Towards Non-Cooperative Biometric Iris Recognition

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Towards Non-Cooperative Biometric Iris Recognition Hugo Pedro Martins Carric¸o Proenc¸a Towards Non-Cooperative Biometric Iris Recognition University of Beira Interior Department of Computer Science October 2006 Hugo Pedro Martins Carric¸o Proenc¸a Towards Non-Cooperative Biometric Iris Recognition Thesis submitted to the Department of Computer Science for the fulfillment of the requirements for the degree of Doctor of Philosophy made under the supervision of Doctor Lu´ıs A. Alexandre, Assistant Professor at the Department of Computer Science of University of Beira Interior, Covilha,˜ Portugal University of Beira Interior Department of Computer Science October 2006 Acknowledgements This is dedicated to everyone that contributed to the achievement of this work. To all of them i let my sincere grateful. First, I would like to express my gratitude to my supervisor, Doctor Lu´ıs A. Alexandre, for his expertise, gentle guidance and encouragement, which ensured that progress was continuously maintained. I am pleased to conclude that our discussions, during the last three years, strongly contributed to the development of this work. I would like to express my grateful to the University of Beira Interior, specially to my colleagues of the Department of Computer Science, for the enjoyable working environment that they contributed to. Also, to the Institute of Telecommunications - Covilha˜ Laboratory - for the given support. I owe particular thanks to the people that contributed for the earliest stage of this work, by offering themselves as volunteers, in the construction of the UBIRIS database, as well to the Optics Center and Center of Multimedia (CREA), both of the University of Beira Interior. Last, but not least, I would like to thank to all the people close to myself in the last years, for their strong support, encouragement, friendship and love. I am grateful for their understanding for the time during which I was absent due to this research work. iii iv Abstract Reliable personal recognition is critical to many processes. Nowadays, modern societies give higher relevance to systems that contribute to the increase of security and reliability, essentially due to terrorism and other extremism or illegal acts. In this context, the use of biometric systems has been increasingly encouraged by public and private entities in order to replace or improve traditional security systems. Basically, the aim is to establish an identity based on who the person is, rather than on what the person possesses or what the person remembers (e.g., an ID card or a password). Within this context, iris is commonly accepted as one of the most accurate biometric traits and has been successfully applied in such distinct domains as airport check-in [107] or refugee control [13]. However, for the sake of accuracy, present iris recognition systems require that subjects stand close (less than two meters) to the imaging camera and look for a period of about three seconds until the data is captured [45]. This cooperative behavior is required in order to capture images with enough quality for the recognition task. However, it strongly restricts the range of domains where iris recognition can be applied, specially those where the subjects’ cooperation is not expectable (e.g., criminal/terrorist seek, missing children). The overcome of this requirement - users’ cooperation - is the main focus of this thesis, i.e., the analysis and proposal of methods for the automatic recognition of individuals, using images of their iris and without requiring them any active participation, in order to achieve accurate covert human recognition. Our main objective is to overcome the users’ cooperation constraints in the biometric iris recognition. Profiting from the extremely low probability of false matches observed in the current iris-based biometric proposals, the external iris visibility and the fact that its capture is minimally intrusive, our aim consists in taking a step ahead in the development of a non-cooperative iris biometric recognition system. v However, it is highly probable that images captured at-a-distance, without users coopera- tion and within highly dynamic capturing environments lead to the appearance of extremely heterogenous images, with several other types of information in the captured iris regions (e.g., iris obstructions by eyelids or eyelashes and reflections). For the terms of our work and of this thesis, all these factors are considered as noise. After analyzing the actual iris recognition methods and finding that they have small robustness to noise factors, our work was oriented to the proposal of more robust iris recognition methods, that must be able to deal with noise and achieve accurate recognition, based in images captured within non-cooperative environments. Essentially, this thesis is related with the purpose of robust noise detection and handling in the iris biometrics, maintaining minimal recognition error rates. Along this thesis several proposals to increase the iris recognition robustness to noise