IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO.

4, APRIL 2010 763

Biometric Authentication System

on Mobile Personal Devices
Qian Tao and Raymond Veldhuis

AbstractWe propose a secure, robust, and low-cost biomet- Security is the primary reason for introducing biometric au-
ric authentication system on the mobile personal device for the thentication into the PN. There are two types of authentication
personal network. The system consists of the following five key in the MPD scenarios: 1) authentication at logon time and
modules: 1) face detection; 2) face registration; 3) illumination
normalization; 4) face verification; and 5) information fusion. 2) authentication at run time. In addition to logon time authenti-
For the complicated face authentication task on the devices with cation, run time authentication is also important because it can
limited resources, the emphasis is largely on the reliability and prevent unauthorized users from taking an MPD in operation
applicability of the system. Both theoretical and practical consid- and accessing confidential user information from the PN. To
erations are taken. The final system is able to achieve an equal quantify the biometric authentication performance with respect
error rate of 2% under challenging testing protocols. The low
hardware and software cost makes the system well adaptable to to security, the false acceptance rate (FAR) is used, specifying
a large range of security applications. the probability that an impostor can use the device. It is required
that FAR be low for security concerns.
Index TermsBiometric authentication, detection, face, fusion,
illumination, registration, verification. The false rejection rate (FRR), which specifies the proba-
bility that the authentic user is rejected, is closely related to
user convenience. A false rejection will force the user to reenter
I. I NTRODUCTION biometric data, which causes considerable inconvenience. This
N a modern world, there are more and more occasions in leads to the requirement of a low FRR of the biometric authen-
I which our identity must be reliably proved. But what is our
identity? Most often, it is a password, a passport, or a social
tication system. Furthermore, in terms of convenience, a higher
degree of user-friendliness can be achieved if the biometric au-
security number. The link between such measures and a person, thentication is transparent, which means that the authentication
however, can be weak as they are constantly under the risk of can be done without explicit user actions. Transparency should
being lost, stolen, or forged. Biometrics, the unique biological also be considered as a prerequisite for the authentication at run
or behavioral characteristics of a person, e.g., face, fingerprint, time, as regularly requiring a user who may be concentrating
iris, speech, etc., is one of the most popular and promising on a task to present the biometric data is neither practical nor
alternatives to solve this problem. Biometrics is convenient as convenient.
people naturally carry it and is reliable as it is virtually the only Generally speaking, a mobile device has limited resources
form of authentication that ensures the physical presence of of computation. Because the MPD operates in the PN, it offers
the user. the possibility that biometric templates be stored in a central
In this paper, we study the biometric authentication problem database and that the authentication is done in the network.
on a personal mobile device (MPD) in the context of secure Although the constraints on the algorithmic complexity become
communication in a personal network (PN). A PN is a user less stringent, the option brings a higher security risk. First,
centric ambient communication environment [19] for unlimited when biometric data have to be transmitted over the network
communication between the user and the personal electronic it is vulnerable to eavesdropping [5]. Second, the biometric
devices. An illustration of the PN is shown in Fig. 1. The templates need to be stored in a database and are vulnerable
biometric authentication system is envisaged as a secure link to attacks [30]. Conceptually, it is also preferable to make the
between the user and the users PN, providing secure access MPD authentication more independent of other parts of the PN.
of the user to the PN. Such an application puts forward the Therefore, it is required that the biometric authentication be
following three requirements of the biometric authentication done locally on the MPD. More specifically, the hardware (i.e.,
system: 1) security; 2) convenience; and 3) complexity. biometric sensor) should be inexpensive, and the software (i.e.,
algorithm) should have low computational complexity.
In this paper, we developed a secure, convenient, and low-
Manuscript received March 7, 2009; revised August 14, 2009. Current cost biometric authentication system on the MPD for the PN.
version published March 20, 2010. The Associate Editor coordinating the The biometric that we chose is the 2-D face image, taken by the
review process for this paper was Dr. David Zhang. low-end camera on the MPD. Two-dimensional face image is
The authors are with the Signals and Systems Group, Department of
Electrical Engineering, Mathematics and Computer Science, University of by far one of the best biometrics that compromises well among
Twente, 7500 AE Enschede, The Netherlands (e-mail: [email protected]; accuracy, transparency, and cost [37]. The user authentication,
[email protected]). therefore, is done by analyzing the face images of the person
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org. who intends to logon into the PN or who is operating the
Digital Object Identifier 10.1109/TIM.2009.2037873 MPD. The only requirement in using this system is that the user

0018-9456/$26.00 2010 IEEE

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
764 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO. 4, APRIL 2010

Fig. 1. User in the PN.

