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A Review Of Face Recognition Methods
Article in International Journal of Pattern Recognition and Artificial Intelligence · April 2013

DOI: 10.1142/S0218001413560053
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International Journal of Pattern Recognition
and Arti¯cial Intelligence
Vol. 27, No. 4 (2013) 1356005 (35 pages)
#.c World Scienti¯c Publishing Company
DOI: 10.1142/S0218001413560053
A REVIEW OF FACE RECOGNITION METHODS
M. PARISA BEHAM
ECE Department, Vickram College of Engineering
Sivagangai District, TamilNadu, India
Parisaphd2011@gmail.com
S. MOHAMED MANSOOR ROOMI

ECE Department, Thiagarajar College of Engineering
Madurai District, TamilNadu, India
smmroomi@tce.edu
Received 2 August 2012

Accepted 10 April 2013
Published 16 July 2013
Face recognition has become more signi¯cant and relevant in recent years owing to it potential
applications. Since the faces are highly dynamic and pose more issues and challenges to solve,
researchers in the domain of pattern recognition, computer vision and arti¯cial intelligence
have proposed many solutions to reduce such di±culties so as to improve the robustness
and recognition accuracy. As many approaches have been proposed, e®orts are also put in to
provide an extensive survey of the methods developed over the years. The objective of this paper
is to provide a survey of face recognition papers that appeared in the literature over the
past decade under all severe conditions that were not discussed in the previous survey and to
categorize them into meaningful approaches, viz. appearance based, feature based and soft
computing based. A comparative study of merits and demerits of these approaches have been
presented.
Keywords : Face recognition; feature based; appearance based; soft computing based; Gabor
patterns; fuzzy based; genetic algorithm; nontensor wavelets; sparse representation.
1. Introduction
Face recognition is one of the most popular applications of image analysis. In present
scenario, face recognition plays a major role in security, personal information
accesses, improved human machine interaction and personalized advertising. Hence
a recognition system that, is inexpensive to use at any location, performs quicker
matching, handles large database and do recognition in a varying environment is the
need of the hour. It is a true challenge to build an automated system which parallels
1356005-1
M. P. Beham & S. M. M. Roomi
human ability to recognize faces. It is a biometric approach that employs automated

methods to verify or recognize the identity of a living person based on his /her
physiological characteristics. Although humans are quite good in identifying known
faces, it is very hard to deal with a large amount of unknown faces. This human
limitation is overcome by super computers using strong algorithms. For many
applications, the performance of face recognition systems in controlled environments
has now reached a satisfactory level; however, there are still many challenges posed
by uncontrolled environments. Some of these challenges are posed by the problems
caused by variations in illumination, face pose, expression, etc.69 The e®ect of var-
iation in the illumination conditions in particular, which causes dramatic changes in
the face appearance, is one of those challenging problems87 that a practical face
recognition system needs to face. Moreover, in a practical application environment,
the illumination variation is always coupled with other problems such as pose var-
iation and expression variation, which increase the complexity of the automatic face
recognition problem. Over the past 15 years, research has focused on how to make
face recognition systems fully automatic by tackling problems such as localization of
a face in a given image or video clip and extraction of features such as eyes, mouth,
etc. Meanwhile, signi¯cant advances have been made in the design of classi¯ers for
successful face recognition. Among appearance-based holistic approaches, Eigen-
faces67 and Fisherfaces82 have proved to be e®ective in experiments with large
databases. Feature-based graph matching approaches have also been quite success-
ful. Compared to holistic approaches, feature-based methods are less sensitive to
variations in illumination and viewpoint and to inaccuracy in face localization.
However, the feature extraction techniques needed for this type of approach are still
not reliable or accurate enough. Face recognitions can also be done by using soft
computing tools. Neural networks, Fuzzy logic and Genetic algorithm (GA) are
frequently used soft computing techniques. Compared to all the other methods, soft
computing techniques are time consuming processes. Though, a variety of techniques
have already surfaced for face recognition problem, it is yet a developing ¯eld
depending on the application scenario and scene constraints. Such a proliferating
¯eld requires review of techniques available as on today to enable designers to choose
from. The earlier literature available on survey of face recognition techniques broadly
include statistical-based, holistic-based, feature-based and arti¯cial intelligence-
based approaches. This current work encompasses some of the recent techniques viz.,
hybrid approaches, fuzzy-based approaches and optimization-based approaches ap-
plicable to challenging scenario like variation in illumination conditions, pose
orientations, facial expressions and low quality images. This paper also provides
possible remarks in each of the classi¯ed approaches.
The rest of this paper is organized as follows: Section 2 brie°y describes the
Generic Face Recognition system. Section 3 briefs the Face recognition approaches.
Sections 46 detail the appearance-based, feature-based and soft computing-based
approaches, respectively. The discussions and conclusions are given in Sec. 7.
1356005-2
A Review of Face Recognition Methods
2. A Generic Face Recognition System

Face recognition system can be developed as a three step process.6 Face localization/
detection is the process of extracting certain image region as a face. This procedure
has many applications like face tracking, pose estimation or compression. Face
normalization is one of the most critical issues in using a vector of geometrical
features. The extracted features must be somehow normalized in order to be inde-
pendent of position, scale, and rotation of the face in the image plane. The next step
of feature extraction involves acquiring relevant facial features from the data. The
feature extraction process must be e±cient in terms of computing time and memory
usage. The output should also be optimized for the classi¯cation step. Feature ex-
traction involves several steps — dimensionality reduction, feature extraction and
feature selection. Dimensionality reduction is an essential task in any pattern rec-
ognition system. The performance of a classi¯er depends on the amount of sample
images, number of features and classi¯er complexity. Feature selection is often
performed after feature extraction. So, features are extracted from the face images,
and then an optimum subset of these features is selected. Finally, the system should
recognize the face. In an identi¯cation task, the system would reveal an identity from
a database. This phase involves a comparison method, a classi¯cation algorithm and
accuracy measure. Figure 1 shows the structure of generic Face Recognition system.
Face recognition algorithms21 can be classi¯ed as either geometry-based or tem-
plate-based algorithms. The template-based methods compare the input image with
a set of templates. The set of templates can be constructed using statistical tools like
support vector machines (SVM), principal component analysis (PCA), linear dis-
criminant analysis (LDA), independent component analysis (ICA), kernel methods,
or trace transforms. The geometry-based feature methods analyze local facial fea-
tures and their geometric relationships. This approach is sometimes called feature-
based approach. With an advantage of face identi¯cation with little information, few
algorithms were proposed. The independent facial features like eyes, noses are
extracted and the relations among the features are not considered. Hidden Markov
Model (HMM)52 is deployed with these features to recognize faces; it shows that the
recognition rate will be increased in case of using combination of features. Therefore,
the holistic approaches have been proposed. That is why most of the present day
algorithms follow a holistic approach.
Facial recognition methods can be divided into appearance-based or model-based
algorithms. The di®erential element of these methods is the representation of the
face. Appearance-based methods represent a face in terms of several raw intensity
images. An image is considered as a high-dimensional vector. Then statistical tech-
niques are usually used to derive a feature space from the image distribution. This
Fig. 1. Generic face recognition system.
1356005-3
method can be classi¯ed as linear or nonlinear,47 where the linear appearance-based

methods perform a linear dimension reduction. Nonlinear appearance methods are
more complicate. In fact, linear subspace analysis is an approximation of a nonlinear
manifold. On the other hand, the model-based approach tries to model a human face.
The new sample is ¯tted to the model, and the parameters of the estimated model are
used to recognize the image. Model-based approaches can be 2D or 3D. These models
are often Morphable which allows classifying faces even when pose changes are
present. Examples of this approach are Elastic Bunch Graph Matching72 or 3D
Morphable Models. Face recognitions can also be done by using soft computing tools.
Neural networks, Fuzzy logic and GA are frequently used soft computing techniques.
Arti¯cial neural networks are a popular tool in face recognition. They have been used
in pattern recognition and classi¯cation. The attractiveness of using neural networks
could be due to its nonlinearity in the network. Hence, the feature extraction step
may be more e±cient than the linear KarhunenLoeve methods. The way in con-
structing a neural network structure is crucial for successful recognition. It is very
much dependent on the intended application. A face recognition system developed
by neural networks and fuzzy logic technique gives higher recognition accuracy.
3. Face Recognition Approaches

