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SICE Annual Conference 2010

August 18-21, 2010, The Grand Hotel, Taipei, Taiwan




400 2010 SICE
Face Recognition
Using PCA with GNP-Iuzzy Data Mining

Deng Zhang, Shingo Mabu, Karla Taboada, Feng Wen and Kotaro Hirasawa
Graduate School oI InIormation, Production and Systems, Waseda University
2-7 Hibikino, Wakamatsu-ku, Kitakyushu-shi, Fukuoka, Japan

Abstract-Conventional Principal Component Analysis (PCA)
based face recognition methods measure the similarity between
two feature vectors by some simple geometric distances, such as
Euclidean distance and cosine distance. It largely limits the
correct recognition rate of such methods in different conditions
of appearance, light and pose. Thus, this paper proposes a novel
approach for face recognition using PCA with Genetic Network
Programming (GNP) fuzzy (GNP-fuzzy) data mining. Different
from conventional methods, the proposed method uses the class
association rules to represent the features of a face and calculate
the similarity between two feature vectors of two different faces.
Experimental results have also demonstrated the effectiveness of
the proposed method in complex test environments.
Keywords- Face recognition; Principal Component Analysis;
Cenetic Aetwork Programming-Fuzzy Data Mining
I. INTRODUCTION
Recently, Iace recognition has received signiIicant
attention as one oI the most successIul applications oI image
analysis and understanding. There are two primary reasons
accounting Ior this trend. One is the wide range oI applications
in commerce and law enIorcement. And, the other is the
availability oI Ieasible technologies aIter 30 years oI intense
research.
Researchers with diIIerent background have proposed
many techniques oI Iace recognition. Most oI these systems
are motivated by diIIerent principles, which make it diIIicult
to classiIy them based on pure techniques. Three main
categorizations are introduced in |1|, i.e. holistic matching
methods, Ieature-based matching methods and hybrid methods.
The holistic matching methods directly use the whole Iace
region as Ieatures. In contrast, the Ieature-based matching
methods use the local statistics oI mouth, eyes and nose to
classiIy a Iace into a certain class. Compared with the Ieature-
based matching methods, the holistic matching methods have
lower computational pressure. Yet, the drawback is the loss oI
accuracy. Although the hybrid methods also have attracted
some attentions, it Iails to produce the desired results. In this
paper, we Iocus on the holistic matching methods.
Subspace methods represented by Principal Component
Analysis (PCA) are one oI the main varieties oI branches oI
the holistic matching methods |2|. Though many systems
based on PCA |3|, |4| have been successIully applied to Iace
recognition, there still exist some demerits, like it is diIIicult
to select an appropriate scheme in order to satisIy some
speciIic requirements. Many eIIorts have been made to
improve the perIormance and robustness oI PCA-based Iace
recognition methods, i.e., 2-D PCA |5| and kernel PCA |6|.
Especially, as a nonlinear subspace analysis method, kernel
PCA uses the high order statistics oI the input data which can
describe the correlation between adjacent pixels. However, it
is diIIicult to design the kernel Iunction. And, these algorithms
are almost designed Ior speciIic problems, computationally
expensive either not robust to light, pose and appearance.
There are mainly two reasons. One is that although PCA is the
optimal representation oI a Iace under minimal mean square
error, it has low generalization ability Ior diIIerent Iacial
database. The other is that the conventional PCA-based Iace
recognition methods are simply measured by some geometric
distances, such as Euclidean distance and cosine distance.
Actually, such rigid criteria and recognition actually do not
match human`s natural recognition mechanism based on the
historical knowledge oI a certain person and the general
Ieatures oI a Iace. Until now, we can conclude that the
conventional PCA-based Iace recognition methods have three
disadvantages, expensive computational pressure, low
robustness and low generalization ability.
The objective oI this paper is to propose a new scheme oI
Iace recognition to improve the eIIiciency, robustness and
generalization ability oI pose, appearances and light oI the
conventional PCA-based methods.
Genetic Network Programming (GNP) Iuzzy (GNP-Iuzzy)
data mining has been successIully applied to extract Iuzzy class
association rules and the eIIectiveness oI its classiIication have
been also demonstrated in |7|, which encourages us to use the
GNP-Iuzzy data mining technique to the Iace recognition
problem. DiIIerent Irom the conventional PCA-based methods,
the proposed approach treats the coeIIicients oI eigenIaces as
attributes oI a Iacial database and mines the class association
rules Irom it. Then, the class association rules are applied to
construct the classiIier instead oI simple geometric distance
measures.
Furthermore, the Iace recognition is quite diIIerent Irom the
general classiIication problem due to the large number oI
classes and the large number oI class association rules oI all
classes. II the average matching degrees oI all rules with a test
image are to be calculated, it will be really computationally
expensive. Thus, the proposed approach uses a genetic
PR0001/10/0000-3073
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algorithm (GA) based clustering method to reduce the number
oI class association rules in a cluster.
This paper is organized as Iollows. Section II shows the
research background oI PCA and GNP-Iuzzy data mining in
the proposed method. The details oI the proposed method are
explained in Section III. Experimental results are summarized
in Section IV. Finally, the conclusion is presented in Section V.
II. RESEARCH BACKGROUND
A. Principal Component Analysis
Turk |2| Iirstly applied K-L transIorm to Iace recognition
and proposed the concept oI eigenIaces which is denoted as
PCA. In mathematics, PCA is an optimal representation oI an
image under minimal mean square error. PCA |6| represents a
Iacial image by the linear combination oI eigenIaces. In this
way, the high dimensionality oI the data space in the Iacial
image database could be reduced to the low dimensionality oI
the Ieature space. Suppose we have N eigenIaces X|x
1
, x
2
,
.
,
x
N
|
T
oI a M dimensional Iacial image data space, where x
i
is an
eigenIaces and NM. Then, a Iacial image I can be
represented by (1),