degree of variability, originating from both external and inter-

nal changes. An extensive literature exists on automatic face
detection [24], [52].
The known face detection methods can be categorized into
the following two large groups: 1) heuristic-based methods and
2) classification-based methods. Examples of the first category
include skin color methods and facial geometry methods [21],
[25], [33], [38]. The heuristic methods are often simple to
implement but are not reliable as the heuristics are often vul-
Fig. 2. Diagram of the biometric authentication system on the MPD. nerable to exterior changes. In comparison, classification-based
methods are able to deal with much more complex scenarios,
presents his or her face in a more or less frontal way within the because they treat face detection as a pattern classification
capture range of the camera. problem and, thus, benefit largely from the existing pat-
Although the subproblems of face recognition (like registra- tern classification resources. The biggest disadvantage of the
tion, illumination, classification, etc.) have been addressed in classification-based methods, however, is their high compu-
many publications [22], [52], [53], there have been very few tational load as the patterns to be classified must cover the
publications describing a complete face recognition system, exhaustive set of image patches at any location and scale of
particularly for small mobile devices with limited computa- the input image, as shown in Fig. 3.
tional resources. We propose a biometric authentication system The ViolaJones face detector is one of the most successful
consisting of the following five key important modules, as face detection methods [50]. There are three characteristics in
illustrated in Fig. 2: 1) face detection; 2) face registration; this method, which are listed as follows: 1) Haar-like features
3) illumination normalization; 4) face authentication; and that can be rapidly calculated across all scales; 2) Adaboost
5) information fusion. Following the same order, this paper training to select and weight the features [16], [39], [50]; and
is organized as follows. Sections II and III present the real- 3) cascaded classifier structure to speed up the detection. In
time and robust face detection and registration algorithms, comparison to other advanced features like Gabor wavelets
Section IV presents the illumination normalization method, in the elastic bunch graph matching (EBGM) [51] and Gabor
Section V describes the face verification method for the wavelet network [18], the Haar-like features are extremely fast
processed face patterns, and Section VI describes the informa- to compute, and most importantly, they form key points for
tion fusion between different time frames. Section VII presents scalable computation and, thus, rapid search through scales and
the experimental setup and result, and Section VIII gives the locations. For details, see [50]. The face detector only needs to
conclusion. be trained once and then stored for any general-purpose face
detection. These characteristics enable real-time robust face
detection.
II. FACE D ETECTION
For the application of face detection on the MPD in particu-
Face detection is the initial step for face authentication. lar, we propose strategies that can further improve the detection
Although the detection of the face is an easy visual task for speed. The specificity of the face images in the MPD applica-
a human, it is a complicated problem for computer vision due tion is related to the distribution of face sizes in the normal self-
to the fact that face is a dynamic object, subject to a high taken photos from a handheld device. This information provides

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
TAO AND VELDHUIS: BIOMETRIC AUTHENTICATION SYSTEM ON MOBILE PERSONAL DEVICES 765

Fig. 3. Exhaustive set of candidates at any location and scale of the input image, where x is the basic classification unit to be classified.

Fig. 4. (Left) Typical face images taken from ordinary handheld PDA (Eten M600), with the size 320 240. (Right) Downscaled face images with the size
100 75. Equally good face detection results can be obtained in both the original and the downscaled images.

useful constraints on the searching and significantly speeds up where we will further registrate the detected faces to a finer
the implementation. In Fig. 4 (left), some typical face images scale.
taken from ordinary handheld personal digital assistant (PDA;
Eten M600) are shown.
III. FACE R EGISTRATION
Suppose the detected face size s lies in a scope between
smin and smax , we propose two steps to reduce the computa- Generally speaking, the location of the detected face is not
tional efforts for face detection: First, downscale the original precise enough for further analysis of the face content. It has
image before detection. The downscaling factor is set around been emphasized in the literature that face registration is an
smin /sface , where stemplate is the size of the training tem- essential step after face detection for subsequent face interpreta-
plate, i.e., minimally detectable size. In the trained detectors, tion task [3], [4], [36]. The following two popular ways of doing
stemplate = 24. Second, in the reduced image, restrict the scan- the face registration can be found in the literature: 1) holistic
ning window to be from the minimal size 24 to the maximal methods and 2) local methods.
size 24(smax /smin ). Holistic registration methods take advantage of both global
Referring to Fig. 3, it can easily be seen that the number face texture information and the local facial feature informa-
of candidates for classification increases exponentially with tion (i.e., locations of eyes, nose, mouth, etc.). Examples are
the size of the input image. The first step, therefore, radically the active shape model (ASM) [10], active appearance model
reduces the number of possible classification units. In addition, (AAM) [9], and their variants. Fitting such models onto the
the second step avoids the unnecessary search for faces of too input face image is often formulated as an iterative optimization
small or too large sizes. This further reduces the number of clas- problem. As common to such complex optimization problems,
sification units to a large extent. Fig. 4 shows detection results however, two potential drawbacks of the holistic registration
both in the original and in the reduced image. We observed that are the possibility to be trapped into local minimal and the
in the latter, almost equally good results are obtained, but with relatively high computation load, particularly for an MPD. In
far less computational load. One drawback of downscaling, contrast, the local registration method is more direct and faster
however, is that the detected face scale is coarser than that in as it only takes the locations of local facial features to calcu-
the original image, since much fewer scales have been searched late the transformation, not involving any global optimization
through. This nevertheless does not affect the final face ver- process. The disadvantage of the local method, on the other
ification performance, as is shown in the following section, hand, is that the facial features are very difficult to be reliably

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
766 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO. 4, APRIL 2010

Fig. 5. Comparison of the false acceptance models. (a) Original detections.

(b) Conventional probabilistic model. (c) Proposed model with type I and
type II errors.