In many applications like the surveillance and monitoring, the traditional biometric
techniques will fail as for obvious reasons one cannot ask everyone to come and put
his/her thumb on a slide or something similar. So we need a system which is similar
to the human eye in some sense to identify a person. To cater this need and using the
observations of human psychophysics, face recognition as a ¯eld emerged. Di®erent
approaches have been tried by several groups, working world wide, to solve this
problem. Many commercial products have also found their way into the market using
one or the other technique. But so far no system/technique exists which has shown
satisfactory results in all circumstances. A comparison of these techniques needs to
be done. In this paper, we will try to do a comparative study of the performances of
three approaches — appearance based, feature based and soft computing based. This
work only show a comparison of already made research studies; therefore, the pic-
tures used and the data are extracted from the original sources. Furthermore, some
tables and results will be showed in order to understand the accuracy of each method.
4. Appearance-Based Face Recognition

Appearance-based face recognition techniques have received signi¯cant attention
from a wide range of research areas such as biometrics, pattern recognition and
computer vision.52 Speci¯cally, there are two categorizations implied viz. Holistic
and Hybrid approaches. The holistic approach uses the whole face region as the raw
input to a recognition system.88 It also attempts to capture the most appropriate
representation of face images as a whole and exploit the statistical regularities of
1356005-4
pixel intensity variations. One of the most widely used representations of the face
region is Eigen pictures, which are based on principal component analysis. The other
category contains hybrid approaches, just as the human perception system uses both
local features and the whole face region to recognize a face, a machine recognition
system should use both.
4.1. Holistic approaches

Holistic face recognition utilizes global information from faces to perform face rec-
ognition. The global information from faces is fundamentally represented by a small
number of features which are directly derived from the pixel information of face
images.15 These small numbers of features distinctly capture the variance among
di®erent individual faces and therefore are used to uniquely identify individuals.
Among appearance-based holistic approaches, Eigenfaces and Fisherfaces68 have
proved to be e®ective in experiments with large databases. In holistic approaches,
several authors have considered either whole faces as features or Gabor wavelet
¯ltered whole faces. Some popular algorithms of holistic approaches are compared
below. PCA is one of the best global compact representations. Kirby and Sirovich35
were the ¯rst to apply the KarhunenLoeve expansion to face recognition. In their
initial investigation of face recognition, they used a small number of features to
represent the dataset.
Once they had reconstructed the small number of features to form images, they
concluded the images resembled faces, which they called Eigen pictures. PCA25 and
LDA47,70 are the two most classical and popular methods. The PCA is a typical
method, where faces are represented by a linear combination of weighted eigenvec-
tors, known as eigenfaces. These two methods both provide a small set of features
that carry the most relevant information for classi¯cation purposes. Figure 2 shows
how the face can be represented by a small number of features. PCA67 calculates the
Eigenvectors of the covariance matrix, and projects the original data onto a lower
dimensional feature space, which is de¯ned by Eigenvectors with large Eigenvalues.
PCA has been used in face representation and recognition where the Eigenvectors
calculated are referred to as Eigenfaces (as shown in Fig. 3). Since the `eigenface'
Fig. 2. Face represented by a small number of features.
1356005-5
Fig. 3. Eigenfaces.
approach was proposed by Turk and Pentland,67 PCA has emerged as a popular
technique in the computer vision community. Variants of PCA techniques have been
studied and used.57,77 Linear PCA is the simplest version. It decomposes the avail-
able data into uncorrelated directions, along which there exist maximum variations.
In other words, it tries to minimize the representation error jjWY Xjj. Towards this
goal, a total scatter matrix S ¼ XX T is de¯ned and the optimal matrix W is formed
by the eigenvectors corresponding to the m largest eigenvalues of S. In contrast to
PCA which makes decomposition into uncorrelated components, ICA26 decomposes
the data into statistically independent components. Usually a contrast function
measuring the statistical dependence of the new representation y1 . . . ym is de¯ned
and minimized. ICA turns out to be a nonlinear minimization problem which
requires a lot of computations. While component analysis is oriented towards
representing the data, discriminant analysis keeps in mind the classi¯cation task.48 It
attempts to maximize the between-class scatter while minimizing the within-class
scatter. However, PCA only uses the second-order statistical information in data. As
a result, it fails to perform well in nonlinear cases. In order to address the nonlinear
problems, Kernel PCA (KPCA)25 is able to capture the nonlinear correlations among
data points. Wang and Zhang70 propose a method of feature extraction for facial
recognition based on KPCA, and the nearest neighbor classi¯er making use of Eu-
clidean distance is adopted. Experimental results show a high recognition rate of
using KPCA. With the Cover's theorem, nonlinearly separable patterns in an input
space will become linearly separable with high probability if the input space is
transformed nonlinearly into a high-dimensional feature space. One can, therefore,
map an input variable into a high-dimensional feature space, and then perform PCA.
Performing PCA78 in the high-dimensional feature space can obtain high-order
statistics of the input variables, that is, also the initial motivation of the KPCA.
However, it is di±cult to directly compute both the covariance matrix and its cor-
responding eigenvectors and eigenvalues in the high-dimensional feature space. It is
computationally intensive to compute the dot products of vectors with a high-di-
mension. Fortunately, kernel tricks can be employed to avoid this di±culty, which
compute the dot products in the original low-dimensional input space by means of a
1356005-6
kernel function. Thus the KPCA method is better than conventional PCA obviously
because of getting higher accuracy out of lower principal components number.
Sharma and Paliwal60 proposed a Fast PCA, a computationally fast technique for
¯nding the desired number of leading eigenvectors without diagonalizing any sym-
metric matrix and it is free from matrix inverse computations. As a result, the
presented algorithm is computationally e±cient, consumes very small amount of
computation time and is very easy to implement. Fast PCA is used for e±cient
generation of eigenvalues which improves the computational e±ciency to O(n 2 Þ as
compared to normal decomposition method which gives the solution in O(n 3 Þ time
but FPCA have some limitation mainly in convergence when the images are of high
resolution and mean square error is high.
To improve the classi¯cation accuracy, LDA is proposed, which is based on Fisher
linear discriminant (FLD),47 is a popular face recognition technique. LDA ¯nds a
small number of features that di®erentiates individual faces but recognizes faces of
the same individual. A number of LDA-based methods have been proposed in face
recognition. In the last two decades, a great number of improvements to the classical
LDA have been proposed to enhance its performance and e±ciency. These
improvements can be roughly grouped into three categories. The ¯rst category fo-
cuses on addressing the small sample size (SSS) problem, which always occurs when
the data dimension exceeds the number of training samples. In order to overcome the
SSS problem, Chen et al.7 derived the most discriminant vectors from the null space
of the within-class scatter matrix by using the PCA and used these vectors rather
than the eigenvectors. Similarly, Yang et al.78 proposed an exponential discriminant
analysis technique to extract the most discriminant information that is contained in
the null space of the within-class scatter matrix and overcome the SSS problem.
Yang et al.83 proposed an optimization criterion for the LDA which employed gen-
eralized singular value decomposition. This criterion is applicable regardless of
whether the data dimension is larger than the number of training samples.
The algorithms of LDA89 usually perform well under the following two assump-
tions. The ¯rst assumption is that the global data structure is consistent with the
local data structure. The second assumption is that the input data classes are
Gaussian distributions. However, in real-world applications, these assumptions are
not always satis¯ed. Fan et al.12 proposed an improved LDA framework, the local
LDA (LLDA), which can perform well without the need to satisfy the above two
assumptions. The LLDA89 framework can e®ectively capture the local structure of
samples, as shown in Fig. 4, that according to di®erent types of local data structure,
the LLDA framework has several di®erent forms of linear feature extraction
approaches, such as the classical LDA, PCA, and general LLDA. Therefore, in a
sense, this algorithm framework is an adaptive feature extraction approach. This
algorithm needs to train only a small portion of the whole training set before testing a
sample. It is suitable for learning large-scale databases especially when the input data
dimensions are very high and can achieve high classi¯cation accuracy.
1356005-7
Fig. 4. LLDA.
Most previous work on dimensionality reduction and classi¯cation would ¯rst

