2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct.

19-20, Mumbai, India

Background Removal using K-Means Clustering as

a Preprocessing Technique for DWT Based
Face Recognition
Surabhi A.R.
Student,
Dept. of Electronics
and Communication Engg.,
M.S. Ramaiah Institute
of Technology,
Bangalore-560054, INDIA
surabhiram.1991@gmail.com
Shwetha T. Parekh
Student,
Dept. of Electronics
and Communication Engg.,
M.S. Ramaiah Institute
of Technology,
Bangalore-560054, INDIA
shwetha.parekh@gmail.com
K. Manikantan
Associate Professor,
Dept. of Electronics
and Communication Engg.,
M.S. Ramaiah Institute
of Technology,
Bangalore-560054, INDIA
kmanikantan@msrit.edu
S. Ramachandran
Professor,
Dept. of Electronics
and Communication Engg.,
S.J.B. Institute
of Technology,
Bangalore-560060, INDIA
ramachandr@gmail.com

Corresponding Author

AbstractFace Recognition (FR) under varying background explained in Section II-A.

conditions is challenging, and exacting background invariant
features is an effective approach to solve this problem. In this
paper, we propose a novel method for background removal based
on the k-means clustering algorithm, which lays the ground for
DWT-based feature extraction to enhance the performance of a
FR system. Individual stages of the FR system are examined and
an attempt is made to improve each stage. A Binary Particle
Swarm Optimization (BPSO)-based feature selection algorithm
is used to search the feature vector space for the optimal feature
subset. Experimental results, obtained by applying the proposed
algorithm on ORL, UMIST, Extended Yale B and ColorFERET
databases, show that the proposed system outperforms other FR
systems. A significant increase in the overall recognition rate and
a substantial reduction in the number of features are observed.
I. I NTRODUCTION
Face Recognition (FR) is one of the most important research
areas today mainly because of its applications in the fields
of authentication, security and intelligence. Many approaches
to FR have been developed [1]. The main component of
a FR system is the feature extractor. Fourier Transform
(FT), Discrete Cosine Transform (DCT), Discrete Wavelet
Transform (DWT) and Principal Component Analysis (PCA)
are such feature extractors. The effectiveness of an extractor
is determined by its ability to extract the best discriminant
features of the face [2]. Feature Selection involves the
derivation of a subset of the extracted features. Binary
Particle Swarm Optimization (BPSO), Genetic Algorithm
(GA), Bacterial Foraging (BF), Artificial Neural Networks
(ANN) and Joint Boosting Feature Selection [3] are few
feature selectors.
Image quality is subject to factors such as illumination,
camera quality and resolution and background. It is desirable
to neutralise the effects caused by such factors. Image
preprocessing techniques provide the user with subjective tools
and thus bring out the contrast of details contained in the
images. The preprocessing techniques used in this paper are
The Discrete Wavelet Transform (DWT) is used as the
feature extractor and the BPSO is used for feature selection.
Preprocessed FERET images obtained using the proposed
model are found to give extremely good FR accuracies. A
suitable combination of the above mentioned preprocessing
techniques is applied to Extended Yale B, ORL and UMIST
databases and the results are tabulated.
For enhanced face recognition, this paper proposes the
following novel ideas.
1) Background removal using k-means clustering for
FERET database.
2) A feature extractor and feature selector model
independent of the dataset used.
The rest of the paper is organised as follows. The
preprocessing techniques, Discrete Wavelet Transform and
BPSO concepts are explained in Section II. In Section III
we introduce the concept of k-means clustering and its use
in background removal for FERET images. We also explain
the proposed preprocessing flow for the databases ORL,
UMIST, Extended Yale B and FERET that achieve high
recognition accuracies. The proposed models are supported
by experimental results thus establishing the success of the
models. Finally, Section IV contains the conclusion.
Fig. 1. General block diagram of proposed Face Recognition system