detected [6] due to their high variability and insufficient shape

content.1
We propose a real-time robust facial feature detector based
on the ViolaJones method, incorporating a novel error model
that is precise and concise. Given that it is, in reality, impossible Fig. 6. Examples of facial feature detection from (a) BioID, (b) FERET, and
to build a reliable facial feature detector with both low FAR and (c) YaleB databases and (d) random unconstraint Internet images, with different
low FRR, we guarantee the detection of the facial features in the illumination, size, pose, and expression.
first place, at the cost of a high number of false detections. The
facial feature detection problem is therefore converted into a the patches centered at approximately the same position as
postselection problem of the multiple detected facial features. the true facial features, but larger in sizes. A type II error is
A conventional way to do the postselection is to build up caused by the fact that the search is through different scales,
statistical models, like the ASM, of the facial landmark distri- and at a slightly coarser (larger) scale around the true position,
butions and to select the most likely combination of detected the detected image patches often have similar structures as
facial features according to them [6], [12], [13]. The underlying the facial feature patch. Both error types can be observed in
assumption of these models is that the detected features are Fig. 5(a), and Fig. 5(c) illustrates the proposed model in detail,
distributed in a probabilistic way around the true locations. This in comparison to the conventional probabilistic model depicted
assumption, however, is not true for the multiple detections that in Fig. 5(b). Obviously, the proposed model better describes the
resulted from the ViolaJones method. Furthermore, for a user- distribution of false detections.
specific system, such a model is preferably user specific, but in To remove most of the type I false detections, we predefine a
practice, this is not possible (no ground-truth data of the user corresponding region of interest (ROI) before detecting certain
available), and variances of other subjects will be introduced facial features. The ROI acts as a geometrical constraint as in
by building a general shape model from a number of other AAM [9] and EBGM [51], thus precluding a large percent-
training subjects. Fig. 5(a) shows a typical example of the left- age of false detections. For those false detections that remain
eye detection. The face sample is from the FERET database within the ROI, we observed that the scale information of the
[47], while the left-eye detectors are trained from the manually detection, which was normally neglected, actually provides a
labeled BioID database [46]. very interesting insight. A concise principle to remove the false
We build up a new error model for the false detected fa- acceptances is proposed: a minimal-scale detection within the
cial features. Fundamentally, the ViolaJones detector uses a maximal-scale detection is mostly likely to be the true facial
combination of local structures as the template, so all the landmark location. The reasoning of this principle is directly
patterns that have more or less similar structures are likely to related to the mechanism of the ViolaJones method: First,
be detected. With respect to this mechanism, two types of false the detections within the maximal-scale detection have less
acceptances can be identified. The type I false acceptance is chance of being the type I false acceptances (i.e., random
the acceptance of the background patches that coincidentally errors), as they have been confirmed multiple times by the over-
have comparable local structures with the facial feature. The lapped detections. Second, the minimal-scale detection within
chin shadow that is falsely detected as an eye, as shown in the maximal-scale detection is most likely to be the accurate
Fig. 5(a), is a good example of the type I error, as the shadow one, excluding the type II false acceptances, as it is detected
has roughly the brightdark-bright pattern that resembles the on the finest scale. The type II false acceptances, therefore,
eye texture. The type II false acceptance is the acceptance of are employed as extra information to confirm the localization,
but are finally eliminated. In contrast, an additional statistical
1 Shape content refers to the relatively consistent layout of the object pattern.
model can potentially eliminate the type I false detections but,
For example, the face has consistent and sufficient texture patterns of the
facial features (from up down: eyebrows, eyes, nose, mouth) that provide in principle, cannot deal with the type II false detections, as they
abundant information to discriminate them from nonface patterns and facilitate are virtually very close.
the construction of the detector. For facial features, e.g., eyes and eyebrows, Fig. 6 shows some examples from databases and uncon-
however, the shape content is far less and more unstable, leading to considerable
overlaps in the distributions of the facial-feature and non-facial-feature classes straint Internet and real-time images. To make the registration
and making it difficult to learn the detector. sufficiently reliable in the automatic system, we have trained

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
TAO AND VELDHUIS: BIOMETRIC AUTHENTICATION SYSTEM ON MOBILE PERSONAL DEVICES 767

13 facial landmarks from the BioID databases, as shown in the LBP was initially proposed to solve the texture recognition
first image of Fig. 6. For registration, in theory, two landmarks problem [35]. The fundamental idea is stated as follows: a 3 3
are enough to compute the rigid transformation, but more neighborhood block in the image is thresholded by the value of
landmarks are more robust in a minimum square error sense. the center pixel and results in eight binary values. This eight-bit
Occasional misses of the detection of certain landmarks occur, binary sequence is then converted into a decimal value ranging
but in most cases, the number of detected landmarks is large from 0 to 255, representing the type of the texture pattern in
enough for a reliable registration. the neighborhood of this central point. The distribution of the
The robustness and speed of the facial feature detectors are LBP patterns throughout the image is then used as the feature
inherited from the ViolaJones method, and the postselection of the image. LBP histogram is recognized as a robust measure
strategy that we proposed further strengthened their applica- of the local textures, insensitive to illumination and camera
bility on an MPD. In summary, the proposed facial feature parameters.
detectors are extremely fast and self-standing, not requiring any The LBP histogram is a good representation for images with
additional face shape or texture models, nor any interactive op- more or less uniform textures, but for face images, it is insuf-
timization. The trouble of learning statistical constraint models, ficient. A distribution disassociates the connection between the
together with the modeling error, is avoided. patterns and their relative positions on a face and potentially
decreases differences among subjects and mingles them up in
space. To include the positional information, LBP can instead
IV. I LLUMINATION N ORMALIZATION
be used as a preprocessing method on the image values [23].
The variability on the face images brought by illumination Essentially, this acts as a nonlinear high-pass filter. As a result,
changes is one of the biggest obstacles for face verification. it emphasizes the edges that contain significant changes of
It has been suggested that the variability caused by illumi- pixel values, but at the same time, it also emphasizes the noise
nation changes easily exceeds the variability caused by iden- that involves only small changes of pixel values. The original
tity changes [34]. Illumination normalization, therefore, is a weights of LBP, i.e., exponentials of 2, differ greatly within the
very important preprocessing step before verification. There neighborhood. For two neighboring pixels in the neighborhood,
has been an intensive study on this topic in the literature, they are at least two times different, and in worst cases, their
which can be categorized into two different methodologies. difference can be as large as 128 times. As noise occurs in a
The first category tries to study the illumination problem in a random manner with respect to the eight directions, the way of
fundamental way by building up the physics imaging model converting binary value to decimal value, i.e., the exponential
and restoring the 3-D face surface model, either in an explicit weights assigned on the neighbors, renders the LBP filtering
or an implicit way. We call this category the 3-D methods, noise sensitive. To make the filtering more robust, we propose
which include the linear subspace method [40], illumination to simplify the weighting process, assigning equal weights on
cone [2], spherical harmonics [1], quotient image [41], etc. each of the eight neighbors. The noise is suppressed by not em-
The second category, however, does not rely on recovering the phasizing circular differences and potentially averaging them
full 3-D information, instead, they work directly on the 2-D out within the neighborhood. We show some examples from the
image pixel values. We call this category the 2-D methods, YaleB database [20] in Fig. 7, in which the proposed simplified
which include histogram equalization [27], linear and homo- LBP filtering and the original LBP filtering are compared. The
graphic filters [22], the Retinex method [29], the diffusion histogram equalization method is also illustrated as a reference.
method [7], etc. The performance of the three illumination normalization meth-
The 3-D methods aim at utilizing the 3-D information that ods will be compared in Section VII.
is robust to illumination. However, as converting the 3-D ob- It is observed that the simplified LBP filtering produces
jects to the 2-D images is a process with loss of informa- stable patterns under diverse illuminations, even under extreme
tion, the reverse process will unavoidably introduce regulations illuminations. There are several advantages brought by the
or restrictions to make up for such loss, like fixed surface simplified LBP filtering. First, the LBP is a local measure, so
normals [41], absence of shadow or specular reflections [40], the LBPs in a small region are not affected by the illumination
etc. In reality, such assumptions are very often violated and conditions in other regions. Second, the measure is relative, and
introduce artifacts in the processed images [42]. Furthermore, therefore, is strictly invariant to any monotonic transformation,
due to the complexity of the algorithm, 3-D methods normally such as shifting, scaling, or logarithm, of the pixel values.
load a heavy computational burden on the face authentication Third, we largely reduce the sensitivity of the LBP value to
system. The 2-D methods, in contrast, are more direct and noise by assigning uniform weights in all eight directions.
much simpler. Because of this directness and simplicity, on Finally, even for the MPD with limited computation resources,
the other hand, it is not possible for 2-D methods to achieve the proposed filtering operation is extremely fast.
illumination invariance, as has been theoretically proved in The immediate concern is that simplified LBP filtering may
[8]. Therefore, instead of pursuing illumination invariance, we filter out too much information from the face image, as both
aim for illumination insensitivity and the compromise between illumination-sensitive components and some face-related com-
computational cost and system performance. We proposed a ponents are discarded. This problem can be solved in a system-
2-D illumination insensitive filter for the face authentication atic manner by introducing a classification method that has high
system on the MPD, called the simplified local binary pattern discrimination capability such that the part of information loss
(LBP) filter. caused by simplified LBP filtering is negligible. In Section V,