transform the input image data into a 1D vector, which ignores the underlying data
structure and often leads to the curse of dimensionality dilemma and the small sample
size problem. Yan et al.80 investigate how to conduct discriminant analysis by encoding
an object as a general tensor of second or higher order (as shown in Fig. 5), which
maximizes the interclass scatter and at the same time minimizes the intraclass scatter
both measured in the tensor-based metric.53 Di®erent from the traditional subspace
learning criterion3,79 which derives only one subspace, in this approach multiple in-
terrelated subspaces are obtained through the optimization of the criterion where the
number of the subspaces is determined by the order of the feature tensor used.
The next category of improvement is the tensor-based LDA6,21,44,80 which has
attracted great interest in recent years. As tensor-based algorithms do not require
transforming the input data into the vectors in advance, they can usually avoid the
SSS problem and save the computational cost. Most of the above LDA approaches
only exploit a single linear transformation in a global coordinate system. They will
perform well under the condition that the data classes are Gaussian with equal
covariance structures.21 If the class distribution is more complex than Gaussian, they
may not obtain optimal transformations. In order to address this problem, previous
researchers,44,45 Kim and Kittler34 proposed a two-stage local LDA (LLDA) ap-
proach to deal with the nonlinear classi¯cation problems as follows: the input data
vectors are ¯rst clustered into c subsets using c-means clustering or Gaussian mixture
modeling of the input vectors, and then the classical LDA is performed on these
subsets. However, this approach also su®ers from the following di±culties: ¯rst, it is
Fig. 5. Tensor representation examples: Second- and third-order object representations.
1356005-8
hard to determine the number of subsets, and in general, this number should be
manually determined. Second, the e®ectiveness of the c-means clustering is closely
related to the initialization. As per Refs. 64 and 70, PCA has become one of the most
successful appearance-based approaches in face recognition, which is a popular un-
supervised statistical method to ¯nd useful image representation.
The discriminative methods, such as LDA, are better suited for classi¯cation
tasks. However, discriminative methods are usually sensitive to corruption in signals
due to lacking crucial properties for signal reconstruction. Huang and Aviyente24
present a theoretical framework for signal classi¯cation with sparse representation.
This approach combines the discrimination power of the discriminative methods
with the reconstruction property and the sparsity of the sparse representation that
enables one to deal with image corruptions: noise, missing data and outliers. How-
ever, multi-subspace setting uses sparse representation which have not been su±-
ciently explored or have not been answered yet.
In the holistic approaches, the PCA usually give high similarities indiscriminately
for two images from a single person or from two di®erent persons and the LDA is also
complex as there is a lot of within-class variation due to di®ering facial expressions,
head orientations, lighting conditions, etc. Compared to the PCA and LDA pro-
jections, wavelet subband coe±cients can e±ciently capture substantial facial fea-
tures while keeping computational complexity low. It is well known to all that
wavelet transform has a robust multi-resolution capability which accords well with
human visual system. Moreover, it provides a spatial and a frequential decomposi-
tion of an image simultaneously. Subsequently, an appropriate wavelet transform
can result in robust representations with regard to lighting changes. Though wavelet
coe±cients have been popularly applied in face recognition, some detailed problems
are still unfathomed, such as which subband is the best and powerful. Empirical
studies show that it is di±cult to give a rule to de¯ne a certain subband that
performs best, especially for the databases with faces in various conditions. When
there is a change in human face, some frequency components will be a®ected.
To overcome the above said problem, You et al.84,86 suggested to represent facial
features by discrete nontensor product wavelet, which is, the corresponding scaling
function and associated wavelet function cannot be written in the form of products of
one-dimensional ones, can reveal more features than that of the commonly used
tensor product wavelet transform. Compared with the traditional tensor product
wavelet, the new nontensor product wavelet can detect more singular facial features
in the high-frequency components. Earlier studies show that the high-frequency
components are sensitive to facial expression variations and minor occlusions, while
the low-frequency component is sensitive to illumination changes. Therefore, there
are two advantages of using the new nontensor product wavelet compared with the
traditional tensor product one. First, the low-frequency component is more robust to
the expression variations and minor occlusions, which indicates that it is more e±-
cient in facial feature representation. Second, the corresponding high-frequency
1356005-9
components are more robust to the illumination changes; subsequently it is more

powerful for classi¯cation as well. They proposed a novel method for constructing
nontensor product wavelet ¯lters. A new nontensor product bivariate wavelet ¯lter
banks with linear phase are constructed from the centrally symmetric matrices, and
they demonstrated that these ¯lter banks have a matrix factorization and they are
capable of describing the features of face image. The new nontensor product ¯lters
are suitable for the feature representation of face image. It also can capture infor-
mation by processing all orientations, rather than only three directions as the tensor
product wavelet does. Therefore, more singular information can be revealed by the
nontensor product wavelet than the tensor product one.
On considering the recent developments in automatic face recognition, which
ruins one of the most visible and challenging application domains of computer vi-
sion.88 In computer vision, we often have to learn from given sample images a task-
speci¯c dictionary; or we have to work with one that is not necessarily incoherent. As
a result, we need to extend the existing theory and algorithms for sparse represen-
tation to new scenarios. Wright et al.73 described that, Representation of a sample
with respect to an overcomplete dictionary is called as sparse representation (as
shown in Fig. 6) which should be sparse and linear. It is more concise and naturally
discriminative. The test sample can be represented as a linear combination of
training samples only from its class and this representation is naturally \sparse",
compared to the whole training samples. The author has also explored that the
representation can be recovered e±ciently via ‘ 1 -norm minimization. Thus seeking
the sparsest representation automatically discriminates di®erent classes in the
training set. Initial results in the theory of sparse representation have recently in-
spired signi¯cant progress on this di±cult problem, i.e. how to correctly choose the
basis for representing the data.73 The key idea is a cautious choice of dictionary:
representing the test signal as a sparse linear combination of the training signals
themselves. The approach to face recognition assumes access to well-aligned training
images of each subject, taken under varying illumination.
The problem becomes more interesting and more challenging if the identity of the
test sample is initially unknown. Wright et al.74 proposed also a sparse representa-
tion-based face recognition method that is simple yet achieves good performance
without a training set (unsupervised) and in the image restricted training setting.
Sparse coding can extract stable and discriminative face representations under
challenging variations. Unconventional features such as downsampled images and
random projections perform just as well as conventional features such as Eigenfaces
Fig. 6. Sparse representation.
1356005-10
and Laplacian faces, as long as the dimension of the feature space surpasses certain
threshold, predicted by the theory of sparse representation. This framework can
handle errors due to occlusion and corruption uniformly by exploiting the fact that
these errors are often sparse with respect to the standard (pixel) basis. The theory of
sparse representation helps predict how much occlusion the recognition algorithm
can handle and how to choose the training images to maximize robustness to oc-
clusion. This paper exploits the discriminative nature of sparse representation to
perform classi¯cation. Instead of using the generic dictionaries, they represent the
test sample in an over complete dictionary whose base elements are the training
samples themselves. If su±cient training samples are available from each class, it will
be possible to represent the test samples as a linear combination of just those training
samples from the same class. This representation is naturally sparse, involving only a
small fraction of the overall training database. Seeking the sparsest representation
therefore automatically discriminates between the various classes present in the
training set. And they also proved that sparse representation provides a simple and
surprisingly e®ective means of rejecting invalid test samples not arising from any
class in the training database: these samples' sparsest representations tend to involve
many dictionary elements, spanning multiple classes. Recent research on manifold
learning46 shows that a sparse graph characterizing locality relation can convey the
valuable information for classi¯cation. Also for large-scale applications, a sparse
graph is the inevitable choice due to storage limitations.
4.2. Hybrid approaches

