Pattern recognition with SVM and dual-tree complex wavelets

G.Y. Chen
*
, W.F. Xie
Department of Mechanical and Industrial Engineering, Concordia University, 1455 De Maisonneuve West Montreal, Que., Canada H3G 1M8
Received 8 June 2005; received in revised form 1 June 2006; accepted 12 July 2006
Abstract
A novel descriptor for pattern recognition is proposed by using dual-tree complex wavelet features and SVM. The approximate shift-
invariant property of the dual-tree complex wavelet and its good directional selectivity in 2D make it a very appealing choice for pattern
recognition. Recently, SVM has been shown to be very successful in pattern recognition. By combining these two tools we nd that better
recognition results are obtained. We achieve the highest rates when we use the dual-tree complex wavelet features with the Gaussian
radial basis function kernel and the wavelet kernel for recognizing similar handwritten numerals, and when we use the Gaussian radial
basis function for palmprint classication. Our ndings are that the dual-tree complex wavelets are always better than the scalar wavelet
for pattern recognition when SVM is used. Also, among many frequently used SVM kernels, the Gaussian radial basis function kernel
and the wavelet kernel are the best for pattern recognition applications.
2006 Elsevier B.V. All rights reserved.
Keywords: Wavelets; Dual-tree complex wavelets; Pattern recognition; SVM
1. Introduction
Feature extraction is a crucial step in pattern recogni-
tion. In general, good features must satisfy the following
requirements. First, intraclass variance must be small,
which means that features derived from dierent samples
of the same class should be close (e.g., numerically close
if numerical features are selected). Second, the interclass
separation should be large, i.e., features derived from sam-
ples of dierent classes should dier signicantly. Further-
more, features should be independent of the size,
orientation, and location of the pattern. This independence
can be achieved by preprocessing or by extracting features
that are translation-, rotation-, and scale-invariant. Some
of the papers on pattern recognition and invariant descrip-
tors include [114].
Wavelet transforms have been proved to be very pop-
ular and eective in pattern recognition. Here we briey
review some of the papers for pattern recognition using
wavelets. Bui et al. [2] proposed an invariant descriptor
by using orthonormal shell and the Fourier transform.
The descriptor is invariant to translation, rotation, and
scaling. Chen and Bui [3] invented an invariant descriptor
by using a combination of Fourier transform and wavelet
transform. They polarize the pattern rst, and then per-
form 1D wavelet transform along the radial direction
and 1D Fourier transform in the angular direction. Lee
et al. [4] proposed a scheme for multiresolution recogni-
tion of unconstrained handwritten numerals using wave-
let transform and a simple multilayer cluster neural
network. The wavelet features of handwritten numeral
at two decomposition levels are fed into the multilayer
cluster neural network. Wunsch and Laine [5] gave a
descriptor by extracting wavelet features from the outer
contour of the handwritten characters and feeding the
features into neural networks. Their experiments were
done for handprinted characters. Chen et al. [6] devel-
oped a descriptor by using multiwavelets and neural net-
works. The multiwavelet features are also extracted from
the outer contour of the handwritten numerals and fed
into neural networks. This descriptor gives higher recog-
0262-8856/$ - see front matter 2006 Elsevier B.V. All rights reserved.
doi:10.1016/j.imavis.2006.07.009
*
Corresponding author. Present address: 7167 Boyer, Montreal, Que.,
Canada H2R 2R6. Tel.: +1 514 2715089.
E-mail addresses: guangyi_chen@hotmail.com, guang_c@cs.concordia.
ca (G.Y. Chen), wfxie@me.concordia.ca (W.F. Xie).
www.elsevier.com/locate/imavis
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nition rate than the one given in [5] for handwritten
numeral recognition. Khalil and Bayoumi [7] investigated
to use wavelet modulus maxima for invariant 2D pattern
recognition. Tieng and Boles [8] used wavelet zero-cross-
ing to recognize 2D patterns. Tao et al. proposed a tech-
nique for feature extraction by using wavelet and fractal
[9]. Shen and Ip [10] presented a set of wavelet moment