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
768 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO. 4, APRIL 2010

Fig. 7. Comparison of the illumination normalization methods. (a) Original face images. (b) Histogram-equalized images. (c) Images filtered by the original
LBP. (c) Images filtered by the simplified LBP.

which relies implicitly on the highly weighted samples, are no

longer suitable for the verification problem. The better solution,
instead, is to classify in the overlapped regions with a minimal
possible error, from a statistical point of view. For this reason,
we propose to verify the feature vectors in a statistically optimal
way using the likelihood ratio.
The likelihood ratio is an optimal statistic in the
NewmanPearson sense [49]: At a given FAR, the likelihood
ratio achieves a minimal FRR; or at a given FRR, the decision-
fused classifier reaches a minimal FAR. The likelihood ratio
Fig. 8. Distributions of the two classes for the face detection case and the face
verification case, respectively. Decision boundaries are also illustrated. classification rule is defined as

with special regards to this problem, we will discuss the gen- p(x|)
L(x) = >T (1)
eralization and discrimination capabilities of the classifier in a p(x|)
high-dimensional space and justify the simplified LBP filter for
the illumination normalization purpose. where x is the preprocessed face image, which is stacked into
It is worth mentioning that the illumination problem can also a vector, is the user class, is the nonuser class, T is
be tackled from a hardware point of view. The near-infrared the threshold. When L(x) > T , x is accepted as the genuine
illumination, for example, provides more consistent images in user; otherwise, it is rejected. Since we assume infinitely many
diverse lighting situations and also enables face authentication subjects in the sets , exclusion of a single subject from
at night [28]. it virtually does not change the distribution of x. Therefore, the
following holds:
V. FACE V ERIFICATION
p(x|) p(x) (2)
In this section, we address the problem of verifying the
detected, registrated, and normalized image pattern. Under the which facilitates an even simpler modeling of the two classes
context of our application, this is a two-class classification conceptually as two overlapping clouds in a high-dimensional
problem, with the two classes defined as the user and the space, as shown in Fig. 8. The two classes are now the user-face
nonuser (or impostor) classes. class and the all-face (or background) class.
Although similar to the face detection problem in the sense To obtain the likelihood ratio of an input feature vector x
that both are two-class classification problems, the face verifica- with respect to two classes and , the probability density
tion problem is different in the distribution of the two classes. functions of the two classes p(x|) and p(x) are first estimated.
An illustration is given in Fig. 8. In the verification case, the The Gaussian assumption is often applied on a large set of data
user class and the impostor class are more closely distributed samples, which is motivated by the central limit theorem [16].
in space than the two classes in the detection case. In other Given N sample feature vectors of the face xi , i = 1, . . . , N ,
words, the chance that an impostor face resembles a user face both and can be estimated as follows:
is much higher than the chance that a random background
patch resembles a face patch. In the detection case, a number N N
1  1 
support vectors, as shown in Fig. 8, are sufficient to support = xi = (xi )(xi )T . (3)
the decision boundary. In the recognition case, however, the N 1 i=1 N 1 i=1
distribution of the two classes are intermingled in a more com-
plex way. This implies that the boundary-based classification To avoid the influence of extreme samples, which are pos-
methods that work well on the face detection problem, like the sibly caused by extraordinary illumination, pose, expression,
support vector machine method [11], which relies explicitly or misregistration, can also take the median of the sample
on the support vectors, or the ViolaJones Adaboost method, vectors at every element: = median(x1 , . . . , xN ).