Hybrid approaches use both holistic and local features.9 The concept of eigenfaces
can be extended to eigen features, such as eigen eyes, eigen mouth, etc. Since most
feature extraction methods have no special requirement on the input feature, it is
reasonable to combine it with feature design procedure in order to seek more e®ective
face representation. Recently, a few methods fusing diverse features have received
much attention, such as di®erent frequency bands,75,76 features in multiple scales,47
global and local features,41 and fusion of Gabor and LBP.75 Considering that the two
parts of Gabor feature (i.e. magnitude and phase) are complementary for face rec-
ognition, some approaches based on their fusion have been proposed, such as com-
bining the weak classi¯ers constructed respectively based on magnitude and phase
features,65 the weighted Gabor complex features and the enhanced local Gabor bi-
nary patterns.54 In these works, however, notice that the phase-based approaches
usually achieve worse results than those using magnitude. The reason might be the
sensitivity of phase to the varying positions, which leads to severe problems when
matching two face images with slight misalignment. To overcome these drawbacks,
Xie et al.75 proposed a new methodology in face representation. The main contri-
bution of their paper lies in two aspects: the LGXP descriptor for Gabor phase
encoding and its fusion with local patterns of Gabor magnitude by BFLD. Speci¯-
cally, the LGXP61 descriptor is de¯ned on Gabor phase part with XOR-based local
1356005-11
operator. The face representation based on Gabor wavelet has been well known as
one of the most successful methods.30 To reduce the high dimensionality of LGXP
descriptor, block-based Fisher's linear discriminant (BFLD) was proposed to extract
the discriminative low-dimensional features. The BFLD method is borrowed from
the previous work in Refs. 41 and 59, which divides the entire feature set into many
feature segments and applies FLD to each segment. Finally, by using BFLD, fuse
local patterns of Gabor magnitude and phase to utilize their complementary infor-
mation for face recognition. Brie°y speaking, for each face image, the SSS problem is
greatly weakened since the dimensionality of the input feature for each FLD is much
lower which in turn increase the recognition accuracy. However, the BFLD method is
very sensitive to facial changes. Therefore, global features extracted from the whole
image fail to cope with these variations. To address these problems, Chowdhury
et al.9 proposed a novel method, in which face images are divided into a number of
nonoverlapping sub-images and then G-2DFLD method is applied to each of these
sub-images as well as to the whole image to extract local and global discriminant
features, respectively. The G-2DFLD method is found to be superior to other ap-
pearance-based methods for feature extraction. All these extracted local and global
discriminant features are then fused to get a large feature vector, which may com-
plement their discriminative power. The fused feature vector is then further pro-
cessed to get lower dimensional feature vector. Its dimensionality is then reduced by
the PCA technique to decrease overall complexity of the system.
Thus holistic approaches represent global information of faces; the disadvantage
of this approach is the variances captured may not be relevant features of the face.
Therefore, one advantage of using feature-based approaches is that they attempt to
precisely capture relevant features from face images. In the next section, we shall
discuss feature-based approaches, which use a priori information to uniquely rec-
ognize persons by their facial features.
5. Feature-Based Face Recognition

Feature-based face recognition uses a priori information or local features of faces to
select a number of features to exclusively identify individuals. Local features include
the eyes, nose, mouth, chin and head outline, which are selected from face images.
Topological graphs are used to represent relations between features, and a simple
deterministic graph-matching scheme that exploits the basic structure is used to
distinguish familiar faces from a database.
Wiskott et al.72 describes Elastic Bunch Graph Matching algorithm which recog-
nizes faces by matching the probe set represented as the input face graphs, to the
gallery set that is represented as the model face graph. Fundamental to the Elastic
Bunch Graph Matching is the concept of nodes. Essentially, each node of the input
face graph is represented by a speci¯c feature point of the face. For example, a node
represents an eye and another node represents the nose and the concept continues for
representing the other face features. Therefore, the nodes for the input face graph are
1356005-12
Fig. 7. Face topological graph.
interconnected to form a graph-like data structure which is ¯tted to the shape of the
face as illustrated in Fig. 7.
An improvement to the Elastic Bunch Graph Matching method was proposed by
Kalocsai et al.31 In their investigation, they explored the e®ect of weighting Gabor
kernels to improve face recognition, where 40 Gabor kernels were produced from 48
feature points of the face. They found from using a dataset of Caucasian faces that
the most discriminatory face features were situated around the forehead and eyes. In
contrast, the least discriminatory face features were the mouth, nose, cheeks and the
lower outline of the face. They concluded the highest weighted kernels would provide
a more compact representation of faces and achieve higher recognition rates by using
the highest weighted kernels as compared to the lowest weighted kernels. Hjelmas23
introduced a gabor features for robust face recognition. According to his algorithm,
for the processing of face image (either for training or testing), the image was ¯ltered
with a set of Gabor ¯lters23 and multiply the ¯ltered image with a 2D Gaussian to
focus on the center of the face, and avoid extracting features at the face contour. This
Gabor ¯ltered and Gaussian weighted image is then searched for peaks, which are
de¯ned as interesting feature points for face recognition. At each peak, a feature
vector is extracted consisting of gabor coe±cients and also store the location and
class label. A visualized example from the testing algorithm is shown in Fig. 8.
Ramesha et al.56 proposed feature extraction-based face recognition with only
small training sets and it yields good results even with one image per person. The
geometric features of facial images like eyes, nose, mouth, etc. are located by using
canny edge operator and face recognition is performed. The geometric features from a
facial image are obtained based on the symmetry of human faces and the variation of
gray levels as shown in Fig. 9. Canny edge detection ¯nds edge by looking for local
maxima of the gradient of fðx; yÞ. In feature extraction, a combination of global and
grid features are used to extract features.
Klarea and Jain36 present a local feature-based method for matching the facial
sketch images to face photographs, which is the ¯rst known feature-based method for
performing such matching. The method proposed by the author di®ers signi¯cantly
from published approaches, which use a local feature-based representation to com-
pare sketches and photos. In order to compare the similarity between a sketch and a
photo, the author ¯rst represents each image using a SIFT-based feature descriptor
at uniformly sampled patches across the face. SIFT-based object matching is
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(a) Original image (b) Gabor ¯ltered image (c) 2-D Gaussian
(d) Gabor* Gaussian (e) Located feature points
Fig. 8. Example of the face recognition procedure.
a popular method for ¯nding correspondences between images. This method is

not concerned with the interest point detection aspect of the SIFT framework,
but instead utilizes only the gradient-based feature descriptors (known as SIFT-
features). Many such features can be computed from a single image by sampling the
SIFT feature vectors from the face image uniformly. The sampling scheme using
SIFT with the window size of 16 and 32 is shown in Fig. 11. Common Representation
Matching is based on the assumption that if a given query sketch image contains
similar feature values to that of a sketch image in the training set, then a photo of the
same query subject will also contain similar values to the corresponding photo in the
dictionary. The common representation presented here is a generic method for
matching across image domains. However, other problems involving matching across
image domains may not have an image descriptor that is largely invariant to the
change of the domains.
Shen and Bai61 proposed a novel Gabor-Kernel face recognition method. This
involves convolving a face image with a series of Gabor wavelets at di®erent scales,
Fig. 9. Canny edge.
1356005-14
Fig. 10. Example of corresponding sketch photo.
(a) (b) (c)
Fig. 11. The SIFT sampling scheme. (a) The solid window. (b) and (c) Sampling the face with window
size s ¼ 16 and 32.
locations, and orientations. Signi¯cant improvements are also observed when the
Gabor ¯ltered images (as shown in Fig. 12) are used for feature extraction instead of
the original images. Gabor wavelets can be applied locally to extract local image
features, or applied to the whole image through a convolution/¯ltering process,
resulting in Gabor ¯ltered images. The e®ect of ¯ltering an image is to break down
the image content to di®erent scales, locations, and orientations that can be
extracted e®ectively for recognition. This method is robust to variations in both
illumination and facial expression. The robustness and discrimination ability was
improved by using the Gabor feature vectors. The performance of this type of
methods could be further improved by using Mahalanobis distance measure and the
Nearest Feature Line classi¯er80 and for di®erent databases. Figure 10 shows an
example of a corresponding sketch photo.
Xu et al.76 proposed a novel shape-based feature extraction technique for face
recognition. Unlike holistic face recognition algorithms, the feature-based algorithm is
relatively robust to variations of face expressions, illumination and pose due to in-
variance of its facial feature vector.16 Since shape-based facial features are relatively
Fig. 12. Gabor ¯ltered image.
1356005-15
robust to scale, noise, light, and pose variations, shape features are used as major
features in the face representation. In this approach, the majority of features based on
the coordinate made by the reference points, must not be in deformable parts of a
face; therefore, they will be able to survive variations due to facial expression. The
appearance-based approach to face detection has seen great advances in the last
several years. In this approach, one can learn the image statistics describing the
texture pattern (appearance) of the object class one want to detect, e.g. the face.
However, this approach has had limited success in providing an accurate and
detailed description of the internal facial features, i.e. eyes, brows, nose, and mouth.
In general, this is due to the limited information carried by the learned statistical
model. While the face template is relatively rich in texture, facial features do not
carry enough discriminative information to tell them apart from all possible back-
ground images. This problem can be resolved by adding the context information of
each facial feature in the design of the statistical model. The algorithm is proposed by
Ding and Martinez.11 Learning to discriminate between similar classes is, however, a
challenging task, especially when the within-class variability is large. To resolve this
problem, we have taken advantage of the idea of subclass divisions. The context
information de¯nes the image statistics most correlated with the surroundings of
each facial component. Learning to discriminate between feature and context tem-
plates is di±cult, however, because the context and the texture of the facial features
vary widely under changing expression, pose, and illumination, and may even re-
semble one another. The author addressed this problem with the use of subclass
divisions. Each of the subclasses de¯nes a di®erent con¯guration of the feature or
context (e.g. open versus closed eyes). In the appearance-based approach, the
dimensions of the feature space correspond to the brightness of each of the pixels of
the image. Here, only three dimensions, representing the ones with largest variance,
are shown for illustration as in Fig. 13. The authors have shown 97.1% recognition
accuracy for the feature size of 50.
Intensity-based approaches such as template matching or eigen value analysis are
sensitive to changes in intensity which might be caused by local distortions and
changes in viewing angle as well as translation.66 Feature-based techniques are
usually computationally more expensive than template-based techniques, but are
more robust to variation in scale, size, head orientation, and location of the face in an
image. The geometrical feature-based approach performs successfully in accurate
facial feature detection scheme. However, it remains limited applications because of
its di±cult implementation and its unreliability in some cases. Most face recognition
approaches require a prior training where a given distribution of faces is assumed to
further predict the identity of test faces. Such an approach may experience di±culty
in identifying faces belonging to distributions di®erent from the one provided during
the training. A face recognition technique that performs well regardless of training is,
therefore, interesting to consider as a basis of more sophisticated methods. Chiachia
et al.8 in their work they applied a Census Transform (CT) to extract the basic
1356005-16
Fig. 13. The features (e.g. eyes) and their context are divided into subclasses.
features from the images. This technique has been successfully employed in many
practical applications, leading to a fast structural representation of the faces. The
illumination variance mitigation is also one of its advantages. Di®erent from linear
transforms, the CT is not related to intensity or similarity. Based on a scanning and
overlapping window which computes local histograms from census features, the
method performs a straight face feature extraction and matching. Despite being
e®ective, no training is required. A Census Histogram (CH) is a histogram built from
Census Features and expresses the structure kernel distribution. Some bene¯ts of
working with histograms are computation e±ciency and noise robustness. However,
as histograms do not have the ability to encode spatial information, a way to capture
such an aspect is to compute them from smaller image regions whose locations are
preserved. With this simple technique, 97.2% of the faces in the FERET datasets
were correctly recognized. In the next generation of computer vision, 3D face re-
construction is a popular area. 3D face reconstruction should ideally be achieved
easily and cost-e®ectively, without requiring specialized equipment to estimate 3D
shapes. As a result of this, many techniques for retrieving 3D shapes from 2D images
have been proposed. Lee et al.43 proposed a novel method for 3D face reconstruction
based on photometric stereo, which estimates the surface normal from shading in-
formation in multiple images, hence recovering the 3D shape of a face, is proposed. In
order to overcome the problems of previous approaches related to prior-knowledge
regarding lighting conditions and iterative algorithms, the exemplar is synthesized
1356005-17
with known lighting conditions from at least three images, under arbitrary lighting
conditions and using an illumination-reference.
6. Soft Computing-Based Face Recognition