invariants for the classication of seemingly similar
objects with subtle dierences. Tieng and Boles consid-
ered wavelet-based ane invariant pattern recognition
in [11,12]. More recently, Chen et al. proposed two
invariant descriptors for pattern recognition by using
ridgelets in [13,14].
In this paper, we propose a novel feature extraction
technique for pattern recognition. We use the dual-tree
complex wavelet transform to extract shift-invariant fea-
tures, and SVM to classify the unknown patterns. The
approximate shift-invariant property of the dual-tree com-
plex wavelet and its good directional selectivity in 2D
improve the recognition rate dramatically in recognizing
similar patterns. The kernels used in our experiments
include the polynomial kernel, the Gaussian radial basis
function kernel, the exponential radial basis kernel, the
spline kernel, the wavelet kernel, and the autocorrelation
wavelet kernel. Dual-tree complex wavelets have an intrin-
sic property of preserving high- and low-frequency features
during the decomposition. It has approximate shift-invari-
ant property and it can capture directional features more
eectively. Also, it can represent the pattern in a multires-
olution way. These properties are very important in invari-
ant pattern recognition. SVM has been proved to be very
eective in pattern recognition as well. By combining these
two tools in one pattern recognition descriptor, we nd it is
very successful in recognizing deformed unknown patterns.
A preliminary version of the paper can also be found in our
previous papers [15,16].
The organization of this paper is as follows. Section 2
reviews the dual-tree complex wavelet and its shift invari-
ant property. Section 3 reviews SVM for pattern recogni-
tion and the frequently used kernels. Section 4 proposes a
novel technique for pattern recognition by using the dual-
tree complex wavelet and SVM. Section 5 conducts some
experiments for recognizing similar patterns and palm-
prints. Finally, Section 6 draws the conclusions and gives
future work to be done.
2. The dual-tree complex wavelet
It is well known that the ordinary discrete wavelet trans-
form is not shift invariant because of the decimation
operation during the transform. A small shift in the input
signal can cause very dierent output wavelet coecients.
This is the main limitation of wavelet in pattern recogni-
tion. One way of overcoming this is to do the wavelet trans-
form without decimation. The drawback of this approach
is that it is computationally inecient, especially in multi-
ple dimensions.
Kingsbury ([1719]) introduced a new kind of wavelet
transform, called the dual-tree complex wavelet trans-
form, that exhibits approximate shift invariant property
and improved angular resolution. The success of the
transform is because of the use of lters in two trees,
a and b. He proposed a simple delay of one sample
between the level 1 lters in each tree, and then the
use of alternate odd-length and even-length linear-phase
lters. As he pointed out that there are some diculties
in the odd/even lter approach. Therefore, he proposed a
new Q-shift dual-tree [20] where all the lters beyond
level 1 have even length. The lters in the two trees
are just the time-reverse of each other, as are the analysis
and reconstruction lters. The new lters are shorter
than before, and the new transform still satises the shift
invariant property and good directional selectivity in
multiple dimensions. As will be shown later, this dual-
tree complex wavelet can be successfully used in invari-
ant feature extraction for pattern recognition.
3. SVM for pattern recognition
The support vector machine (SVM) was rst devel-
oped by Vapnik for pattern recognition and function
regression. It has also been proved to be very successful
in many other applications such as handwritten digit
recognition, image classication, face detection, object
detection, text classication, etc. ([2125]). Given an
identically independent distributed (i.i.d.) training exam-
ple set {(x
1
, y
1
), . . . , (x
n
, y
n
)}, where x 2 R
N
, y 2 {1,1}.
The kernel function can map the training examples in
input space into a feature space such that the mapped
training examples are linearly separable. In order to
have a better classication result, we maximize the mar-
gin of separation between patterns. The problem can be
converted to maximize the following dual optimization
problem:
W a
X
n
i1
a
i