are described, among which we enhance, first, a method to perform the segmentation of noisy iris images, a method to detect and localize the noise regions that result of non-cooperative imaging settings. Second, using the information about the localized noisy iris regions, we propose methods that deal with those noise regions. A method to compute the quality of each extracted feature is described. This method avoids that the features extracted from typically noisy regions can corrupt the biometric signature. Finally, a feature selection and a new iris classification strategy increase the adaptability of the recognition system to the dynamics of non-cooperative environments whereas localized noise regions that could corrupt the whole biometric signature are avoided. Our experiments show a significant increase in the recognition accuracy. Moreover, the fact that our proposals can be used together with most of the iris recognition proposals is regarded as a strong point. vi Resumo O reconhecimento automatico´ da identidade de um indiv´ıduo e´ um processo cr´ıtico para um elevado numero´ de acc¸oes˜ quotidianas. Presentemente, as sociedades atribuem relevanciaˆ crescente a sistemas que contribuam para aumentar os n´ıveis de seguranc¸a e fiabilidade, essencialmente devido a preocupac¸oes˜ com o terrorismo ou outros actos extremistas. Neste contexto, o uso de sistemas biometricos´ tem sido crescentemente encorajado, quer por entidades publicas´ ou privadas, com vista a substituir ou aumentar os n´ıveis de seguranc¸a tradicionais. Basicamente, o objectivo e´ estabelecer uma identidade para um individuo, baseado no que ele e´ em vez de o que ele possui ou o que ele sabe (por exemplo, um cartao˜ de identificac¸ao˜ ou uma palavra-passe). Neste sentido, a ´ıris e´ comummente aceite como um dos sinais biometricos´ mais exactos e tem sido utilizada com sucesso em dom´ınios tao˜ distintos como o controlo de entradas em aeroportos [107] ou o registo de refugiados e eleic¸oes˜ [13]. No entanto, de forma a atingir os n´ıveis de exactidao˜ pretendidos, os sistemas actuais de reconhecimento de ´ıris exigem que os indiv´ıduos a reconhecer se posicionem perto do dispositivo de captura de imagem (menos de dois metros) e olhem para ele por um per´ıodo de cerca de tresˆ segundos, ate´ que os dados necessarios´ sejam registados [45]. Este comportamento cooperativo e´ necessario´ por forma a adquirir imagens com suficiente qualidade, mas restringe a gama de dom´ınios onde a utilizac¸ao˜ de sistemas biometricos´ baseados em ´ıris pode ser efectuada (por exemplo, procura de terroristas ou crianc¸as desaparecidas). Tornar desnecessario´ o procedimento cooperativo por parte dos indiv´ıduos a reconhecer e´ o assunto principal desta tese. Nela sao˜ descritos e experimentalmente comparados metodos´ de efectuar o reconhecimento automatico´ de indiv´ıduos, utilizando imagens da sua ´ıris e sem lhes requerer qualquer acto de participac¸ao˜ no processo, por forma efectuar o recon- hecimento de forma encoberta, sem que os utilizadores sequer se apercebam. Apos´ a analise´ dos metodos´ actuais de reconhecimento biometrico´ baseado em imagens da ´ıris e tendo observado a sua pouca toleranciaˆ a factores de ru´ıdo, o nosso trabalho foi vii orientado para a proposta de metodos´ de reconhecimento mais robustos, capazes de lidar com imagens ruidosas e alcanc¸ar reconhecimento fiavel´ nessa circunstancias. Essencial- mente, esta tese aborda a detecc¸ao˜ e tratamento robusto de ru´ıdo em imagens de ´ıris para propositos´ biometricos,´ mantendo taxas de erro reduzidas. Nesta tese estao˜ descritos metodos´ para aumentar a robustez ao ru´ıdo dos algoritmos de reconhecimento de ´ıris, entre os quais realc¸amos primeiro os metodos´ para efectuar a segmentac¸ao˜ de imagens de ´ıris ruidosas e o metodo´ para detectar e localizar regioes˜ ruidosas em imagens de ´ıris segmentadas e normalizadas. De seguida, usando a informac¸ao˜ acerca da localizac¸ao˜ de cada regiao˜ com ru´ıdo, sao˜ descritos metodos´ que lidam com esse tipo de informac¸ao.˜ E´ descrito um metodo´ para calcular a qualidade de cada uma das caracter´ısticas extra´ıdas para a assinatura biometrica´ e evitar que as caracter´ısticas mais ruidosas possam corromper a assinatura biometrica.´ Descrevemos ainda metodos´ de selecc¸ao˜ de caracter´ısticas e uma nova estrategia´ de classificac¸ao˜ de ´ıris que aumentam a adaptabilidade dos sistemas de reconhecimento aos ambientes onde estao˜ a funcionar, evi- tando simultaneamente que as regioes˜ ruidosas possam corromper a totalidade da assinatura biometrica.´ As experienciaˆ feitas mostram um decrescimo´ substancial nas taxas de erro. O facto das nossas propostas poderem ser utilizadas conjuntamente com a maioria dos algoritmos actuais de reconhecimento de ´ıris e´ visto como uma vantagem. viii Contents List of Figures xv List of Tables xix 1 Introduction 1 1.1 Motivation and Objectives . 3 1.2 Contributions . 5 1.3 Thesis Outline . 7 2 State-Of-The-Art 9 2.1 Biometrics . 9 2.1.1 Modes of Functioning . 12 2.1.2 A Classification of Biometric Systems . 13 2.1.3 Biometric Traits .
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