Soft computing techniques (arti¯cial neural networks, fuzzy logic and GAs) have
emerged as an important methodology for analysis in computer vision research.2
Arti¯cial neural network is a powerful tool to resolve the nonlinearity imposed by
di®erent constraints.21,44 Similarly, fuzzy logic85,87 is used for modeling human
thinking and perception.49 It is well established that the e®ectiveness of human brain
is not only from precise cognition, but also from analysis based on fuzzy set and fuzzy
logic. Uncertainty is always involved in real application constraints and this is a
common problem in pattern recognition. Analysis based on fuzzy logic has proved to
generate substantial improvement in pattern recognition results.4,42 GA is a powerful
search and optimization algorithm, which are based on the theory of natural evo-
lution. GA is e±cient in reducing computation time for a huge heap space. Face
recognition from a very huge heap space is a time consuming task hence GA-based
approach is used to recognize the unidenti¯ed image within a short span of time. GA
are used when user has no time or less time for giving results without going for check
related to each database face. Feature extraction along with GA will prove better for
quicker face recognition.
6.1. ANN-based approaches

The neural networks are among the most successful decision-making systems which
can be trained to perform complex functions in various ¯elds of applications in-
cluding pattern recognition, optimization, identi¯cation and classi¯cation. There are
methods which perform feature extraction using neural networks. For example,
Intrator et al.27 proposed a hybrid or semi-supervised method. They combined un-
supervised methods for extracting features and supervised methods for ¯nding fea-
tures to reduce classi¯cation error. They used feed-forward neural networks (FFNN)
for classi¯cation. However, it is more time consuming than the simple method.
Weng et al.71 made use of a hierarchical neural network which was grown auto-
matically and not trained on the traditional gradient descent method. They reported
good results on a database of 10 subjects. Lawrence et al.42 reported a 96.2% recog-
nition rate on the ORL database (a database of 400 images of 40 individuals) using a
hybrid neural network solution which combines local image sampling, a self-organizing
map5,71 neural network (which provides dimensionality reduction and invariance to
small changes in the image sample), and a convolutional neural network (which pro-
vides partial invariance to translation, rotation, scale and deformation). The eigenfaces
method67 produced 89.5% recognition accuracy on the same data. Replacing the self-
organizing map by the KarhunenLoeve transform and the convolutional network by
a multi-layer perceptron resulted in a recognition rate of 94.7% and 60%, respectively.
1356005-18
Agarwal et al.1 proposed that face is a complex multidimensional visual model

and developing a computational model for face recognition is di±cult. They have
used Feed Forward Back Propagation Neural Network for recognition of faces. An
unsupervised pattern recognition scheme is independent of excessive geometry and
computation. Further ANN was used for classi¯cation. Neural Network concept is
used because of its ability to learn from observed data. ANN-based method is in-
dependent of any error judgment of features. Lawrence et al.42 used self-organizing
map neural network and convolutional networks for face recognition. Self-organizing
maps (SOM)38 are used to project the data in a lower dimensional space and a
convolutional neural network (CNN) for partial translation and deformation in-
variance. The SOM seems to be computationally costly and can be substituted by a
PCA without loss of accuracy. The Eigenface algorithm involves large computations
and requires large computer storage capability when computing covariance matrix of
face image. Besides, eigenface method gives the same weight to each pixel in one
image. This will alleviate important information while overrate certain unimportant
information. In Ref. 87, a new algorithm that combined weighted eigenface and BP
networks was proposed. This method has less computational complexity, higher
recognition rate and is more robust than traditional appearance-based method.
Weighted eigenface algorithm reduces computational complexity, increases the rec-
ognition rate by assigning di®erent weights to di®erent parts of human face
according to each importance in human face recognition. Adaptive learning step
algorithm adjusts BP neural network (BPNN) to jump out of local optimization,
reduces learning time and expedites convergence speed.
To lessen the iteration count of BPNN, Khatun and Al-Amin Bhuiyan33 proposed
a research paper which suggests a hybrid neural network solution for face recognition
trained with Gabor features. Face recognition is achieved by employing a hybrid
neural network, consisting of two networks, (i) Bidirectional Associative Memory
(BAM) for dimensional reduction of the feature matrix to make the recognition faster
and more e±cient, and (ii) Multilayer perceptron with back propagation algorithm
for training the network. As shown in Fig. 14, the ¯rst layer, called Gabor layer,
receives the Gabor features. The number of nodes in this layer is, obviously equal to
the dimension of the feature vector incorporating the Gabor features. The number of
nodes in the output layer equals to the number of individual faces the network is
required to recognize. The process involves convolving a face image with a series
of Gabor ¯lter coe±cients at di®erent scales and orientations. Despite robustness,
Gabor ¯lter-based feature selection methods13 are normally computationally ex-
pensive due to high-dimensional Gabor features. The important issue in the design of
Gabor ¯lters for face recognition is the choice of ¯lter parameters. Thus a neural
network-based face recognition system using Gabor ¯lter coe±cients can readily cope
up with illumination changes. Figure 15 shows the results for a typical face image.
The outputs of the Gabor ¯lters were used to train the neural network. Another
important algorithm in ANN is a Back propagation, which is a feed forward
1356005-19
Fig. 14. Hybrid neural network.
supervised learning network.87 The general idea with the back propagation algorithm
is to use gradient descent to update the weights to minimize the squared error
between the network output values and the target output values. Thus the network
achieves higher recognition rate and better classi¯cation e±ciency when the feature
vectors have low dimensions. Application of a hybrid network (BAM and BPNN)
rather than BPNN takes less iteration to train and less time to recognize faces.
Recently, Jing and Zhang29 proposed an approach in which a similarity function is
learned describing the level of con¯dence that two images belong to the same person,
similar to Ref. 48. The facial features are selected by obtaining local binary pattern
(LBP)54 histograms of the sub-regions of the face image and the Chi-square distances
Fig. 15. Gabor ¯lter response of a typical face image.
1356005-20
between the corresponding LBP histograms are chosen as the discriminative features.
The AdaBoost learning algorithm, introduced by Freund and Schapire,14 is then
applied to select the most e±cient LBP features as well as to obtain the similarity
function in the form of a linear combination of LBP feature-based weak learners.
6.2. Fuzzy-based approaches