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2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct. 19-20, Mumbai, India
Fig. 2. Logarithmic Transform
Fig. 3. Histogram Equalization
II. F UNDAMENTAL C ONCEPTS
The general face recognition system is as shown in Fig.
1. The properties of the image are first suitably enhanced
using image preprocessing techniques as in Section II-A. It
is required that the important features be extracted from the
images in order to perform recognition. This paper employs the
DWT extractor as explained in Section II-B. The performance
of a FR system depends mainly on the features selected. BPSO
is an optimal feature selection tool. The algorithm and working
of the same are explained in Section II-C.
A. Image Enhancement Techniques
Image enhancement is a basic image processing task
that enables us to have subjective judgement over images.
These methods provide better contrast of details contained
in the images. Background Removal removes the unwanted
components of the image. This is achieved by various
methods. k-means clustering for image segmentation and thus
background removal for FERET images is proposed in this
paper.
1) Logarithmic Transformation: The logarithmic operator
is a simple point processor where the mapping function is
a logarithmic curve. In other words, each pixel value is
replaced with its logarithm. Most implementations take either
the natural logarithm or the base 10 logarithm. The logarithmic
mapping function is given by
F = c log(1 + r) (1)
The value of the constant c in the Eq. (1) is flexible and can
be used according to requirements. r is the pixel intensity.
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Fig. 4. Unsharp Masking with k=1
Fig. 2 shows the result of applying log transform. It maps
a narrow range of low-level intensities into a wide range of
intensities and maps a wide range of high-level intensities into
a narrow range of high-level intensities, thus increasing the
overall brightness of the image [4].
2) Histogram Equalization: Histogram equalization is an
effective contrast enhancement technique. It works especially
well in regions of low contrast by distributing the pixels
over a wider intensity range [5]. Histogram equalization
accomplishes this by effectively spreading out the most
frequent intensity values. The method is useful in images with
backgrounds and foregrounds that are both bright or both dark.
A disadvantage of this method is that it is indiscriminate.
It may increase the contrast of background noise, while
decreasing the usable signal. Fig. 3 shows the result of HE.
3) Scale Normalization: Scale Normalization is a
preprocessing technique used to remove unwanted components
in an image. In this paper, scale normalization is used to
retain only that region of the image where the face is present.
It is achieved as follows. An edge detection operation is
performed on the image. The resulting binary image is
scanned horizontally from top and bottom to find the first
edges. These rows are stored as Rmin and Rmax. Next, the
image is scanned vertically from left and right sides to find
the first edges. These columns are stored as Cmin and Cmax.
The scale normalized image consists of the rows Rmin:Rmax
and columns Cmin:Cmax of the original image [6].
4) Digital Unsharp Masking: This technique is an
extremely interesting and highly simplistic way to increase
the sharpness of an image. A smoothened version of an image
is subtracted from the original image to give what is called a
mask. A weighted portion of this mask is added back to the
original image, thus enhancing the edges and the sharpness of
the image [4]. Let f be the image and fLP be the low-pass
filtered version. Mask is given by f - fLP . The resulting image
is g= f + k*mask, where k is a constant greater than 1 for high
boost filtering. Fig. 4 shows the result of unsharp masking.
B. Discrete Wavelet Transform
Discrete Wavelet Transform is a mathematical tool capable
of providing both the spatial and frequency representations of
the image simultaneously. This capability of DWT promotes
its use in face recognition. The decomposition of data into
different ranges allows us to isolate the frequency components
introduced by intrinsic deformations due to expressions or
extrinsic factors (like illumination) into certain sub bands [2].
There exists a large set of wavelet families depending upon the
choice of the mother wavelet. The low frequency components
2
2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct. 19-20, Mumbai, India

Fig. 5. 2-D Wavelet Decomposition of a face image. (a) Original image (b) 1-level wavelet decomposition (c) 2-level wavelet decomposition

give a global description while the high frequency components where Vi+1 is the updated velocity vector, Vi is the present
concentrate on the finer details of the image. As shown in velocity vector, LBest is the Local Best Position of the particle,
Fig. 5, at the end of each level of wavelet decomposition, GBest is the best position attained by the entire swarm, is
four new images called LL, LH, HL and HH are created from the inertia factor.
the original image. The LL image is a reduced version of The positions of the particles are updated as
the original and retains most details. The LH image contains 1
horizontal edge features, while the HL image contains vertical if rand < , (Xi+1 ) = 1 else (Xi+1 ) = 0 (3)
1+eVi+1
edge features. The HH image contains only high frequency where Xi+1 is the updated position and rand is a string of
information and is typically noisy. In wavelet decomposition, random numbers between 0 and 1.
only the LL image is used to produce the next level of 2) Fitness Function: The fitness function mainly aims
decomposition as in Fig. 5. at increasing the class separation, which optimizes the
In this paper, face recognition using DWT is based on recognition process. The class means and global means are
the facial features extracted from the Reverse Biorthogonal calculated as follows
Wavelet Transform. Ni
Mi = N1i Wj (i) , i=1,2,3....L
P
C. Binary Particle Swarm Optimization
j=1
Particle Swarm Optimization, first introduced by Kennedy
(i)
and Eberhart, is an algorithm based on the social behavior where Wj , j=1,2,...Ni represents the sample images from
of bees and birds [7], [8]. This method searches the problem class wi and the grand mean M0 is given by
space iteratively and converges to an optimum solution. The L
1 X
position of each particle is updated by a velocity vector using M0 = Ni Mi
N
prior knowledge about the best position of the particle and i=1

