Impact of Occlusion Masks on Gender Classi ﬁ cation from Iris Texture

. Gender classi ﬁ cation on normalized iris images has been previously attempted with varying degrees of success. In these previous studies, it has been shown that occlusion masks may introduce gender information; occlusion masks are used in iris recognition to remove non-iris elements. When, the goal is to classify the gender using exclusively the iris texture, the presence of gender information in the masks may result in apparently higher accuracy, thereby not re ﬂ ecting the actual gender information present in the iris. However, no measures have been taken to eliminate this information while preserving as much iris information as possible. We propose a novel method to assess the gender information present in the iris more accurately by eliminating gender information in the masks. This consists of pairing iris with similar masks and different gender, generating a paired mask using the OR operator, and applying this mask to the iris. Additionally, we manually ﬁ x iris segmentation errors to study their impact on the gender classi ﬁ cation. Our results show that occlusion masks can account for 6.92 % of the gender classi ﬁ cation accuracy on average. Therefore, works aiming to perform gender classi ﬁ cation using the iris texture from normalized iris images should eliminate this correlation.


Introduction
Normalized iris images are commonly used for subject identification or gender classification [1].To achieve this, a periocular image is initially obtained.The iris in this image is then segmented and normalized [2].As part of the segmentation and normalization processes, a mask that occludes non-iris regions is obtained to eliminate artifacts such as light reflections, eyelashes, and eyelids [2,3].This occlusion mask is important because it prevents non-iris information from interfering with the identification processes that follow the study by Li and Savvides [3].After normalizing the iris image, an encoded version is generated, which is used alongside the occlusion mask to identify the subject.This process is summarized in Figure 1.
As a source of biometric information, the iris pattern offers multiple benefits [2].It has enormous variability, which facilitates recognition [2].It is also well-protected from the environment and stable over time [2].Gender classification from iris benefits from these qualities and can provide complementary information to recognition [4].For instance, gender could be used as an additional trait for identity confirmation, preventing potential false matches [4].It could also be used to speed up verification by searching only among the subjects with matching gender.Another potential application is to label and add demographic information to a previously unlabeled database.
Gender classification from iris has been addressed in several publications [5][6][7][8], with different degrees of success [4].Studies have revealed that most gender information is not actually contained in the iris, but outside of it [4,[9][10][11][12].However, performing gender classification, using exclusively the iris texture poses an interesting challenge, considering that differences in iris texture across genders have been reported in the medical literature [13].By isolating the iris texture for gender classification, we aim to discern the extent to which gender cues are localized within this specific region.Furthermore, by using only the iris texture, we can benefit from the robustness and security associated with iris biometrics.
It has been reported that the use of occlusion masks during gender classification from iris may introduce gender information, e.g., because of the use of cosmetics [14].If the goal is to classify gender using exclusively the iris texture, steps must be taken to remove this additional information.This way the results will more closely reflect the gender information in the iris.
Another possible source of additional information is from automatically generated masks, which may not properly cover non-iris regions.These regions may contain gender cues, such as presence of makeup, eyelashes length, or eyelid texture, which could influence gender classification results.In case these non-iris regions are present, the results may not be reflecting gender information just from the iris, but also from the other regions [4,14].
In this paper, we propose a novel method to eliminate gender information present in the masks by generating mask pairs during model training.This is performed by pairing every male mask with a similar female mask, and then generating a new mask by applying the union of the original two masks.By doing this, mask distributions become equal for both genders, thus neutralizing possible gender information from the masks.Furthermore, by pairing similar masks, the amount of iris information that is lost when generating the new masks is reduced.
Additionally, we created another set of masks where we manually corrected the automatically generated masks.This allows us to study the effect of errors in automatically generated masks.Both factors, mask pairs and mask manual corrections, provide new insights into the effect of masks in gender classification from iris.
The contributions of this paper are the following: (i) A method, called mask pairing, for eliminating gender information in the occlusion masks, which allows for studying gender information exclusively in the iris texture.(ii) A study of the impact of occlusion masks in gender classification.(iii) An open-source toolbox for aiding manual mask correction (https://github.com/Nosferath/fixMasks).
The rest of this paper is organized as follows: Section 2 describes previous related work.Section 3 describes the employed methodologies and the datasets used in this paper.Section 4 shows and discusses the results of our experiments.Finally, Section 5 discusses our conclusions and proposes future work.