The linear algorithms like PCA, LDA and ICA project data linearly from high-
dimensional image space to a low-dimensional subspace. Since the entire image space
along with constraints is highly nonlinear, the variations cannot be unambiguously
preserved to di®erentiate among di®erent classes. Due to this, the linear methods
fail to achieve high face recognition accuracy. Vishwakarma et al.68 described a new
approach to information extraction based on fuzzy logic, which can be used for
robust face recognition system. Fuzzi¯cation operation can be applied to extract the
pixel-wise association of face images to di®erent classes. The fuzzi¯cation operation
uses membership function to obtain the degree of belonging of a particular pixel to
all classes.17,18 The above said algorithm, which utilizes the power of fuzzy logic, is
exploiting the fuzzy k-nearest neighbor classi¯cation1 in order to incorporate the
bene¯t of fuzzy logic in their approach.81 Kwak and Pedrycz40 gave a generalized
version of Fisherface approach for face recognition by incorporating the re¯ned in-
formation of class membership of the binary labeled faces. The Fisherface method is
relatively insensitive to substantial variations in light direction, face pose, and facial
expression. They used ¯rst PCA for feature extraction and dimension reduction and
then on features transformed by PCA, fuzzy k-nearest neighbor classi¯cation is used
to ¯nd suitable scatter matrices.40 Similar concept is used by Yang et al.81 with
integration of discriminative information present in the null space of the fuzzy within
class scatter matrix. The new approach to fuzzy-based pixel-wise information ex-
traction for face recognition evokes pixel-wise information of face images for di®erent
classes to reduce classi¯cation error. The work of Kwak and Pedrycz40 concerned
with Fisherface method based on four sub image sets decomposed by wavelets. The
fusion of the individual classi¯ers is realized through fuzzy integration with fuzzy
integral being employed in this construct.37 First they perform the wavelet decom-
position for the training image set to extract the intrinsic features of the patterns.
Use the Fisherface method combining PCA with LDA for the decomposed four sub
image sets, thus based on the distance information, generated the membership
grades, The recognition is concerned with the aggregation of the individual classi¯ers
by means of the fuzzy integral. Both Sugeno and Choquet type of fuzzy integral are
considered as the aggregation method. Kwak and Pedrycz39 in his other paper,
proposed a Fuzzy LDA, which has been one of the e®ective algorithms due to its
power of extracting the most discriminatory features. However, the most existing
LDA-based algorithms are employed to dwell on the concept of a binary (yes/no)
class assignment meaning that the samples are assigned to the given classes de¯-
nitely. Evidently, as the samples are signi¯cantly a®ected by illumination,
1356005-21
Fig. 16. Fisherface obtained by the fuzzy Fisherface method.
expression, etc., it is advantageous to investigate these factors and quantify their

impact on their \internal" class assignment. The question arises as to further
improvements of the approach. A certain alternative that emerges is concerned with
more \sophisticated" usage of class assignment of patterns (faces). In particular, we
may envision some possibilities to re¯nement of classi¯cation results so that they
could a®ect the within-class and between-class scatter matrices and enhance the
performance of the classi¯er. Therefore, based on this fact, fuzzy membership grade
and each class center have been obtained through the FKNN32 algorithm. Figure 16
shows some of the Fisherface image obtained by the fuzzy Fisherface method.
Song et al.63 suggested a kernel-based fuzzy support vector machine (FSVM),
represented with the fuzzy membership function while realizing the same classi¯cation
results with that of the conventional pairwise classi¯cation. It outperforms other
learning machines especially when unclassi¯able regions still remain in those con-
ventional classi¯ers. However, a serious drawback of FSVM is that the computation
requirement increases rapidly with the increase of the number of classes and training
sample size.
To address this problem, proposed an improved FSVM method that combines the
advantages of FSVM and decision tree, called DT-FSVM. Furthermore, in the
process of feature extraction, a reformative F-LDA algorithm based on the fuzzy
k-nearest neighbors is implemented to achieve the distribution information of each
original sample represented with fuzzy membership grade, which is incorporated into
the rede¯nition of the scatter matrices. Thus, the classi¯cation limitation from the
outlier samples is e®ectively alleviated.
LDA is a simple but widely used algorithm in the area of pattern recognition.
However, it has some shortcomings in that it is sensitive to outliers and limited to
linearly separable cases. To solve these problems, Heo and Gader22 proposed a paper,
a nonlinear robust variant of LDA, called robust kernel fuzzy discriminant analysis
(RKFDA). RKFDA uses fuzzy memberships to reduce the e®ect of outliers and
adopts kernel methods to accommodate nonlinearly separable cases. RKFDA,
memberships are calculated based on reconstruction errors in the feature space, was
proved to be useful in calculating memberships in a robust way. Although RKFDA is
better than existing methods, it might be improved further with another membership
calculation method. The reconstruction error used in their paper assumes that data
1356005-22
have a Gaussian distribution in the feature space. Therefore, the assumption can be a
problem if data do not follow a Gaussian distribution in the feature space. A di®erent
membership calculation method that does not assume any data distribution may
improve the performance of RKFDA. Another way of improvement may be achieved
by incorporating regularization and kernel learning into RKFDA.
6.3. GA-based approaches

GA is a powerful stochastic search method and optimization algorithm,8 which is
based on the theory of natural evolution. In GA, each solution for the problem is
called a chromosome and consists of a linear list of codes. It uses a directed search
algorithms based on the mechanics of biological evolution such as inheritance, mu-
tation, natural selection, and recombination (or crossover). It is a heuristic method
that uses the idea of survival of the ¯ttest. The algorithm starts with an initial set of
random solutions called population. Each individual in the population, known as
chromosome, represents a particular solution of the problem. Each chromosome is
assigned a ¯tness value depending on how good its solution of the problem. Each
chromosome is assigned a ¯tness value depending among how good its solution to the
problem is after the ¯tness allotment, the natural selection is executed and the
survival of the ¯ttest chromosome can prepare to breed for the next generation. A
new population is then generated by means of genetic operations: crossover and
mutation. This evolution process is iterated until near-optimal solution is obtained or
a given number of generations are reached. GAs are more versatile in comparison to
other optimization procedures, because they work with the coded parameters and
they also optimize using a population of solutions and not a single solution. In
comparison, to other optimization techniques used for ¯lter design for face recogni-
tion like gradient descent technique, hill climbing procedure and simulated anneal-
ing, the GAs are found to perform better.
Jing and Zhang29 proposed an approach that uses a combination of linear clas-
si¯ers is applied to face recognition. They proposed a novel criterion for the com-
bination, the maximum complementariness criterion, which is used to construct the
¯tness function for a GA. A GA is then used to generate the rational weights for the
classi¯ers. Sinha and Singh62 described a method using the breeder genetic algorithm
(BGA) to design a composite wavelet matched ¯lter (CWMF) for face recognition.
The designed ¯lter can be used in an optical correlator to separate two classes of
input face images. Mexican hat and Morlet wavelets have been used for the design of
the ¯lter. The Mexican hat wavelet function and the Morlet wavelet are the most
widely used wavelets because their Fourier spectra are real valued and symmetrical.
Mexican hat wavelet is well known as the Laplacian operator. It is the second
derivative of the Gaussian function. Wavelet matched ¯lters were proposed to
combine the matched ¯ltering operation with the wavelet ¯ltering operation. These
¯lters perform the wavelet transform to enhance the signi¯cant features of the images
and then correlate the wavelet transform coe±cients. Wavelet matched ¯ltering
1356005-23
improves the discrimination capability of the conventional matched ¯lter against