1
2
X
n
i1
X
n
j1
a
i
y
i
a
j
y
j
Kx
i
; x
j
;
subject to
X
n
i1
a
i
y
i
0;
a
i
2 0; C:
for i 2 [1, n].
The decision function becomes
f x sign
X
n
i1
a
i
y
i
Kx; x
i
b
!
;
b y
r

X
l
i1
a
i
y
i
Kx
r
; x
i
;
where (x
r
, y
r
) is any training example.
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We briey review the frequently used SVM kernels here.
3.1. Polynomial
A polynomial kernel is a popular method for non-linear
modeling
Kx; x
0
hx; x
0
i
d
;
where d is the degree of the polynomial.
3.2. Gaussian radial basis function
Gaussian radial basis function is dened as
Kx; x
0
exp
kx x
0
k
2
2r
2
!
:
This kernel has received signicant attention from the ma-
chine learning community.
3.3. Exponential radial basis function
Exponential radial basis function is dened as
Kx; x
0
exp
kx x
0
k
2r
2

:
It produces a piecewise linear solution that is attractive
when discontinuities are acceptable.
3.4. Spline
A spline kernel is dened as
Kx; x
0
1 hx; x
0
i
1
2
hx; x
0
i minx; x
0

1
6
minx; x
0

3
;
where the solution is a piece-wise cubic.
3.5. Wavelet
The wavelet kernel is dened as
Kx; x
0

Y
N
i1
w
x
i
x
0
i
a

;
where w(x) = cos (1.75x) exp(x
2
/2), N is the dimension of
the input feature vector, and a is the scale factor.
3.6. Autocorrelation wavelet kernel
Wavelets satisfy a multiresolution analysis and they
obey the following relations:
/x

2
p X
L1
k0
h
k
/2x k 1
and
wx

2
p X
L1
k0
g
k
/2x k; 2
where g
k
= (1)
k
h
Lk1
, k = 0, . . . , L 1.
By the denition of auto-correlation, we have:
Ux
Z
1
1
/t/t x dt;
Wx
Z
1
1
wtwt x dt:
It can be derived that
Ux U2x
1
2
X
L=2
l1
a
2l1
U2x 2l 1 U2x 2l 1;
Wx U2x
1
2
X
L=2
l1
a
2l1
U2x 2l 1 U2x 2l 1;
where {a
k
} are the auto-correlation coecients of the lter
{h
1
, . . . , h
L1
},
a
k
2
X
L1k
l0
h
l
h
lk
; for k 1; . . . ; L 1
and
a
2k
0; for k 1; . . . ; L=2 1:
It is not dicult to nd that both U and W have support of
[L + 1, L 1].
A translation invariant kernel K(x, x
0
) = K(x x
0
) is
an admissible support vector (SV) kernel if and only if
its Fourier transform is non-negative [26]. This can be
satised by dening the following auto-correlation wave-
let kernel [27]:
Kx; x
0