, (1)
where, is the coeIIicient vector and
i
is the corresponding
coeIIicient oI eigenIace x
i
and i1, 2,
.
, N.
PCA has been demonstrated as an eIIicient and eIIective
approach Ior Iace recognition. However, it is sensitive to the
change oI the appearance, pose and light conditions, which is
caused by the inherent deIicient expression oI Iacial images. In
the traditional PCA, there are two phases, training phase and
test phase. In the training phase, one Iront Iacial image oI every
class is selected and the eigenIaces are calculated. In the test
Iace, the remaining Iront images in the Iacial image database
are classiIied to classes by minimizing the Euclidean distance
between a Iacial image I and the image I
k
in class k given by
(2),

, (2)
where,
k
is the Euclidean distance between I and I
k
; k C, and
C is the set oI suIIixes oI classes; and
ki
is the coeIIicient oI
the i-th eigenIaces oI I
k
as deIined by (1).
Perlibakas |3| tests 14 distance measures and concludes that
the Mahalanobis distance (M-distance) can promote the correct
recognition rate oI PCA-based methods. Thus, the proposed
method is only compared with the PCA-based method using
the M-distance which is deIined by (3),

(3)
where, MD(
1
,
2
) is the M-distance between eigenvectors
1

and
2
, M is the number oI eigenvalues in the training set and
i

is the i-th eigenvalue in descent.
Until now, two main problems oI PCA are described as
Iollows. One is that using only one image Ior training is not
enough to reIlect the change oI the appearance, pose and light
conditions. The other is that the rigid distance is too simple to
measure the similarity oI a Iacial image and the image in a
certain class.
B. GNP-fu::y Data Mining
GNP is a novel evolutionary algorithm proposed in |8|.
DiIIerent Irom GA and Genetic Programming (GP), solutions
are represented by directed graphs rather than strings or tree
structures. By this way, a more complex and Ilexible
representations oI the practical problems are obtained. In the
past seven years, GNP has been successIully applied to stock
trading |9|, elevator dispatch |10|, automatic program
generation |11| and data mining |12|. We concentrate on the
Iuzzy association rule mining using GNP.
Table. I shows an example oI a real-valued database, where
A
i
(i 1, 2, 3, 4, 5) is an attribute item, C is the class
identiIication, TID is the database identiIication number. In
GNP-Iuzzy data mining, the values oI all attributes are
IuzziIied by membership Iunctions and the parameters oI the
membership Iunctions are calculated according to their
statistics in the Iirst generation. Then, a binary-valued database
can be obtained as Table. II. As shown in Table. II, there are at
least two rules Ior C1and C2, respectively, i.e., A
1
1 ~
C1, A
1
1 A
5
1 C1, A
3
1~C2 and A
3
1 A
4
1
~C2. II each attribute item is modeled as a gene, then it is
obvious that the inherent structure oI the chromosome in class
association rule mining problem is a graph structure, which is
the great advantage oI GNP compared with GA and GP.
Take Table. II as an example, association rules can be
easily represented by a GNP individual whose basic structure is
shown as Fig. 1. A GNP individual or the chromosome in a
GNP individual consists oI three types oI nodes, i.e., start node
(S), judgment node (J
i
) and processing node (P
j
), i [1,
number of Js{ and f [1, number of Ps{.
In this section, the encoding, decoding, genetic operators
TABLE II.Example oI a binary-valued database