unknown objects. A CWMF can be formed by using a linear combination of wavelets
and matched ¯lters. It is found that GAs show a much faster convergence to the
optimal solution with a very high discrimination.82 The BGA is a modi¯ed version of
the GA. The di®erence between the GA and the BGA is in the method of selection
of the parents for the generation of o®springs. BGA uses arti¯cial selection, inspired
by the science of breeding animals, in which only the top T% of the ¯ttest individuals
are selected as parents to produce the next generation.
Perez et al.55 proposed a methodological improvement to increase face recognition
rate by selection of Gabor jets using entropy and GAs. This selection of jets addi-
tionally allows faster processing for real-time face recognition. Because of the high
classi¯cation rate and reduced computational time, one of the best methods for face
recognition is based on Gabor jet feature extraction and Borda count classi¯cation.
In Ref. 19, Gabor feature selection is performed with di®erent methods including
GAs.20,51 Using this GA method, the 15 most relevant coordinates for Gabor features
are selected and the ¯tness function is the recognition performance. In a recently
published review of Gabor wavelet methods for face recognition,58 research based on
Gabor Wavelets is presented, compared and ranked. The method with highest
overall performance is LMG. In this paper, the authors proposed several improve-
ments to the LMG method90 based on Gabor jets selection and Borda count en-
hancement. Entropy is proposed as a tool to select jets that provide maximum
information about the face. The goal is to ¯nd those jets with the highest entropy
because they provide information about what di®ers from one face to another.
Conversely, those jets with low entropy among di®erent face images do not provide
information to di®erentiate faces, and they therefore act as noisy inputs to the
classi¯cation module. The largest improvement by a single proposed method was
with entropy jet selection that reduced the total number of errors in face recognition.
Melin et al.50 proposed a new approach to genetic optimization of modular neural
networks (MNN) with fuzzy response integration. The architecture of the MNN and
the structure of the fuzzy system (for response integration) are designed using GAs.
The MNN consists of three modules, and each module is divided into another three
submodules. Each submodule contains di®erent information. Fuzzy logic is used for
response integration in the MNN. GAs are used for parameter optimization because
they are a good tool to ¯nd the best parameters of di®erent kinds of models; in this
paper, two GAs were developed, the ¯rst GA is responsible for the optimization of
the parameters in the modular neural network, and the second GA is responsible for
the optimization of the fuzzy system's structure.
The ¯nal GA developed for the fuzzy integrators has the ability to adjust the type
of membership functions adjust the number of membership functions, and creates the
fuzzy rules, which includes choosing the type of fuzzy logic. The proposed method was
applied to the case of human recognition based on the iris, ear and face biometric
measures. The MNN consists of three modules, one for each biometric measure and
each module is divided into another three sub modules. Each sub module contains
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Fig. 17. Architecture of the MNN for person recognition.
di®erent information, which is, one third of the complete database of the corre-
sponding measure. The idea of dividing the biometric databases is to improve the
performance of the MNN by the divide and conquer principle. The architecture of the
modular neural network for person recognition is shown in Fig. 17. Thus, GA has been
shown to be an e®ective method for feature selection. It is a robust technique and can
work in a large database.
7. Discussion and Conclusion

The proposed paper brie°y discussed a critical survey of existing literature on human
and machine recognition of faces. Table 1 provides the general performance of the
face recognition approaches. Appearance-based approaches attempt to recognize
faces using global representations, i.e. descriptions based on the entire image rather
than on local features of the face. The main advantage of the holistic approaches is
that they do not obliterate any of the information in the images by focussing on only
limited regions. However, as mentioned above, this same property is their utmost
drawback, too, since most of these approaches start out with the basic assumption
that all the pixels in the image are equally important. Subsequently, these techniques
are not only computationally expensive but require a high degree of correlation
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Table 1. General performance of face recognition approaches.

Factors Appearance Based Feature Based Soft Computing Based
Normalized recog- 93.87% 95.06% 89.70%

nition rate
Databases used . FERET (14 126 images of . FERET (14,126 of 1199 . ORL (400
1,199 subjects) subjects) images of 40 indi-
. Yale B DB (5760 of 10 . Yale DB (165 of 11 viduals)
subjects) subjects) . YALE DB (165 of
. AT&T (400 images of 40) . AR database (3030 of 15 subjects)
. ORL (400 images of 40 126 individuals . CMU (75 images of
subjects) 13 subject)
. UMIST (575 of 20 subjects)
Features extracted KLT coe±cients, Eigen faces, Local features, Elastic Principal components
DCT , DFT coe±cients Bunch graph, Gabor and facial features
coe±cients, SIFT fea-
tures, Face Feature
lines, Topological
graphs, kernel features
Issues handled Pose variations, facial expres- Di®erent Illumination con- Di®erent Illumination
sions, various lighting ditions, scaling, Aging conditions, scaling,
conditions and Low e®ects, facial expres- facial expressions
resolution sions, face occlusions
and noisy images
Merits . Dimensionality reduction, . Attempt to accurately . Processed with
represent global informa- capture relevant fea- larger size
tion and tures from face images Features
. Better recognition results . Insensitivity to face ori-
entation, size and vari-
able lighting conditions
Demerits . variances captured may . Selected features con- . Computationally

not be relevant features of tain inaccurate Loca- expensive and re-
the face tions quire a high degree
. sensitivity to face orienta- . Di±culty of automatic of correlation be-
tion, size ,lighting condi- feature detection tween the test and
tions & noise training images
between the test and training images, and do not perform e®ectively under large
variations in pose, scale and illumination, etc.
Feature-based approaches ¯rst process the input image to identify and extract
unique facial features such as the eyes, mouth, nose, etc. and then compute the
geometric relationships among those facial points, thus tumbling the input facial
image to a vector of geometric features. Standard statistical pattern recognition
techniques are then employed to match faces using these measurements. The main
advantage obtained by the featured-based techniques is that since the extraction of
the feature points precedes the analysis done for matching the image to that of a
known individual, such methods are relatively robust to position variations in the
1356005-26
input image. In principle, feature-based schemes can be made invariant to size,

orientation and/or lighting. Other bene¯ts of these schemes include the compact-
ness of representation of the face images and high speed matching. The major
shortcoming of these approaches is the di±culty of automatic feature detection and
the fact that the implementer of any of these techniques has to make arbitrary
decisions about which features are important.
Soft Computing-based approaches utilize tools such as neural networks and
machine learning techniques to recognize faces. This approach will improve the
processing speed of the face recognition system. The neural network will be trained
on various ideal and noisy input images of faces repeatedly, thus making the system
robust to any external disturbances. The hybrid neural network and GA approach
for face recognition is found to be more e±cient than the existing digital image
processing techniques.
Table 2 shows the performance of recent appearance-based methods such as,
PCA, LDA, ICA, LLDA, KPCA and Tensor-based LDA, Nontensor wavelet and
sparse representation. The kernel PCA method using SVM classi¯er enables
higher recognition rate at the expense of complexity. The normalized recognition
rate of these methods is around 94%. A comparison of these methods also has
been made and shown in Table 1. Similarly Table 3 shows details pertaining to
feature-based methods such as, EBGM, Geometric feature extraction, SIFT
&MLBP, Gabor-KDA, Fusing LGP with BFLD and CT-SVM. In these cases,
higher rate of recognition is possible only by SIFT& MLBP. The normalized
recognition rate of the feature-based method is slightly superior to the appear-
ance-based methods (around 95%). Table 4 provides the mixture of soft com-
puting-based methods like ANN, HNN with Gabor, SOM-CNN, RBF, Fuzzy
LDA, Fuzzy Fisherface, Breeder GA and Genetic optimization. Among these
methods, Gabor jet with Borda count classi¯cation produced a higher recognition
rate in a lower computational time. The normalized recognition rate of these
methods is around 90%. The tables also provide pros and cons of each technique
along with remarks on these methods.
The most important step in face recognition is the ability to evaluate existing
methods and provide new directions on the basis of these evaluations. The images
used in the evaluation should be derived from real-time situations, similar to those
in which the recognition system is expected to be installed. All the discussions so
far have focused on recognizing faces from still images. Research has been con-
ducted forcefully in this area for the past four decades or so, and though massive
progress has been made, encouraging results have been obtained and current face
recognition systems have reached a certain degree of maturity when functioning
under constrained conditions; however, they are far from achieving the ideal of
being able to perform su±ciently in all the various situations that are commonly
encountered by applications utilizing these techniques in practical life.
1356005-27
Table 2. Performance of appearance-based methods.