Y
N
i1
W
x
i
x
0
i
a

;
where N is the dimension of the input feature vector and a
is the scale factor. It should be mentioned that we can
choose any compactly supported wavelet function to con-
struct auto-correlation wavelet kernel K(x, x
0
).
The wavelet function used here does not have an explicit
form. In order to generate it, we need to set one wavelet
coecient to 1 and all the rest coecients to 0. An inverse
wavelet transform generates the desired wavelet function
depending on the selected input wavelet lter. Since the
wavelet function has an implicit form, we save it in memory
as one dimensional array with a relatively large number of
sample points. This array needs to be generated only once
and then saved for later use.
The main reason why we use the auto-correlation
wavelet kernel is because that the auto-correlation of a
compactly supported wavelet satises the translation
invariant property. This property is very important in sig-
nal processing. The wavelet has a limitation on this. The
wavelet transform generates very dierent wavelet coe-
cients even if the input signal is shifted a little bit. This
limitation can be overcome by taking the auto-correlation
on the wavelet function. It can be easily proved that this
kernel K(x, x
0
) is an admissible SV kernel.
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4. Pattern recognition by using dual-tree complex wavelet
features and SVM
In this section, we propose two invariant descriptors for
similar handwritten numeral recognition and palmprint
classication, respectively.
4.1. Similar handwritten numeral recognition
Feature extraction is an important step in invariant pat-
tern recognition. In this section, we propose a novel
descriptor for handwritten numeral recognition. In order
to eliminate the translation variance, we move the centroid
of the pattern to the center of the pattern image. Also, we
normalize the pattern so that it ts into a 32 32 image.
Since the dual-tree complex wavelet has the properties of
shift invariance and multiresolution representation, we per-
form the 2D dual-tree complex wavelet on the normalized
pattern and use the features at dierent resolution scales as
a feature vector in order to train and test the SVM. There
should exist two sets of data: training dataset and testing
dataset. Since the dual-tree complex wavelet coecients
have real and imaginary parts, we take magnitude of the
complex number and use this magnitude value as our fea-
tures. The features extracted from the training dataset are
used to train the SVM, and the features extracted from
the testing dataset are used to test the SVM.
The steps of the descriptor for each pattern can be sum-
marized as follows:
1. Move the pattern centroid to the center of the pattern
image.
2. Scale the pattern so that it ts exactly into a 32 32
matrix.
3. Perform the 2D dual-tree complex wavelet transform on
the normalized pattern.
4. Train the SVM with the extracted feature vectors from
the training dataset.
5. Test the SVM in order to get the recognition rates.
It should be mentioned that the SVM can adopt any well-
known kernels in the training and testing process. We use
several frequently used SVM Kernels in this paper, includ-
ing the polynomial kernel, the Gaussian radial basis func-
tion kernel, the exponential radial basis kernel, the spline
kernel, the wavelet kernel, and the autocorrelation wavelet
kernel. Experiments in this paper show that the dual-tree
complex wavelet features achieve much higher recognition
rate than the scalar wavelet features for pattern recognition
no matter which SVM kernel is used. This is due to the
approximate shift invariant property of the dual-tree com-
plex wavelet and its good directional selectivity in 2D.
These properties are very desirable in invariant pattern rec-
ognition. Among the used SVM kernels, the Gaussian radi-
al basis function kernel and the wavelet kernel are the best
for pattern recognition applications in our experiments.
The combination of dual-tree complex wavelet with SVM
is new to our knowledge. This combination produces excel-
lent recognition results. Our experiments conrm that it
works for not only handwritten numeral recognition, but
also palmprint classication. It is concluded that the new
method should works equally well for other practical pat-
tern recognition applications, e.g., recognizing roadsign,
keys, etc.
4.2. Palmprint classication
Biometric authentication uses physiological character-
istics of a person to recognize the identity of the person.
This includes ngerprints, facial features, iris patterns,
speech patterns, hand geometry, and palmprints, etc.
Palmprint classication is a new branch of biometric
authentication ([2932]). Unlike other well developed bio-
metric features, limited works has been reported on
palmprint classication, despite the importance of palm-
print features. Palmprint classication oers a number of
advantages over other biometric authentication tech-
niques. For example, the principal lines and the wrinkles
of palm can be easily obtained from a low resolution
image. They vary very little over time, and their shape
and location are very important features for biometric
