model-Based Approach for Face Dete

AHiddenMarkovModel-BasedApproachforFaceDetectionandRecognitionATHESISPresentedtoTheAcademicFacultyByAraNeanInPartialFulllmentoftheRequirementsfortheDegreeofDoctorofPhilosophyinElectricalEngineeringGeorgiaInstituteofTechnologyAugust,1999AHiddenMarkovModel-BasedApproachforFaceDetectionandRecognitionApproved:MonsonH.HayesIII,ChairmanMarkA.ClementsRussellM.MersereauDateapprovedbyChairmaniiiiiAcknowledgementFirst,Iwouldliketothankmyfamilyfortheirlove,support,andencouragements.TheircontinuouscarehasbeenindispensablethroughoutmyPh.Dresearch.Iammostgratefultomyadvisor,Dr.MonsonHayesIII,forhisguidance,interestingdiscussions,andhelpfulsuggestions.Ioweagreatdealofmyresearchskillstohim.Iwouldliketothanktheothermembersofthereadingcommittee,Dr.MarkClementsandDr.RussellMersereau,forthoroughlyreadingthisthesis.IwouldalsoliketothankDr.NykilJyantandDr.IrfanEssaforservingonthedefensecommittee.Iwouldliketothankallmyfellowgraduatestudentsforcreatingafriendlyandchallengingenvironment.IespeciallythankMahmutCiftci,MohammadKhan,FaramarzFekri,DarnellMoore,ChaninNilubol,JePrice,andJorgePerez-Jacomeforusefuldiscussionsandformakingmystayinschoolmoreenjoyable.IwouldliketothanktheresearchersattheHumanInterfaceTechnologyCenter,NCRfortheprofessionalenvironmentduringmylongterminternshipwiththeImageUnderstandinggroup.SpecialthankstoJohnMingandDr.MehdiKhosraviwhosefriendshipandtechnicalguidancemademyinternshipagreatexperience.Tomyfamily.ivvContentsAcknowledgementiiiListofTablesviiiListofFiguresixGlossaryxiiSummaryxiiiCHAPTER1Introduction11.1MotivationfortheResearch.......................11.2OutlineoftheThesis...........................4CHAPTER2Background52.1GeometricFeature-BasedMethods...................52.2Template-BasedMethods........................62.2.1Correlation-BasedMethods....................62.2.2Karhunen-LoeveExpansion-BasedMethods...........72.2.3LinearDiscriminant-BasedMethods................92.2.4SingularValueDecomposition-BasedMethods.........102.2.5MatchingPursuit-BasedMethods................112.2.6NeuralNetworks-BasedMethods.................122.2.7TheDynamicLinkMatchingApproach..............122.3Model-BasedMethods..........................132.3.1TheVolumetricFrequencyRepresentationFaceModel.....142.3.2HiddenMarkovModelBasedMethods..............142.4SummaryoftheRelatedWork......................16CHAPTER3ADeformableTemplate-BasedApproachforFaceDe-tection193.1SystemOverview.............................203.2TheSegmentationoftheForegroundRegions.............213.3TheDeformableTemplateforHead...................223.4TheHeadDetectionAlgorithm.....................243.5RegionSplitting..............................283.6TheEyeDetectionAlgorithm......................303.7ResultsandConclusion..........................34CHAPTER4AHiddenMarkovModelforFaceDetectionandRecog-nition384.1TheHiddenMarkovModel.......................394.2TheObservationVectors.........................414.3TrainingTheFaceHMM.........................444.4FaceRecognitionUsingHMM......................514.5FaceDetectionUsingHMM.......................53CHAPTER5TheEmbeddedHiddenMarkovModel615.1EmbeddedHMMStructure.......................625.2TheDecodingAlgorithm.........................655.3TheEvaluationAlgorithms.......................685.3.1TheforwardalgorithmfortheembeddedHMM.........685.3.2TheBackwardAlgorithm.....................715.4TheEstimationAlgorithm........................73vi5.4.1DiscreteembeddedHMM.....................735.4.2ContinuousembeddedHMM....................795.5ImplementationIssues..........................855.6ComputationalComplexity.......................86CHAPTER6AnEmbeddedHiddenMarkovModelforFaceDetectionandRecognition886.1TheEmbeddedHMMforFace......................886.2TheObservationVectors.........................906.3TrainingtheEmbeddedHMM......................916.4FaceRecognitionUsingtheEmbeddedHMM.............956.5FaceDetectionUsingtheEmbeddedHMM...............99CHAPTER7Conclusions,ContributionsofThesisandTopicsforFur-therResearch1087.1Conclusions................................1087.2ContributionsofThesis.........................1107.3RecommendedTopicsforFurtherResearch...............1117.4PublishedWork..............................113Bibliography115Vita128viiviiiListofTables2.1Comparisonofsomeofthefacerecognitionapproaches........172.2Comparisonofsomeofthefacerecognitionapproaches(cont’d)...184.1Comparisonofthefacedetectionrate(DR)andfalsealarms(FA)indierentexperimentsusingthefaceHMM...............586.1ComparisonofthefacerecognitionrateandnumericalcomplexityfordierentHMM-basedapproaches....................966.2ComparisonofthefacerecognitionratefordierentapproachestestedontheORLdatabase...........................976.3Comparisonofthedetectionrate(DR)andfalsealarms(FA)indif-ferentexperimentsobtainedusingtheembeddedHMM........106ixListofFigures1.1Theoverallfaceidenticationsystem..................22.1AHMMwithend-of-linestates(a)andanunconstrainedHMM(b).153.1Overalldeformabletemplate-basedfacedetectionsystem......203.2Thedeformabletemplatefor