TID A1 A2 A3 A4 A5 C
1 1 1 1 0 1 1
2 1 0 0 0 1 1
3 0 0 1 1 0 2
4 0 0 1 1 1 2

TABLE I. Example oI a real-valued database
TID A1 A2 A3 A4 A5 C
1 -3.8 2.6 0.3 0.2 1.1 1
2 -8.7 -3.8 1.1 -1.9 -1.4 1
3 6.8 0.9 0.2 -0.2 0.7 2
4 3.2 0.8 0.2 -1.5 -0.6 2


Figure. 1 Association rule mining represented by a GNP individual
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and Iitness Iunction oI GNP-Iuzzy data mining are explained
by this example.
x Encoding and decoding: In GNP-Iuzzy data mining,
each attribute item is represented by one J or several
Js. Then, the connections between the Ps and Js are
randomly generated in the Iirst generation. In this way,
several potential association rules are encoded as a
GNP individual. As shown in Fig. 1, each transition
route in GNP is decoded as several rules, i.e.,
A11~C1, A11A21~C1 and A11A21
A31~C1. Then, rules are evaluated by measures
like support, conIidence and chi-square. II a rule
satisIies all the minimal values oI these three measures,
it is added into the rule pool.
x Cenetic operators: Same as other evolving methods,
GNP also have three kinds oI genetic operators, i.e.,
selection, crossover and mutation. Usually, elite
selection is used in GNP to move the best individual
to the next generation. Tournament selection is also
used to select the individuals having higher Iitness
values with a higher probability. In crossover, two
candidates are selected and some nodes and all their
connections are exchanged Ior the next generation.
There are two types oI mutation in GNP. One is to
change the Iunction oI a node. The other is to change
the connection oI a node.
x Fitness function: To mine as many association rules
as possible, the Iitness Iunction oI a GNP individual is
deIined by (4),

(4)
where, N
r
is the total number oI rules extracted by a
GNP individual;
2
(r) is the chi-square value oI rule r;
and N
ante
(r) is the number oI attributes oI antecedent.
The Ilowchart is then shown in Fig. 2.
III. PROPOSED METHOD
The proposed method mainly consists oI three phases, i.e.,
database conversion phase, training phase and testing phase. In
the database conversion phase, eigenIaces are treated as
attributes and their coeIIicients are considered as attribute
values. Then, the high dimensional Iacial image database is
converted into a low dimensional real-valued database. In the
training phase, we use the GNP-Iuzzy data mining method to
extract the class association rules Irom the real-valued database.
At last, in the testing phase, the extracted rules are applied to
the classiIier and the classes oI the Iacial images are obtained.
A. Database Conversion Phase
Suppose we have a Iacial database shown in Fig. 3. Then,
according to the idea oI PCA, we can obtain six eigenIaces oI
the Iacial database shown in Fig. 4. Finally, each Iacial image
in the database can be represented by a tuple in the real-valued
database given by Table. III.
Then, according to the statistics oI each attributes, the real-
valued database is IuzziIied and the membership Iunction is
given by Fig. 5, where,

and

is the mean value and standard
deviation oI attribute A
i
and is a scaling parameter, 0.25 is
used in this paper.
B. Training Phase
Although the eIIectiveness oI GNP-Iuzzy data mining Ior
class association rule extraction has been demonstrated, the
Iace recognition is quite diIIerent Irom common classiIication
problems, because the number oI classes in Iace recognition is
always very large, Irom hundreds to thousands. ThereIore, the