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
TAO AND VELDHUIS: BIOMETRIC AUTHENTICATION SYSTEM ON MOBILE PERSONAL DEVICES 769

The two classes involved in face verification are the user the method also discards certain information that is useful
class user and the background class bg . Equivalently, the for discriminating different subjects. Consequently, the relative
likelihood ratio in (1) can be rewritten as volume between bg and user is reduced, or equivalently, a is
reduced. When aN is not so prohibitively high, the generaliza-
ln L(x) = ln p(x|user ) ln p(x|bg ) tion becomes easier. Most importantly, the discarded informa-
tion contains a large illumination-sensitive component, which
1 
= ln |bg | + (x bg )T 1
bg (x bg ) greatly increases the generalization capability across different
2 illuminations. Meanwhile, enough discrimination capability is
1 preserved because of the high dimensionality of the space.
ln |user | + (x user )T 1

user (x user )
2
1
= (dMaha (x|bg ) dMaha (x|user )) + c (4) VI. I NFORMATION F USION
2
Fusion is a popular practice to increase the reliability of the
where user , bg , user , bg are the means and covariances biometric verification [37], [45] and has been applied in face
of the user and background classes, respectively. The term c = recognition tasks [28], [31], [32]. In our face authentication
1/2(ln |bg | ln |user |) is a constant that can be absorbed system, as shown in Fig. 2, the fusion is done between differ-
into the threshold T in (1) without influencing the final receiver ent frames. This not only improves the system performance,
operating characteristic (ROC). As (4) shows, the logarithm but also realizes the ongoing authentication, as introduced in
essentially reduces the likelihood ratio to the difference be- Section I.
tween the two squared Mahalanobis distances in the user and From each frame, we obtain a value of its likelihood ratio
background classes. and compare it to a threshold to make the decision.2 We have
It is useful to further study the discrimination capability compared the following three different types of fusion methods
and generalization capability of the likelihood ratio classifier. 1) sum of the scores [17] and 2) AND and 3) OR of the decisions,
Generalization capability and discrimination capability are two which are equivalent to the min and max rules of the scores
equally important aspects in verification. For our MPD appli- [43]. Theoretically, summation of log likelihood ratios acts in a
cation, they are closely related to the convenience requirement similar way as a naive Bayes classifier [16] and can achieve
and the security requirement, respectively. the nearly optimal performance despite certain dependencies
We notice that the face verification is normally in a very high between consecutive frames [15]. In practice, however, we ob-
dimensional space. A small-enough face image, for example, of served that the OR rule decision fusion yields still better results
size 32 32, already has 1024 pixels, which implies a 1024- in our authentication system. This is, again, explained by the
dimensional feature vector. High-dimensional space potentially fact that the classifier possesses strong discrimination capability
has great power of discrimination but is relatively difficult that tends to reject the authentic user occasionally. An OR
to generalize [44]. We explain this with a simple example operation, obviously, makes the classifier more prone to accept
using the model in Fig. 8(b). Suppose each of the user and than to reject. As a result, it decreases the FRR, but at a very
the background class take up a hypersphere with radii ruser low FAR, because the chance that the two successive frames
and rbg = a ruser , a > 1, in an N -dimensional space. For a is falsely accepted are even lower than what we discussed in
single dimension, the ratio of volume between the two spaces is Section V. To illustrate the fusion performances, ROCs will be
Vbg /Vuser = a, which means that given an arbitrary point in the shown in Section VII.
1-D space, the chances that it belongs to the background class
bg is a times of the chance that it belongs to the user class
VII. E XPERIMENTS AND R ESULTS
user . From all the N dimensions, however, the ratio becomes
Vbg /Vuser = aN . When N is large, e.g., N = 1000, and a A. Data Collection
takes a moderate value, e.g., a = 1.5, aN = 1.51000 10176 is
To learn the probability density functions of the user class
almost infinite. This implies that for an arbitrary N -dimensional
p(x|user ) and the background class p(x|bg ), a large number
feature vector, the chance that it falls into the user class user
of samples are required.
is almost none. In other words, the discrimination capability of
The background sample set is be taken from public face
such a likelihood-ratio classifier in the high-dimensional space
databases. In the experiments, we adopt the following four
is very high, whereas to generalize, the feature vector of the
databases: 1) the BioID database [46]; 2) the FERET database
user image taken under different situations must be able to stay
[47]; 3) the YaleB database [20]; 4) and the FRGC database
within an extremely small region.
[48]. The faces are detected and registrated using the methods
This trait, on the other hand, justifies the proposed illumi-
proposed in Sections II and III. Each face is registrated to the
nation normalization method in Section IV, in which more
size of 32 32 and elongated into a 1024-dimensional feature
emphasis is put on maintaining the generalization capability,
vector. The databases, in total, result in more than 10 000
rather than the discrimination capability. The large reduction
samples for training in the background class.
of the image information (restricted LBP values) by the sim-
plified LBP filter makes both class much smaller in volume 2 To compute the ROC, the threshold is a changing value [16], and its value in
after illumination normalization. In comparison to the user the final system should be calibrated on the ROC based on certain requirements
class, the background class is more substantially reduced, as of the FAR or FRR.

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
770 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO. 4, APRIL 2010