IET Biometrics
Studies that perform gender classification using normalized iris images have reported mixed results.Some [1, 28-, 32] report accuracies comparable to those obtained using periocular images, while others [4,9,14] report results closer to 60%.Explanations for these discrepancies have been briefly discussed in the past [4,14], including possible non-subjectdisjoint partitions, presence of non-iris information, or performing only one data partition.
Occlusion masks are used in iris recognition in order to remove non-iris elements [2,33].When the iris image is processed, an occlusion mask is generated during the iris segmentation stage; this can be done using various techniques depending on the algorithm [33,34].The occlusion mask is normalized alongside its corresponding iris.To perform iris recognition, a binary code is extracted from the normalized iris by applying Gabor filters to the iris and encoding the result.When two iris images are compared during the recognition process, both of their binary codes and occlusion masks are used.The masks are used to indicate which pixels should be accounted during comparison and which should be ignored.This improves recognition rates by preventing non-iris elements from influencing iris comparisons [2,3].
Not all publications on gender classification have included occlusion masks (Table 1).Those are usually because of the software used to normalize the iris images.As a result, all the publications that we report using occlusion masks were on the normalized iris images.They have used either IrisBEE [42,43] or OSIRIS [33,44,45] software, both of which were originally intended for iris recognition.
Earlier works on gender classification that used occlusion masks [1,30] used the IrisBEE software to segment and normalize iris images.Later versions of IrisBEE added an occlusion mask that is based not only on iris segmentation, but also on so-called "fragile bits", bits in the iris code that are more prone to change due to imaging noise or occlusions [46].In [1,30], the location of fragile bits was used to perform gender classification.The occlusion mask was applied before feature extraction is performed, which hides the intensity value of these pixels while preserving their location.Neither of these publications comment on the impact of the occlusion masks on gender classification, although Tapia et al. [30] mentions IET Biometrics that the segmentation algorithm does not effectively mask out eyelashes when there is presence of makeup.Kuehlkamp et al. [14] showed how makeup can cause errors in segmentation, which directly impacts occlusion masks.As a result, they demonstrated that occlusion masks contain information correlated with gender.This was done by performing gender classification using only the occlusion masks, which yielded up to 65% of accuracy.This work also highlights the importance of performing multiple random trials to obtain realistic results, because a single trial could yield anywhere from 40% to 100% accuracy.
Kuehlkamp and Bowyer [4] compared the accuracy achieved using normalized and periocular iris images in gender classification.Their results showed higher accuracies for periocular iris images.Using a makeup-labeled dataset, the authors also determined that makeup can account for 2%-6% of the accuracy.Additionally, the authors performed experiments using a probabilistic occlusion mask, in which pixels are masked based on how likely they are to be considered not usable.When no mask is present, an accuracy of 64.2% is obtained.When the mask is applied to pixels that have a 70% chance of being masked, this accuracy decreases to 56.8%.The authors make note that when a single mask is used for all images, gender cues that could be present in the mask are prevented.Our paper follows the same classification method used in this work.Our main differences with Kuehlkamp and Bowyer [4] are the use of mask pairs and manual mask correction to remove gender information that could be present in the iris occlusion masks.Compared to the study by Kuehlkamp and Bowyer [4], our work further explores the impact of external information-specifically occlusion masks-through the use of mask pairing and mask correction.This aims to reduce as much external information as possible while preserving iris information.
The first dataset we used is the GFI dataset [30].This dataset is comprised of 3,000 iris images of size 480 × 640 pixels, obtained using the LG-4000 NIR sensor.These images were obtained from 1,500 subjects, 750 males and 750 females, with one image per eye.The occlusion masks generated by OSIRIS from this dataset were manually corrected using the procedure described in Section 3.3, while preserving the original masks for comparison.Afterward, the normalized iris images and their masks (original and corrected) were downscaled to 240 × 20 and 240 × 40 pixels as mentioned previously.
The second dataset we used is the CSI dataset [47].This dataset is originally comprised of 29,986 images taken using the LG-4000 NIR sensor, and 116,564 images taken using the LG-2200 NIR sensor.These images were taken from 676 subjects, in 27 sessions spanning 3 years.From this dataset, only the images from the LG-4000 sensor were used, to reduce sources of variability.Additionally, we limited the number of images per subject to 20 (10 per eye).These images were used to verify that our method worked on a different dataset.The dimensions of the images in the second database are the same as in the first database; this is 480 x 640 pixels before normalization, and 240 × 20 or 240 × 40 after normalization.