Figure. 2 Flowchart oI GNP evolution

(a) (b) (c) (d) (e) (I) (g) (h)
Figure. 3 Sub database Irom Yale A Iacial image database

(a) (b) (c) (d) (e) (I)
Figure. 4 EigenIaces oI the sub database in Fig. 3
TABLE III. Real-valued database oI the Iacial image database in Fig.3
Facial
Image
1 2 3 4 5
a -3.8 2.6 0.3 0.2 1.1 1.9
b -8.7 -3.8 1.1 -1.9 -1.4 1.3
c 6.8 0.9 0.2 -0.2 0.7 -1.2
d 3.2 0.8 0.2 -1.5 -0.6 1.0
e -2.4 -0.7 1.8 3.6 -0.2 0.8
I -12 1.3 -0.9 -1.4 -0.3 -0.1
g 10.5 -1.0 3.9 -0.3 0.9 -0.1
h -0.4 3.1 -1.7 -1.8 -1.0 -0.5


Figure. 5 Fuzzy membership Iunction
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proposed method includes two steps.
Suppose a Iacial database has 40 person
the proposed method uses a three-obje
clustering method to cluster the 40 persons
each cluster, there are about 10 classes, i.e.
Iitness Iunctions are given by (5)-(7),

where, D
1
is the average distance between ea
its cluster center, m is the number oI cluster
suIIix oI object data in cluster i,
Ci
is the
cluster i and a
u
(
f
,
Ci
) is the Euclidean distan

Ci
; D
2
is the average distance between cluste
the clustering error rate, H is the hyperplane
which has the normal vector and crosses the m
C
f
and a(
,
H) is the distance between a coeII
H.
The objective Iunction oI the GA-based
is given by (10),


where, D
1
*
, D
2
*
and

are the normalized val


respectively.
In the second step, some oI the entrie
database are used to train the GNP indi
association rules are extracted and stored
DiIIerent Irom the traditional PCA, many Iac
person are used Ior training in the proposed
diIIerent appearances and diIIerent light cond
the Iuzzy rules are extracted Ior classiIi
accuracy. The Ilowchart oI the class associat
shown by Fig. 6.
C. Test Phase
In the testing phase, a test data is Iirs
cluster according to the Euclidean distance b
center and itselI. The extracted Iuzzy rules
Figure. 6 Flowchart oI class association rule min
phase
s. In the Iirst step,
ective GA based
into 4 clusters. In
., 10 persons. The

(5)
(6)
(7)
(8)

(9)
ach object data and
rs, C
i
is the set oI
e cluster center oI
nce between
j
and
er centers; and, is
between C
i
and C
f

midpoint oI C
i
and
Iicient vector

and
clustering method
(10)
lues oI D
1
, D
2
, and
es in the IuzziIied
viduals and class
in the rule pool.
cial images Ior one
method including
ditions. In this way,
ication with high
tion rule mining is
stly assigned to a
between the cluster
s are then used to
classiIy the test data to a certa
evaluation value deIined by (11


where,
Matchk
(a) and
Matchk
(a)
deviation oI Match
k
(a,r), res
matching degree between data
the sum oI the Iuzzy membersh
in the antecedent part oI Iuz
evaluated by data a; N
k
(r) is th
in the antecedent part oI rule
conventional GNP-Iuzzy data m
Ior classiIication considers not
the standard deviation oI the ma
The Ilowchart oI the propos
shown in Fig. 7. By the mea
degree oI class association
evaluated in diIIerent viewpoin
rate is expected to be improved
IV. EXPERIMENTAL R
To demonstrate the perIo
recognition scheme using PCA
both the proposed method an

ning in the training
Figure. 7 Flowchart oI the pr
TABLE IV. ConIig
Parameter
Population size
Maximal generation
Elite selection size
Crossover size
Crossover rate
Mutation size
Mutation rate
Selection criteria
Number oI judgment nodes
Number oI processing
nodes
ain class which has the highest
1),