authentication.
Since the dual-tree complex wavelet has very desirable
properties for invariant palmprint recognition, we will
use it to extract features to recognize the unknown palm-
print images. The original palm samples contain the ngers
and the background. This is undesirable. We extract the
central portion of the palm sample and save it to a matrix
of size 128 128 for later processing. Fig. 1 shows a palm
image without preprocessing and the extracted palmprint
image. We apply the dual-tree complex wavelet to the
extracted palmprint image for a number of decomposition
levels, perform a 2D Fourier transform on each wavelet
subband, and take the spectrum magnitude of the Fourier
coecient of each decomposition subband. After that, we
use these extracted features to train and test the palmprint
database.
The steps of the method for palmprint classication can
be summarized as follows:
1. Extract the central portion of the palm sample image.
2. Perform the 2D dual-tree complex wavelet transform on
the extracted palmprint image for J decomposition
levels.
3. Apply a 2D Fourier transform on each wavelet subband
and take the spectrum magnitude.
4. Train the SVM with the extracted feature vectors from
the training dataset.
5. Test the SVM in order to get the recognition rates.
It should be mentioned that the kernel in SVM can be cho-
sen as any frequently used kernels in the literature. In this
subsection, we select the Gaussian radial basis function
kernel in our experiments.
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5. Experimental results
In this section, we conduct experiments for similar hand-
written numeral recognition and palmprint classication by
using the dual-tree complex wavelet features and SVM. For
both experiments, the dual-tree complex wavelet features
yield higher classication rates.
5.1. Similar handwritten numeral recognition
Experiments are done on 800 training samples and 400
testing samples. These are selected from the handwritten
numeral databases from the Centre for Pattern Recogni-
tion and Machine Intelligence at Concordia University
(CENPARMI). Half of the training and testing samples
is handwritten numeral 4 and the other half is numeral 9.
Fig. 2 shows the handwritten numerals used in testing the
SVM. Due to the large variation in the writing of these
two numerals, sometimes it is quite dicult to distinguish
4 and 9. They are treated as similar patterns in this paper.
These pattern images are already segmented and isolated.
Within each pattern image there exists only one pattern
on an uniform background. Each original pattern is repre-
sented by 32 32 pixels. The pattern is rst normalized so
that it is translation- and scale-invariant, and then the
dual-tree complex wavelet is applied on the normalized
pattern. The wavelet coecients of an image have multi-
resolution representation of the original image. The coarse
resolution wavelet coecients normally represent the glob-
al shape of the image, while the ne resolution coecients
represent the details of the image. Our SVM code is
obtained by modifying S. Gunns Matlab code [33]. These
parameter values in the SVM kernels are chosen by the
widely used cross-validation technique ([34,35]). The con-
stant C is chosen as 100 for all the experiments.
We use the dual-tree complex wavelet features and the
scalar wavelet features at dierent resolution scales in our
experiments. Table 1 lists the recognition rates for the poly-
nomial kernel, the Gaussian radial basis function kernel,
the exponential radial basis kernel, the spline kernel, the
wavelet kernel, and the autocorrelation wavelet kernel by
using the scalar wavelet features and the dual-tree complex
wavelet features. It can be seen that the dual-tree complex
wavelet always outperforms the scalar wavelet in recogni-
tion rate. The highest recognition rate we achieve is
99.25%. If we have a much larger dataset of training sam-
ples, the recognition rate can still be improved. It is clear
that the dual-tree complex wavelet features are very stable
in pattern recognition and they are much better than the
scalar wavelet features. The success of the dual-tree com-
plex wavelet is due to its approximate shift invariant prop-
erty and its good directional selectivity in 2D. These
properties are very desirable in invariant pattern recogni-
tion. We can conclude that the dual-tree complex wavelet
should be used instead of the scalar wavelet in pattern rec-
ognition applications. Also, among the frequently used
Original image
100 200 300
50
100
150
200
250
Extracted palmprint image
20 40 60 80 100 120
20
40
60
80
100
120
Fig. 1. The original palm sample and the extracted palmprint image.
Fig. 2. The testing dataset used in the experiment. It contains 200 samples
of handwritten numeral 4 and 200 samples of handwritten numeral 9.
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SVM kernels, the Gaussian radial basis function kernel or
the wavelet kernel should be selected for pattern recogni-
tion applications.
5.2. Plamprint classication
In order to test the eectiveness of the proposed method
for palmprint classication, we conduct experiments on the