dependency. We test different time intervals t of 0.2, 1, and

30 s. Fig. 10 shows the scatter plot of log likelihood ratios
of two frames, as well as the ROCs of fusion at different time
intervals t. The ROCs are drawn in the logarithm scale. It can
be observed that the AND rule decision fusion does not bring
any improvement; instead, it degrades the performance due to
the fact that it increases the discrimination capability that is
already very high. In comparison, the OR rule decision fusion
works particularly well and outperforms the sum rule. As can be
further observed, with the increase of t, the improvement of per-
formance by fusion becomes more pronounced. When t = 1 s,
the equal-error rate (EER) of the ROC by the OR rule decision
fusion is already reduced to half of the original. For the MPD
application, if we do ongoing authentication at a time interval
of 30 s, an EER of 2% can be achieved. Fusing more frames will
Fig. 9. Examples of four session images of the same subject.
further increase the performance. Experiments have also shown
The user sample set is obtained by taking face images from that a much lower EER can be achieved if the enrollment and
the MPD. We used the Eten M600 PDA as the mobile device. testing are done across sessions of closer illuminations.
In practice, the user set is convenient to collect: at a frame
rate of 15 fps, a 2-min video results in 1800 frames of face
D. Results on YaleB Data
images. In total, the data of 20 users have been collected from
volunteers, with four independent sessions for each subject, The algorithm has also been tested on Yale database B [20],
taken at different times and under different illuminations. Fig. 9 which contains the images of ten subject, each seen under 576
shows examples of the same subject taken in four sessions. viewing conditions (9 poses 64 illuminations). For the YaleB
Additionally, to increase the variance of the samples as well database, which emphasizes on illumination, we compare three
as the tolerance to registration, the training set is extended different illumination normalization methods, namely, simpli-
by flipping and creating slightly shifted, rotated, and scaled fied LBP preprocessing, original LBP preprocessing, and his-
versions of the face image. togram equalization. Examples of Yale database B and the
effects of illumination normalization are shown in Fig. 7. The
B. Test Protocol result of unpreprocessed images is also presented for reference.
In our test, for each subject, the user data are randomly
For one specific user, we learn the density of the user class
partitioned into 80% for training and 20% for testing. The data
from the user data of one session and compute the testing
of the other nine subjects are used as the impostor data. The
genuine scores, i.e., the log likelihood ratios, from the user
face verification is exactly the same as in the mobile device
data of the other three independent sessions. The density of the
case. To illustrate the performances, we used the EER as the
background class is learned from the public database, and the
performance measure. The random partition process is carried
impostor scores are computed from our collected data of
out 20 rounds for each subject. We obtain an average EER
the other 19 subjects. As a result, for the user, we have around
for each of the ten subjects. As a result, the performances of
1800 images for training and 5400 for validation. On the
different illumination methods are compared in Fig. 11.
impostor side, we have around 10 000 public database faces for
It can be seen in Fig. 11 that for all the subjects in the
training and 100 000 collected faces of other subjects for vali-
Yale database B, the simplified LBP preprocessing consistently
dation. Note that the training and testing data of the background
achieves the best performance. This indicates that the simplified
class are independent in the setting. Using the public databases
LBP preprocessing has higher robustness to large illumination
as the training data is convenient for the MPD implementation,
variability. As the proposed system balances between gen-
as the background parameters need to be calculated only once
eralization and discrimination by putting much emphasis on
and stored for all the users. On the other hand, obtaining the
generalization among different imaging situations in the illu-
impostor scores from our own database is of more interest than
mination normalization part, while on discrimination between
obtaining them from the public database because the impostor
user and impostor in the face verification part, the experimental
face images in our own database are collected under more or
results on the YaleB database indicates that the distribution of
less the same situations as in the enrollment and, thus, more
emphasis is effective in practice, i.e., on a system level, the
meaningful and critical for testing the verification performance.
generalization capability is guaranteed at little loss of discrimi-
Given the likelihood ratios obtained from the two classes, the
nation capability.
ROC can be obtained to evaluate the performance of the system.
Information fusion is further done, as described in Section VI.
E. Implementation
C. Results on Mobile Data
The efficiency of the proposed system enables realistic
We show the system performance of fusing two frames with implementation of this system on an MPD. We chose the
certain intervals t. The longer the interval is, the lower the Eten M500 Pocket PC for demonstration and transformed our

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
TAO AND VELDHUIS: BIOMETRIC AUTHENTICATION SYSTEM ON MOBILE PERSONAL DEVICES 771

Fig. 10. (Left column) Scatter plot and (right column) ROC comparison at different time intervals t: 0.2, 1, 30 s. (a) t = 0.2 s. (b) t = 1 s. (c) t = 30 s.

algorithms that are written in the C language onto the Windows 2 min and transfers them to the PC to process them, with
Mobile 5 platform of the device. We used the Intel OpenCV the user mean and covariance extracted for calculating the
library [26] to facilitate the implementation. Mahalanobis distance in the user class. The background mean
In the preliminary experiments, the enrollment is on the and covariance have been prestored in the mobile device for
PC: the MPD takes a sequence of the user images of about calculating the Mahalanobis distance in the background class.

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
772 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 59, NO. 4, APRIL 2010

2%, under challenging testing protocols. The low hardware and

software cost of the system makes it well adaptable to a large
range of security applications.

