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One-Shot Learning for Periocular Recognition: Exploring the Effect of Domain Adaptation and Data Bias on Deep Representations
Halmstad University, School of Information Technology.ORCID iD: 0000-0002-9696-7843
Halmstad University, School of Information Technology.ORCID iD: 0000-0002-1400-346X
Halmstad University, School of Information Technology.ORCID iD: 0000-0002-4929-1262
2023 (English)In: IEEE Access, E-ISSN 2169-3536, Vol. 11, p. 100396-100413Article in journal (Refereed) Published
Abstract [en]

One weakness of machine-learning algorithms is the need to train the models for a new task. This presents a specific challenge for biometric recognition due to the dynamic nature of databases and, in some instances, the reliance on subject collaboration for data collection. In this paper, we investigate the behavior of deep representations in widely used CNN models under extreme data scarcity for One-Shot periocular recognition, a biometric recognition task. We analyze the outputs of CNN layers as identity-representing feature vectors. We examine the impact of Domain Adaptation on the network layers’ output for unseen data and evaluate the method’s robustness concerning data normalization and generalization of the best-performing layer. We improved state-of-the-art results that made use of networks trained with biometric datasets with millions of images and fine-tuned for the target periocular dataset by utilizing out-of-the-box CNNs trained for the ImageNet Recognition Challenge and standard computer vision algorithms. For example, for the Cross-Eyed dataset, we could reduce the EER by 67% and 79% (from 1.70%and 3.41% to 0.56% and 0.71%) in the Close-World and Open-World protocols, respectively, for the periocular case. We also demonstrate that traditional algorithms like SIFT can outperform CNNs in situations with limited data or scenarios where the network has not been trained with the test classes like the Open-World mode. SIFT alone was able to reduce the EER by 64% and 71.6% (from 1.7% and 3.41% to 0.6% and 0.97%) for Cross-Eyed in the Close-World and Open-World protocols, respectively, and a reduction of 4.6% (from 3.94% to 3.76%) in the PolyU database for the Open-World and single biometric case.

Place, publisher, year, edition, pages
Piscataway, NJ: IEEE, 2023. Vol. 11, p. 100396-100413
Keywords [en]
Biometrics, Biometrics (access control), Databases, Deep learning, Deep Representation, Face recognition, Feature extraction, Image recognition, Iris recognition, One-Shot Learning, Periocular, Representation learning, Task analysis, Training, Transfer Learning
National Category
Computer Sciences
Identifiers
URN: urn:nbn:se:hh:diva-51749DOI: 10.1109/ACCESS.2023.3315234Scopus ID: 2-s2.0-85171525429OAI: oai:DiVA.org:hh-51749DiVA, id: diva2:1806164
Part of project
Ocular biometrics in unconstrained sensing environments, Swedish Research Council
Funder
Swedish Research CouncilVinnovaAvailable from: 2023-10-19 Created: 2023-10-19 Last updated: 2025-10-01Bibliographically approved
In thesis
1. Ocular Recognition in Unconstrained Sensing Environments
Open this publication in new window or tab >>Ocular Recognition in Unconstrained Sensing Environments
2024 (English)Doctoral thesis, comprehensive summary (Other academic)
Abstract [en]

This thesis focuses on the problem of increasing flexibility in the acquisition and application of biometric recognition systems based on the ocular region. While the ocular area is one of the oldest and most widely studied biometric regions thanks to its rich and discriminative elements and characteristics, most modalities such as retina, iris, eye movements, or oculomotor plant have limitations regarding data acquisition. Some require a specific type of illumination like the iris, a limited distance range like eye movements, or specific sensors and user collaboration like the retina. In this context, this thesis focuses on the periocular region, which stands out as the ocular modality with the fewest acquisition constraints. 

The first part focuses on using middle-layers' deep representation of pre-trained CNNs as a one-shot learning method, along with simple distance-based metrics and similarity scores for periocular recognition. This approach tackles the issue of limited data availability and collection for biometric recognition systems by eliminating the need to train the models for the target data. Furthermore, it allows seamless transitions between identification and verification scenarios with a single model, and tackles the problem of the open-world setting and training bias of CNNs. We demonstrate that off-the-shelf features from middle-layers can outperform CNNs trained for the target domain that followed a more extensive training strategy when target data is limited.

The second part of the thesis analyzes traditional methods for biometric systems in the context of periocular recognition. Nowadays, these methods are often overlooked in favor of deep learning solutions. However, we show that they can still outperform heavily trained CNNs in closed-world and open-world settings and can be used in conjunction with CNNs to further improve recognition performance. Moreover, we investigate the use of the complex structure tensor as a handcrafted texture extractor at the input of CNNs. We show that CNNs can benefit from this explicit textural information in terms of performance and convergence, offering the potential for network compression and explainability of the features used. We demonstrate that CNNs may not easily access the orientation information present in the images that are exploited in some more traditional approaches.

The final part of the thesis addresses the analysis of periocular recognition under different light spectra and the cross-spectral scenario. More specifically, we analyze the performance of the proposed methods under different light spectra. We also investigate the cross-spectral scenario for one-shot learning with middle-layers' deep representations and explore the possibility of bridging the domain gap in the cross-spectral scenario by training generative networks. This allows using simpler models and algorithms trained on a single spectrum.

Place, publisher, year, edition, pages
Halmstad: Halmstad University Press, 2024. p. 49
Series
Halmstad University Dissertations ; 114
Keywords
Biometrics, Computer Vision, Pattern Recognition, Periocular Recognition
National Category
Signal Processing Computer graphics and computer vision
Identifiers
urn:nbn:se:hh:diva-53257 (URN)978-91-89587-43-4 (ISBN)978-91-89587-42-7 (ISBN)
Public defence
2024-05-28, S3030, Kristian IV:s väg 3, 08:00 (English)
Opponent
Supervisors
Available from: 2024-04-24 Created: 2024-04-24 Last updated: 2025-10-01Bibliographically approved

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Hernandez-Diaz, KevinAlonso-Fernandez, FernandoBigun, Josef

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