PolyU Palmprint Database [28]. The database contains 100
dierent palms, and each has six samples collected in two
sessions. For each palm, we use four of the six palmprint
samples for training and the other two for testing. The size
of the original palms without preprocessing is of 284 384
pixels. We extract the central portion of the palm image for
palmprint classication. The extracted palmprint image has
a size of 128 128 pixels. Four decomposition levels of the
dual-tree complex wavelet transform is applied to the
extracted palmprint image. In order to eliminate the small
shifts present in the extracted palmprint image, we perform
a 2D Fourier transform on the dual-tree complex wavelet
subbands and take the spectrum magnitude. These extract-
ed features are used for SVM classication. The Gaussian
radial basis function is used as the kernel in the SVM clas-
sication process. Cross-validation is used in order to select
the best parameters for SVM classication. The LIBSVM
tool has been used for classication in this paper. Table 2
lists the classication rates of the method in [3032], the
method by using scalar wavelet features, and the proposed
method by using the dual-tree complex wavelet features. It
is clear that proposed method outperforms other methods
given in the table. The methods in [30,31] use line-segment
matching and half interesting-point matching, respectively.
The method in [32] uses the curvelet transform to extract
features for palmprint recognition. We also tried to use
the dual-tree complex wavelet features without taking the
2D Fourier transform on the dual-tree wavelet subbands
for SVM training and testing. However, it produces worse
correct classication rates than our proposed method by
using the Fourier spectrum magnitude. Therefore, the
dual-tree complex wavelet-Fourier features are very stable
choices for invariant palmprint classication.
6. Conclusions and future work
In this paper, we present a novel feature extraction tech-
nique by using the dual-tree complex wavelet and SVM.
Since the dual-tree complex wavelet has an approximate
shift invariant property and good directional selectivity in
2D, the proposed descriptor achieves very high recognition
rates. Experiments show that the dual-tree complex wave-
let always outperforms the scalar wavelet in recognition
rate no matter what SVM kernel is used. It is suggested
to use the dual-tree complex wavelet instead of the scalar
wavelet in practical pattern recognition applications. Also,
among the frequently used SVM kernels, the Gaussian
radial basis function kernel or the wavelet kernel should
be selected for pattern recognition applications. The
method proposed in this paper can also be applied to other
kinds of recognition tasks, e.g., road-sign recognition, key
recognition, printed character recognition, etc. Future
work will be done by using the contourlet features and
SVM for pattern recognition.
Acknowledgements
The authors thank the anonymous reviewers whose con-
structive suggestions and corrections have improved the
quality of the paper. This work was supported by a post-
Table 1
The recognition rates (%) of the proposed method by using dierent SVM kernels
Kernel function Feature Scale
D
1
D
2
D
3
D
4
Average
Polynomial Dual-tree 97.75 99 97.75 85.5 95
Gaussian radial basis function Dual-tree 99.25 99 98.5 89 96.44
Exponential radial basis function Dual-tree 98.75 99 98.25 88 96
Spline Dual-tree 91.25 92 94.75 83.5 90.38
Wavelet Dual-tree 99.25 99 98.25 89 96.38
Autocorrelation wavelet Dual-tree 99.25 99 98.25 87 95.88
Polynomial Wavelet 98.25 94 82.25 52.5 81.75
Gaussian radial basis function Wavelet 97.75 94.5 84.5 51.5 82.06
Exponential radial basis function Wavelet 97.5 95 85 51.75 82.31
Spline Wavelet 86.5 81.75 74.75 52 73.75
Wavelet Wavelet 97.75 94.75 83.75 51.75 81.94
Autocorrelation wavelet Wavelet 95.5 93.5 83.5 52 81.13
The features used include dual-tree complex wavelet features and scalar wavelet features for wavelet decomposition scales D
1
, D
2
, D
3
and D
4
. It can be seen
that the dual-tree wavelet produces much higher recognition rates than the scalar wavelet. For the Gaussian radial basis function kernel and the wavelet
kernel, the average recognition rates (bold font) of the dual-tree complex wavelet are over 14% higher than those of scalar wavelets.
Table 2
The classication rates of the methods in [3032], the method by using
scalar wavelet, and the proposed method by using the dual-tree complex
wavelet
Method
[30]
Method
[31]
Method
[32]
Wavelet Dual-tree
complex wavelet
Classication
rate (%)
93.3 95 95.25 95 97
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doctoral fellowship from the Natural Sciences and Engi-
neering Research Council of Canada (NSERC) and the
Canadian Space Agency Postdoctoral Fellowship
Supplement.
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G.Y. Chen, W.F. Xie / Image and Vision Computing xxx (2006) xxxxxx 7
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Please cite this article as: G.Y. Chen, W.F. Xie, Pattern recognition with SVM and dual-tree complex wavelets, Image and Vision
Computing (2006), doi:10.1016/j.imavis.2006.07.009.