that of the swarm as a whole. In each iteration, each particle is where N is the total number of images for all the classes. Thus
evaluated based on the value returned by a Fitness Function. In the fitness function F is computed as follows
v
Binary Particle Swarm Optimization (BPSO) [9], the particle u L
uX
position is coded as a binary string. The parameters used are T
F =t (M M ) (M M )
i 0 i 0 (4)
Swarm Size N=30, cognitive factor c1 =2, social factor c2 =2, i=1
Inertia Weight =0.6, Number of Iterations=100. where T denotes transpose of the matrix.
1) BPSO Algorithm: The algorithm for BPSO operation is
In this paper, the BPSO is used as a feature selector and
as follows:
the parameters are defined above.
Step 1: Initialize parameters c1 , c2 , r1 and r2
3) Euclidean Classifier: The Euclidean Distance Classifier
Step 2: Generate N particles with random positions and
is used to measure the similarity between test vector and the
velocities
reference vectors in the gallery [2]. The reference vectors
Step 3: Evaluate particles fitness using fitness function given
are the feature vectors obtained from the training images by
in Eq.(4)
applying DWT and BPSO feature selection. The Euclidean
Step 4: If fitness > fitness of particles LBest, update LBest.
distance between any two vectors in space is given as
Step 5: If fitness > fitness of present GBest, update GBest. v
Step 6: If stopping criteria are satisfied, terminate process and u N
uX 2
return feature vector. Else, update the velocity of each particle D =t (p q ) i i (5)
using Eq. (2) and position using Eq. (3) i=1
The velocities of the particles are updated as where pi or qi is the coordinate of p or q respectively in
Vi+1 =Vi +r1 c1 (LBestXi )+r2 c2 (GBestXi ) (2) dimension i.