Recognition
Methods Advantages Disadvantages Rate Remarks
Subclass dis- – E±cient technique of Techniques e®ectively 98.7% Recognition rate is re-
criminant dimension reduction see only the Euclid- duced for less no. of
analysis – This allows the high- ean structure and training images
dimension data to be fail to discover the
represented by lower underlying structure
dimension data if the face images lie
– Reducing the com- on a nonlinear sub
plexity of grouping manifold in the
the images image space
PCA49 Reduces dimensionality Class seperability re- 70% Applicable only in low-
main same dimensional subspace
LDA49 Reduce dimensionality Need large training set 88% Gives better results
Increase class Complex as there is a only for Gaussian
seperability lot of within-class distribution
variation
Local LDA78 – E®ectively capture – Global data structure 98.7% (K is Recognition rate is re-
the local structure of should be consistent small) duced for large values
samples with the local data of K
– It is suitable for structure
learning large-scale – Low recognition
databases accuracy for large
value of nearest
neighbours
Kernel – Compute the dotpro- – High computational 99.05% —
PCA þ ducts in the original complexity
SVM25 low-dimensional
input space by means
of a kernel function
– Higher accuracy out
of lower principal
components number.
Nontensor – Detect more singular Lower the feature size, 98.2% Recognition rate is
product facial features in the recognition rate (100 reduced when the
wavelet the high-frequency reduced feature feature size is lower
þ SVM84 components size)
– High-frequency com-
ponents are more ro-
bust to the
illumination changes
Sparse repre- – Simple, unsupervised However, the number of 98.3% Extrapolation in pose
sentation method training samples re- will require integrat-
classi¯ca- – Deal with image cor- quired to directly ing feature matching
tion74 ruptions represent the distri- techniques into the
– Maximize robustness bution of face ima- computation of the
to occlusion ges under varying sparse representation
pose may be pro- of the test image.
hibitively large.
1356005-28
Table 3. Performance of feature-based methods.

Recognition
EBGM72 Greater accuracy in Lower recognition rate at 98% Can use high level
identifying indi- severe scenario topological infor-
viduals mation to describe
the nodes of the
model face graph
Geometric Detect the features – Sensitive to lighting and 96.4% —
feature e±ciently expression variations
extraction10 even in severe – Computational time
scenario is high
SIFT þ MLBP36 Age-invariant and – It fails when encounters 99.73% Makes use of alter-
pose invariant large pose changes nate image fea-
face recognition tures may
technique increase the rec-
Simple local feature ognition rate
based compact
representation
Gabor- KDA61 Robust to variations – Discrimination power is 92% (35 Used only limited
in both illumi- low for linear kernel features) parameters of
nation and facial analysis Gabor ¯lters/
expression NFL classi¯ers
Achieves high dis-
criminative
features
Fusing local – Improve the clas- – Higher complexity, 99% Exploit better statis-
Gabor pat- si¯cation accura- – Gabor embodies more tical fusion
terns with cy discriminating power schemes
BFLD82 – Reduce the small
size sample
problem
Shape-based – Facial features – Moderately tolerant 79.1% Select only small
feature are relatively to variations in facial no. of feature
extraction76 robust to scale, features, pose and components
noise, light, and expressions
pose variations – Accurate extraction of
the shape is required
Context based – Gives good recog- – Ability to discriminate 97.11% (50 —
feature nition rate when between the actual features)
extraction11 the within class facial features and
variability is large their context.
– Su®ers from within class
large variance
Census trans- – Fast structural Sensitive to its parameters 97.2% Not applicable
form þ SVM8 representation of for complex
the faces databases
– Illumination vari-
ance mitigation
1356005-29
Table 4. Performance of soft computing-based methods.

Recognition
ANN based face – Ability to learn from – Takes more itera- 97.01% Recognition time
recogni- observed data tion to train is more for
tion1,71 – Independent of any – More computation more no of
error judgment of time iterations
features
Hybrid neural – Faster and more – Selection of Gabor 84.50% Applied only
network e±cient ¯lter parameters is in Simple
with Gabor – Less computational di±cult. classi¯ers
features33 time
– Cope up with illumi-
nation changes.
– The recognition per-
formance has been
improved substan-
tially due to implica-
tion of contrast
equalization
SOM þ CNN42 Used to project the data Computationally 96.2% —
in a lower dimen- costly
sional space
Radial basis E±cient method for di- Use of Gabor ¯lters is 90% Applied only for
function mensionality reduc- very expensive in low dimension
(RBF) net- tion that preserves terms of computing feature vectors
work with the structure of the time
Gabor5 data without intro-
ducing very signi¯-
cant distortion.
Fuzzy-based Better °exibility and – Correlation techni- 62.8% Computational
feature increased generali- ques are computa- time is more
extraction/ zation capability for tionally expensive
NNC81 classi¯cation and require great
amounts of storage
– Moderate recogni-
tion accuracy
Fuzzy Fisherface Insensitive to varying Computation require- 96.49% Provide good
(Fuzzyþ illumination, view- ment increases results only for
PCAþ ing conditions, and rapidly with the smaller varia-
LDA)40 facial expression increase of the tion including
number of classes illumination
and training and facial
sample size expression
Gabor jet þ – Faster processing Classi¯cation accuracy 99.8% —
Borda count for real-time face reduced for small
classi¯ca- recognition pose variations
tion55 – High classi¯cation
rate
– Reduced computa-
tional time
1356005-30
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S. Mohamed Mansoor M. Parisa Beham re-

Roomi received his B.E. ceived her A.M.I.E. degree
degree from Madurai from the Institution of
Kamaraj University, in Engineers (India), Cal-
1990, his M.E. degree cutta in 2000, her M.E.
in Power Systems and degree in Applied Elec-
Communication Systems tronics from Anna Uni-
from Thiagarajar College versity Chennai in 2006
of Engineering in 1992 and is pursuing her Ph.D.
and 1997 and his Ph.D. in pattern recognition at
in Image Analysis from Anna University, Chennai.
Madurai Kamaraj University in 2009. He has
authored and co-authored more than 120 papers
in various journals and conference proceedings
and numerous technical and industrial project
reports.
1356005-35
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A Review Of Face Recognition Methods

Article in International Journal of Pattern Recognition and Artificial Intelligence · April 2013

Mansoor Roomi Dr.M.Parisa Beham

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A REVIEW OF FACE RECOGNITION METHODS

S. MOHAMED MANSOOR ROOMI

Received 2 August 2012

human ability to recognize faces. It is a biometric approach that employs automated

2. A Generic Face Recognition System

Fig. 1. Generic face recognition system.

method can be classi¯ed as linear or nonlinear,47 where the linear appearance-based

3. Face Recognition Approaches

4. Appearance-Based Face Recognition

4.1. Holistic approaches

Fig. 2. Face represented by a small number of features.

Most previous work on dimensionality reduction and classi¯cation would ¯rst

Fig. 5. Tensor representation examples: Second- and third-order object representations.

components are more robust to the illumination changes; subsequently it is more

Fig. 6. Sparse representation.

4.2. Hybrid approaches

5. Feature-Based Face Recognition

Fig. 7. Face topological graph.

(d) Gabor* Gaussian (e) Located feature points

Fig. 8. Example of the face recognition procedure.

a popular method for ¯nding correspondences between images. This method is

Fig. 9. Canny edge.

Fig. 10. Example of corresponding sketch photo.

(a) (b) (c)

Fig. 12. Gabor ¯ltered image.

6. Soft Computing-Based Face Recognition

6.1. ANN-based approaches

Agarwal et al.1 proposed that face is a complex multidimensional visual model

Fig. 14. Hybrid neural network.

Fig. 15. Gabor ¯lter response of a typical face image.

6.2. Fuzzy-based approaches

Fig. 16. Fisherface obtained by the fuzzy Fisherface method.

expression, etc., it is advantageous to investigate these factors and quantify their

6.3. GA-based approaches

improves the discrimination capability of the conventional matched ¯lter against

Fig. 17. Architecture of the MNN for person recognition.

7. Discussion and Conclusion

Table 1. General performance of face recognition approaches.

Normalized recog- 93.87% 95.06% 89.70%

Demerits . variances captured may . Selected features con- . Computationally

input image. In principle, feature-based schemes can be made invariant to size,

Table 2. Performance of appearance-based methods.

Table 3. Performance of feature-based methods.

Table 4. Performance of soft computing-based methods.

89. T. Zhang, B. Fang, Y. Y. Tang, Z. W. Shang and B. Xu, Generalized discriminant

S. Mohamed Mansoor M. Parisa Beham re-

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