R EFERENCES
[1] R. Basri and D. Jacobs, Lambertian reflectances and linear subspaces,
in Proc. IEEE Int. Conf. Comput. Vis., 2001, pp. 383390.
[2] P. Belhumeur and D. Kriegman, What is the set of images of an object
under all possible illumination conditions, Int. J. Comput. Vis., vol. 28,
no. 3, pp. 245260, Jul. 1998.
[3] G. Beumer, A. Bazen, and R. Veldhuis, On the accuracy of EERs in
face recognition and the importance of reliable registration, in Proc. SPS
IEEE Benelux DSP Valley, 2005, pp. 8588.
[4] G. Beumer, Q. Tao, A. Bazen, and R. Veldhuis, A landmark paper in face
recognition, in Proc. IEEE Int. Conf. Autom. Face Gesture Recog., 2006,
pp. 7378.
[5] R. Bolle, J. Connell, and N. Ratha, Biometric perils and patches, Pattern
Recognit., vol. 35, no. 12, pp. 27272738, Dec. 2002.
[6] M. Burl, T. Leung, and P. Perona, Face localization via shape
statistics, in Proc. Int. Workshop Autom. Face Gesture Recog., 1995,
pp. 154159.
[7] T. Chan, J. Shen, and L. Vese, Variational PDE models in image
Fig. 11. Comparison of the ROCs using different illumination normalization processing, Not. Amer. Math. Soc., vol. 50, no. 1, pp. 1426, 2003.
methods (top down): simplified LBP, Gaussian derivative filter, zero-mean and [8] H. Chen, P. Belhumeur, and D. Jacobs, In search of illumination
unit-variance normalization, original LBP, histogram equalization, high-pass invariants, in Proc. IEEE Conf. Comput. Vis. Pattern Recog., 2000,
filtering, and the unpreprocessed. pp. 254261.
[9] T. Cootes, G. Edwards, and J. Taylor, Active appearance models, in
Proc. Eur. Conf. Comput. Vis., 1998, pp. 484498.
The user image sequences then pass through the diagram in [10] T. Cootes and J. Taylor, Active shape modelsSmart snakes, in Proc.
Fig. 2 until the final decision of acceptance or rejection is made. Brit. Mach. Vis. Conf., 1992, pp. 266275.
The implementation of the system in the project framework has [11] N. Cristianini and J. Shawe-Taylor, An Introduction to Support Vector
Machines and Other Kernel-Based Learning Methods. Cambridge,
been reported in [14]. U.K.: Cambridge Univ. Press, 2000.
Even without optimization, our system has already achieved [12] D. Cristinacce and T. Cootes, Facial feature detection using Adaboost
a frame rate of 10 frames/s on the laptop with an Intel(R) central with shape constraints, in Proc. 14th Brit. Mach. Vis. Conf., 2003,
pp. 231240.
processing unit, 1.66 GHz, and 2 GB of random access memory [13] D. Cristinacce, T. Cootes, and I. Scott, A multi-stage approach to
(RAM). On the mobile device, with the Samsung S3C2440 facial feature detection, in Proc. 15th Brit. Mach. Vis. Conf., 2004,
400 MHz processor and 64 MB of synchronous dynamic RAM, pp. 277286.
[14] F. den Hartog, M. Blom, C. Lageweg, M. Peeters, J. Schmidt,
the time is longerabout 8 s a frame. Profiling of the sys- R. van der Veer, A. de Vries, M. R. van der Werff, Q. Tao, R. Veldhuis,
tem indicates that the face detection and registration are still N. Baken, and F. Selgert, First experiences with personal networks as
the most time-consuming part, compared to the illumination an enabling platform for service providers, in Proc. 2nd Int. Workshop
Personalized Netw., Philadelphia, PA, 2007, pp. 18.
normalization and verification components that are extremely [15] P. Domingos and M. Pazzani, Beyond independence: Conditions for the
fast. This system will become practical in use with further optimality of the simple Bayesian classifier, in Proc. 13th Int. Conf.
optimization on both hardware and software, particularly when Mach. Learn., 1996, pp. 105112.
[16] R. Duda, P. Hart, and D. Stork, Pattern Classification, 2nd ed.
detection and registration can be implementation by hardware, New York: Wiley, 2001.
transferring the Haar-like features into fast circuit units. [17] M. Faundez-Zanuy, Data fusion in biometrics, IEEE Aerosp. Electron.
Syst. Mag., vol. 20, no. 1, pp. 3438, Jan. 2005.
[18] R. Feris, J. Gemmell, K. Toyama, and V. Krueger, Hierarchical wavelet
VIII. C ONCLUSION networks for facial feature localization, in Proc. 5th IEEE Int. Conf.
Autom. Face Gesture Recog., 2001, pp. 118123.
Face verification on the MPD provides a secure link between [19] Freeband, PNP2008: Development of a User Centric Ambient Communi-
cation Environment. [Online]. Available: http://www.freeband.nl/project.
the user and the PN. In this paper, we have presented a biometric cfm?language=en&id=530
authentication system, from face detection, face registration, [20] A. Georghiades, P. Belhumeur, and D. Kriegman, From few to many:
illumination normalization, face verification, to information Illumination cone models for face recognition under variable lighting
and pose, IEEE Trans. Pattern Anal. Mach. Intell., vol. 23, no. 6, pp. 643
fusion. Both theoretical concerns and practical concerns are 660, Jun. 2001.
given. [21] V. Govindaraju, Locating human faces in photographs, Int. J. Comput.
The series of solutions to the five modules proves to be Vis., vol. 19, no. 2, pp. 129146, Aug. 1996.
[22] G. Heusch, F. Cardinaux, and S. Marcel, Lighting normalization
efficient and robust. In addition, the different modules collab- algorithms for face verification, IDIAP, Martigny, Switzerland, Tech.
orate with each other in a systematic manner. For example, Rep. 03, 2005.
downscaling the face in the detection module provides very fast [23] G. Heusch, Y. Rodriguez, and S. Marcel, Local binary patterns as image
preprocessing for face authentication, in Proc. IEEE Int. Conf. Autom.
localization of the face, at the cost of coarser scales, but the sub- Face Gesture Recog., 2006, pp. 914.
sequent registration module immediately compensates for the [24] E. Hielmas and B. Low, Face detection: A survey, Comput. Vis. Image
accuracy. The same is true for the illumination normalization Underst., vol. 83, no. 3, pp. 235274, Sep. 2001.
[25] M. Hunke and A. Waibel, Face locating and tracking for
and verification modules, where the latter well accommodates humancomputer interaction, in Proc. 28th Asilomar Conf. Signals,
the former. The final system achieves an equal error rate of Syst., Images, Monterey, CA, 1994, pp. 12771281.

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.
TAO AND VELDHUIS: BIOMETRIC AUTHENTICATION SYSTEM ON MOBILE PERSONAL DEVICES 773