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2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct. 19-20, Mumbai, India
Fig. 6. Process flow for k-means clustering
III. D ISCUSSION OF P ROPOSED FR S YSTEMS AND
E XPERIMENTAL R ESULTS
FERET database images have significant, slightly varying
background which interferes in the FR process. Hence,
techniques to overcome this effect are detailed in Experiment
1. ORL and UMIST databases contain images that have
homogeneous background. Experiment 2 details the proposed
FR model for these databases. Extended Yale B images have
a wide variation of illumination and thus they require an
illumination correction technique. This is implemented in
Experiment 3.
A. Experiment 1: FERET Database
The FERET database is a standard dataset that includes
11338 facial images of 994 individuals [10]. It has the
following subsets : fa and fb are frontal images, ra, rb, rc,
rd and re are random orientations, ql, qr, pl, pr, hl and hr are
quarter left, quarter right, profile left, profile right, half left
and half right respectively. We have chosen 20 images each
for 35 random subjects such that there are 4 images from ra
to re and 2 images each from the remaining subsets. We have
used smaller, that is, 384 256 pixels, version of the images
for our experiments.
The following sections describe the proposed background
removal technique, the preprocessing model and the FR model.
1) Proposed Background Removal Technique Using
k-means Clustering: Separating dynamic objects, such
as people, from a relatively static background scene is a
very important preprocessing step in many applications.
Accurate and efficient background removal is critical for
face recognition as the background information [11] may
interfere with the useful facial information. In this section,
the proposed background removal using k-means clustering
[12] is explained.
Clustering is a process of organizing objects into groups
whose members are similar in some way. A cluster is therefore
a collection of objects which are similar to one another and
are dissimilar to objects belonging to other clusters [13]. The
types of clustering are distance-based and concept-based. Here
we employ a concept-based clustering algorithm to achieve
image segmentation. k-means Clustering, Fuzzy C-Means,
Hierarchical Clustering and Mixture of Gaussians are a few
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(a) Original (b) k=3 (c) k=4 (d) k=5
Fig. 7. Result of clustering for different values of k
clustering algorithms [14]. k-means is the simplest algorithm
that classifies data based on their distance from each other
[15]. The application of k-means clustering in order to achieve
image segmentation such that the background is isolated as
one segment is the main idea behind this concept. The process
flow is described in Fig. 6. The k-means clustering algorithm
is applied to FERET database images. The proposed algorithm
is as follows:
Step 1: k cluster centers are randomly assigned. The values
of these centroids are random gray-level intensities.
Step 2: Each pixel in the image is assigned to that cluster
whose centroid value is closest to the pixel intensity value.
Step 3: The Euclidean Distance measurement is used to
determine the closeness between the pixel and the centroids.
Step 4: The values of the cluster centroids are recalculated by
averaging the intensity values of all the pixels in each cluster.
Steps 2-4 are repeated until no pixel changes its cluster.
Thus, at the end of this procedure, the image has k segments.
The distance between the object and the centroid is
calculated using the Euclidean Distance given by
k X
X 2
V= (xj i )
i=1 xj Si
where there are k clusters Si , i=1,2,.....,k and is the centroid
or mean point of all the points xj Si
The k-means clustering method [16] described above was
applied to FERET database. The segmented images with
different values of k are as shown in Fig. 7. It is observed
that, for k=3, the image is divided into 3 segments in such
a way that the background is a single segment. This forms
the foundation for using this method. A binary image is
created such that all non-white pixels of the segmented image
are given the value 1 and all white pixels of the segmented
image are given the value 0. Reconstruction of the image is
performed from the original image for the regions with value
1 in the binary image. The resulting image is found to have
been stripped of the background very effectively. This step has
a large effect on the recognition accuracy.
2) Proposed Preprocessing on FERET images: The images
from FERET database are subjected to k-means clustering with
k=3. As explained in Section III-A1, background removal is
performed. To this image, scale normalization is applied so
that only the facial part of the image is retained. Successive
applications of Logarithmic Transformation, Unsharp Masking
and Histogram Equalization are performed. This is illustrated
in Fig. 8.
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2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct. 19-20, Mumbai, India

Fig. 8. Preprocessing steps for FERET images

(a) FERET

(a) RR v/s Training:Testing Ratio

(b) ORL and UMIST (c) Extended Yale B

(b) RR v/s No. of (c) RR v/s constant c (d) RR v/s Types of
Fig. 9. Preprocessing blocks for different databases Decomposition Levels Wavelets (Level 7)

3) Proposed FR model for FERET database: The face Fig. 10. Results for Experiment 1:FERET
recognition model is implemented for FERET database with
the preprocessing block as shown in Fig. 9(a). A fixed number
of images from each class are chosen to be the training set. The
FERET images are subjected to the preprocessing techniques
as in Fig. 8. The one-dimensional wavelet transform is applied
to each of these images and features are selected using BPSO. (a) Extended Yale B
This collection of images after feature extraction and selection
forms the face gallery. A test image is randomly picked from
the remaining preprocessed FERET images and the rbio DWT
is applied to it. The transformed test image is multiplied
with the feature vector returned by the BPSO in the training
stage. Using the Euclidean Classifier Eq. (5), the test image
(b) ORL
is compared with each of the images in the face gallery. One
with the least distance is returned as the best match.
Initially, we choose a value randomly for c (of Eq. (1))
between 0.25 and 2 and for DWT level of decomposition
between 5 and 8. One wavelet family among the four
popular families namely, haar, symlet, biorthogonal and (c) UMIST
Fig. 11. RR v/s Training:Testing Ratios
reverse biorthogonal, is chosen randomly. Then, by trial and
error method, we found that the following parameter values TABLE I
resulted in the highest recognition rate: c=0.25, level of PARAMETERS AND R ESULTS OF E XPERIMENTS
decomposition=7, wavelet family-Reverse Biorthogonal (rbio).
ORL UMIST EXTENDED FERET
The results are shown in Fig. 10(b), (c), (d). Thus fixing YALE B