(11)

(12)

(13)

(14)
a) are the average and standard
spectively; Match
k
(a,r) is the
a and rule r in class k; N
k
(a,r) is
hip values oI the Iuzzy attributes
zy rule r in class k, which is
e number oI the Iuzzy attributes
r in class k. DiIIerent Irom the
mining method, the criteria used
only the average value but also
atching degree.
sed classiIier in the test phase is
asurement oI average matching
rules, the eigenvectors were
nts, and the correct recognition
d.
RESULTS AND DISCUSSION
ormance oI the proposed Iace
A with GNP-Iuzzy data mining,
nd the conventional PCA-based

oposed classiIier in the test phase

guration oI the GNP
Jalue
200
100
1
100
0.65
99
0.3
Tournament selection
3
21


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method using M-distance have been perIormed on the sub-
database oI the Yale Iacial database B. There are 2432 images
Ior 38 persons under diIIerent poses in illumination conditions
Ior experiments in this paper. And, the conIiguration oI GNP-
Iuzzy data mining is given by Table. IV. The average Iitness
value in the Iirst 100 generations is shown as Fig. 8.
In the GA-based clustering method, we set the cluster
number at 4. The clustering results is given as 1,5,13,15,17,
19,21,23,29,37}, 2,6,12,14,16,18,20,30,36,38}, 3,7,9,11,27,
31,33,35} and 4, 8, 10, 22, 24, 25, 26, 28, 32, 34}, where the
corresponding cluster centers are 15, 6, 33 and 4, respectively.
Finally, the correct recognition rate (CRR) is used to
evaluate the accuracy and the perIormance oI the recognition
methods. The result is given in Table. V.
According to the experimental results, the proposed Iace
recognition scheme using GNP-Iuzzy data mining has better
higher accuracy than the conventional PCA-based Iace method
with M-distance. There are mainly two reasons.
1) PCA is the optimal representation oI Iacial images
under minimal mean square error. But, it is not the
optimal presentation Ior classiIication. In contrast, the
proposed method GNP-Iuzzy data mining extracts the
class association rules to construct the classiIier,
which largely shorten the inner-class distance and
enlarge the intra-class distance;
2) Although M-distance uses the eigenvalues to improve
the perIormance oI Euclidean distance and cosine
distance, it is still insuIIicient to measure the
similarity between two eigenvectors. Especially, the
eigenvector is used to describe the subject in diIIerent
viewing conditions; while, the proposed method uses
the average matching degree oI diIIerent class
association rules, which could somewhat reIlect the
eigenvectors in diIIerent viewing conditions.
In addition, the computation pressure is controlled through
the GA-based clustering method. Also, because the proposed
method has learning ability, it is easier to apply it to diIIerent
database.
V. CONCLUSIONS
The proposed Iace recognition scheme using PCA with
GNP-Iuzzy data mining has successIully solved the three
demerits oI the conventional PCA-based Iace recognition
method, i.e., eIIiciency, robustness and generalization ability oI
pose, appearances and light conditions. At the same time, CRR
is calculated to compare the perIormance and accuracy oI the
proposed method and the conventional PCA-based method.
Experimental results indicate that the proposed method has
higher accuracy than the conventional PCA-based method.
Furthermore, the proposed method could be easily applied to
other diIIerent recognition problem, such as Iingerprint
recognition due to its learning ability. For Iuture works, the
proposed method will be perIormed on more databases and
better Ieature representation approaches will be used to replace
the PCA method to test its eIIectiveness and generalization
ability.
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Figure. 8 Training result oI the GNP in class association rule mining

TABLE V. CRR () value oI the proposed method and the conventional
PCA-based method with M-distance
Method CRR
Proposed method
PCA with M-distance
23.66
19.74

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