[26] Intel, Open Computer Vision Library. [Online]. Available: http:// [49] H. Van Trees, Detection, Estimation, and Modulation Theory.
sourceforge.net/projects/opencvlibrary New York: Wiley, 1969.
[27] S. King, G. Y. Tian, D. Taylor, and S. Ward, Cross-channel [50] P. Viola and M. Jones, Robust real-time face detection, Int. J. Comput.
histogram equalisation for colour face recognition, in Proc. AVBPA, Vis., vol. 57, no. 2, pp. 137154, May 2004
2003, pp. 454461. [51] L. Wiskott, J. Fellous, N. Krger, and C. von der Malsburg, Face recog-
[28] A. Kumar and T. Srikanth, Online personal identification in night using nition by elastic bunch graph matching, IEEE Trans. Pattern Anal. Mach.
multiple face representation, in Proc. Int. Conf. Pattern Recog., Tampa, Intell., vol. 19, no. 7, pp. 775779, Jul. 1997.
FL, 2008. [52] M. Yang, D. Kriegman, and N. Ahuja, Detecting faces in images:
[29] E. Land and J. McCann, Lightness and retinex theory, J. Opt. Soc. A survey, IEEE Trans. Pattern Anal. Mach. Intell., vol. 24, no. 1, pp. 34
Amer., vol. 61, no. 1, pp. 111, Jan. 1971. 58, Jan. 2002.
[30] J. Linnartz and P. Tuyls, New shielding functions to enhance privacy and [53] W. Zhao, R. Chellappa, P. J. Phillips, and A. Rosenfeld, Face recognition:
prevent misuse of biometric templates, in Proc. 4th Conf. Audio Video- A literature survey, ACM Comput. Surv., vol. 35, no. 4, pp. 399458,
Based Biometric Person Verification, Guildford, U.K., 2003, pp. 393403. Dec. 2003.
[31] A. Lumini and L. Nanni, Combining classifiers to obtain a reliable
method for face recognition, Multimed. Cyberscape J., vol. 3, no. 3,
pp. 4753, 2005.
[32] G. Marcialis and F. Roli, Fusion of appearance-based face recognition
algorithms, Pattern Anal. Appl., vol. 7, no. 2, pp. 151163, Jul. 2004.
[33] S. McKenna, S. Gong, and J. Collins, Face tracking and pose Qian Tao received the B.Sc. and M.Sc. degrees
representation, in Proc. Brit. Mach. Vis. Conf., Edinburgh, U.K., 1996, from Fudan University, Shanghai, China, in 2001 and
vol. 2, pp. 755764. 2004, respectively.
[34] Y. Moses, Y. Adini, and S. Ullman, Face recognition: The problem of In 2004, she joined the Signals and Sys-
compensating for changes in illumination direction, in Proc. Eur. Conf. tems Group, Department of Electrical Engineering,
Comput. Vis., 1994, pp. 286296. Mathematics and Computer Science, University of
[35] T. Ojala, M. Pietikainen, and T. Maenpaa, Multiresolution gray-scale and Twente, Enschede, The Netherlands, as a Ph.D. stu-
rotation invariant texture classification with local binary patterns, IEEE dent. She participated in the personal network pilot
Trans. Pattern Anal. Mach. Intell., vol. 24, no. 7, pp. 971987, Jul. 2002. (PNP) project of the Freeband, The Netherlands, and
[36] T. Riopka and T. Boult, The eyes have it, in Proc. ACM SIGMM the main focus of her work is face authentication
Multimed. Biometrics Methods Appl. Workshop, 2003, pp. 916. via mobile devices. Her research interests include
[37] A. Ross, K. Nandakumar, and A. Jain, Handbook of Multibiometrics. biometrics, artificial intelligence, image processing, and statistical pattern
New York: Springer-Verlag, 2006, ser. International Series on Biometrics. recognition.
[38] T. Sakai, M. Nagao, and S. Fujibayashi, Line extraction and pattern
detection in a photograph, Pattern Recognit., vol. 1, no. 3, pp. 233248,
Mar. 1969.
[39] R. Schapire, Y. Freund, P. Bartlett, and W. Lee, Boosting the margin:
A new explanation for the effectiveness of voting methods, in Proc. 14th Raymond Veldhuis received the M.Eng. degree in
Int. Conf. Mach. Learn., 1997, pp. 322330. electrical engineering from the University of Twente,
[40] A. Shashua, Geometry and photometry in 3D visual recognition, Ph.D. Enschede, The Netherlands, in 1981 and the Ph.D.
dissertation, MIT, Cambridge, MA, 1997. degree from Nijmegen University, Nijmegen, The
[41] A. Shashua and T. Riklin-Raviv, The quotient image: Class-based Netherlands, in 1988, with a thesis titled, Adaptive
re-rendering and recognition with varying illuminations, IEEE Trans. restoration of lost samples in discrete-time signals
Pattern Anal. Mach. Intell., vol. 23, no. 2, pp. 129139, Feb. 2001. and digital images.
[42] Q. Tao and R. Veldhuis, A study on illumination normalization for 2D From 1982 to 1992, he was a Researcher
face verification, in Proc. Int. Conf. Comput. Vis. Theory Appl., Madeira, with Philips Research Laboratories, Eindhoven,
Portugal, 2008, pp. 4249. The Netherlands, in various areas of digital signal
[43] Q. Tao and R. N. J. Veldhuis, Threshold-optimized decision-level fu- processing, such as audio and video signal restora-
sion and its application to biometrics, Pattern Recognit., vol. 42, no. 5, tion and audio source coding. From 1992 to 2001, he was with the Institute of
pp. 823836, May 2009. Perception Research (IPO), Eindhoven, working on speech signal processing
[44] D. Tax, One class classification, Ph.D. dissertation, Delft Univ. and speech synthesis. From 1998 to 2001, he was a Program Manager of the
Technol., Delft, The Netherlands, 2001. Spoken Language Interfaces research program. He is currently an Associate
[45] B. Ulery, A. Hicklin, C. Watson, W. Fellner, and P. Hallinan, Studies of Professor with the Signals and Systems Group, Department of Electrical En-
biometric fusion, NIST, Gaithersburg, MD, NIST Tech. Rep. IR 7346, gineering, Mathematics and Computer Science, University of Twente, working
2006. in the fields of biometrics and signal processing. He is the author of over 120
[46] BioID, BioID Face Database. [Online]. Available: http://www. papers published in international conference proceedings and journals. He is
humanscan.de/ also a coauthor of the book An Introduction to Source Coding (Prentice-Hall)
[47] FERET, FERET Face Database. [Online]. Available: http://www.itl.nist. and the author of the book Restoration of Lost Samples in Digital Signals
gov/iad/humanid/feret/ (Prentice-Hall). He is the holder of 21 patents in the fields of signal processing.
[48] FRGC, FRGC Face Database. [Online]. Available: http://face.nist. His expertise involves digital signal processing for audio, images and speech;
gov/frgc/ statistical pattern recognition and biometrics.

Authorized licensd use limted to: IE Xplore. Downlade on May 13,20 at 1:503 UTC from IE Xplore. Restricon aply.