these values, an experiment was conducted for different DWT level (rbio1.3) 5 5 7 7
Number of features selected 194 355 62 260
training:testing ratios. As seen in Fig. 10(a), the recognition Average testing time/ image(ms) 9.16 7.19 46 40
Training to Testing Ratio 4:6 7:12 3:16 8:12
rate remains almost constant at the maximum value beyond Peak Recognition Rate(%)
Average Recognition Rate(%)
98.33
97.68
99.16
98.51
97.9
96.32
94.2
86.14
the ratio 8:12. Hence, we find the ratio 8:12 is optimum for
minimum computation time. The average recognition rate of facial expressions and facial details. All the images are taken
86.14% thus obtained is better than existing systems [17]. against a dark homogeneous background with the subjects in
an upright, frontal position.The size of each image is 112
B. Experiment 2: ORL and UMIST Databases 92 pixels, with 256 gray levels per pixel.
ORL database contains different images of 40 distinct The UMIST Face Database contains grayscale images of
subjects [18]. Images are taken at different times, varying the size 112 92 pixels [19]. It has images of 20 unique subjects.

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2012 International Conference on Communication, Information & Computing Technology (ICCICT), Oct. 19-20, Mumbai, India
The number of images per person varies from 19 to 36. It
contains images with varing angles from left profile to right
profile. We have chosen 19 images per person.
In this experiment, we apply the general face recognition
model in Fig. 1 with the preprocessing techniques in the order
log transform and unsharp masking for ORL and UMIST
databases as shown in Fig. 9(b). As ORL and UMIST database
images do not contain much background information, k-means
fails to isolate it and hence is not used. The preprocessed
images are given to a feature extractor which is DWT (reverse
biorthogonal wavelet). As in Experiment 1 described above,
we determine the values of c and the decomposition level as
0.25 and 5 respectively by trial and error method. The reverse
biorthogonal wavelet was found to give the best results. Using
these values, the recognition rates for various training:testing
ratios for both ORL and UMIST databases are shown in Fig.
11(b), (c). The training:testing ratios were fixed at 4:6 for ORL
and 7:12 for UMIST as there is no significant improvement
in the recognition rate beyond these values. It is seen that the
wavelet family and the value of c are consistent with those of
FERET. Due to the smaller size of ORL and UMIST images,
decomposition levels higher than 5 did not provide higher
accuracies. The results are tabulated in Table I.
C. Experiment 3: Extended Yale B Database
Extended Yale B contains 16128 images of 28 human
subjects under 9 poses and 64 illumination conditions [20].
We have used 19 images from subset 5 (Pose 1) for each of
the 28 subjects. The size of the images are 640 480 pixels.
In this experiment, we apply the general face recognition
model in Fig. 1 with the preprocessing techniques for
the Extended Yale B database as shown in Fig. 9(c). To
normalize the illumination variance, histogram equalization
is used before performing log transform and unsharp
masking. As in the previous experiments, we fix c=0.25
and level of decomposition=7 by trial and error. Again, the
reverse biorthogonal wavelet was found to give the best
results. Thus fixing these parameters, results for different
training:testing ratios were obtained as shown in Fig. 11(a).
Extended Yale B (Pose 1) images differ from each other
only in terms of illumination and have no pose variations.
Illumination variations are to an extent neutralised by
histogram equalization. Thus, the recognition rate does not
significantly increase beyond the ratio 3:16. The results are
tabulated in Table I.
IV. C ONCLUSION
A novel approach for a flexible FR system is proposed,
which uses the combination of k-means clustering for
preprocessing, DWT-based feature extraction and a
BPSO-based feature selection, implemented using MATLAB
[21]. k-means clustering has played a key role in efficient
background removal, which is the main contributor for
the high recognition rates being obtained in ColorFERET
database. A successful attempt has been made to equally
handle all image variations (facial expressions, pose and
illumination). The proposed method exhibits extremely good
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performance under frontal poses with variations in facial
expressions and facial details (ORL and UMIST databases).
The experimental results indicate that the proposed method
has performed well under severe illumination variations with
top recognition rates having reached 97.9% for Subset 5 of
Extended Yale B considering only Pose 1. It is also successful
in tackling the most challenging task of pose variance in FR
with average recognition rate of 86.14% for ColorFERET
considering all 13 poses. Thus, the proposed method has
proven to be a promising technique under arbitrary variations
in illumination, poses and backgrounds.
This paper uses a simple Euclidean Classifier. By using
other classifiers such as SVM, Random Forest etc., the
performance of the FR system is expected to improve
substantially.
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