Mask Pairs.
As previously mentioned, it is possible that some models could be trained to classify gender using part of the mask information.It would be beneficial to eliminate this source of information when determining gender exclusively from the iris texture.
To address this, the occlusion mask distributions of both genders are equalized by generating mask pairs.The steps for generating mask pairs and equalized occlusion mask distributions are the following: (1) Occlusion masks are grouped in male-female pairs based on a similitude criterion.(2) The OR operation is performed on each pair, which generates a "paired mask".(3) The newly generated paired masks are applied to the original iris images of each pair.In this way, the mask of both irises in each pair will be identical, while covering the undesired elements of each iris.
By applying the same mask to both images in each pair, the resulting mask distribution is identical for both genders.Figure 3 shows an example of this operation.The masks used in this example are not similar, so as to better illustrate the process.From now on, occlusion masks obtained using this method will be called paired masks, whereas the original masks will be called regular masks.
The first step is to group the masks in male-female pairs.In this step, every male iris is paired with a different female iris, ensuring no iris is in more than one pair.When a new paired mask is generated, some iris information can be lost in the process, as illustrated in Figure 3(b).The pixels shown in magenta are those that were already masked in both original masks, and thus will not cause loss of information.However, red pixels will add new mask pixels to the iris on the top, and blue pixels will add new mask pixels to the iris on the bottom.Pairs should be generated in a way that adds the least number of new mask pixels.This reduces the amount of iris information lost when generating and applying paired masks.To achieve this, a metric that reflects this factor will be defined.
The paired mask generated from a female mask m f and a male mask m m is denoted by m f ∪ m m .If jmj: is the number of masked pixels in mask m, then the number of mask pixels that are added by pairing m f and m m , compared to m f , is given by jm f ∪ m m j: − jm f j: .The maximum mask growth compared to both original masks will be denoted by M G , and is calculated as follows:

4
IET Biometrics where N is the number of pixels in each iris image.Under this definition, an ðm f ; m m Þ: pair will be better when its M G ðm f ; m m Þ: is lower.This value can be expressed as a percentage of the area of the iris image.
The pairs are generated by exploring every possible pair and choosing the combination that minimizes the sum of growths.To accomplish this, a matrix M M G with the M G of every male-female pair is generated.This matrix is defined as follows: where M F and M M are the sets of all female and male iris in the dataset, respectively.With this matrix, generating the best pairs is a type of combinatorial optimization problem called assignment problem [48].This can be efficiently solved using algorithms such as the Jonker-Volgenant algorithm [49,50].This algorithm finds the pairs that minimize the total M G sum.
It is important to note that mask pairs are only required during model training; by preventing the classifier from learning gender cues present in masks during training, the classifier will not be able to use them during testing.Furthermore, in a real-life scenario, it would not be possible to generate mask pairs for previously unknown irises, since they require a priori knowledge of their gender.

Penalizing and Removing Pairs with High Growth.
Despite minimizing the total M G sum, some pairs with high M G are generated.In these pairs, at least one of the two irises would lose considerable iris information.To study the impact of pairs with high M G in classification, two measures were taken.The first measure consists of penalizing values in the M M G matrix above a certain threshold by multiplying them by 10 5 .In this way, the algorithm will generate pairs with high M G only if absolutely necessary.The second measure consists of removing pairs with M G over a threshold from the dataset, which excludes them from the process.
For both measures, different penalization and removal thresholds were explored.The penalization threshold was set to M G values ranging from 3% to 15%.The removal threshold was set to M G values ranging from 7% to 10%.This helps us to understand the impact of pairs with high M G in classification.

Manual Mask Correction.
We used OSIRIS [44] for normalizing periocular iris images.Occlusion masks generated using OSIRIS or other software often miss some non-iris areas [3].For instance, Figure 4 shows four normalized iris images using OSIRIS, with incorrectly generated masks.Furthermore, the two images at the bottom show presence of make-up on the eyelids.
To study the effects of poorly generated masks, the masks of the GFI dataset were manually corrected using an opensource tool developed for this purpose.This tool allows a user to manually indicate the areas that should be masked while using the periocular image as a reference to discern these areas and is available for download (upon paper acceptance).Through this procedure, all non-iris elements were covered, and no pixels from the original masks were removed.Figure 5 shows two irises before and after mask correction.
Tests 1 (VGG-full) and 2 (VGG + LSVM) were used for all preliminary experiments.These tests were based on those used in [4].Tests 3 through 5 were added for comparison.
3.4.2.Preprocessing.Before entering the classifier, iris images are preprocessed as follows.The dataset is partitioned while separating subject IDs into 80% and 20% train test.The partitions are balanced to ensure each has the same number of male and female images.Masks, either regular or paired, are applied in the following manner.First, iris pixel values are restricted to the 0-254 range.Next, the median of every image is determined, and this value is assigned to the masked pixels; this prevents masked pixels from affecting the minimum or maximum values.Afterward, the image pixel values are rescaled to the 1-255 range.Finally, masked pixels are assigned the value of 0. This ensures nonmasked pixels use the whole intensity range, while preserving the 0 for masked pixels.
In the VGG + (classifier) tests, images must be resized to accommodate the VGG-16 input size.For this, all images were resized to 224 × 224 pixels using linear interpolation.In the VGG-full test, we were able to minimize the required resize, allowing us to keep the width intact (240 pixels), while setting the height to either 32 pixels (for the 240 × 20 pixels images) or the original height of 40 pixels (for the 240 × 40 pixels images).Since the pretrained VGG-16 network requires RGB images, our grayscale NIR images are repeated in each of the three channels as part of the preprocessing [55].Each test was repeated using 30 different train-test partitions to ensure results are statistically significant, as done in [4].
When applying masks, we have the option to use either regular masks or paired masks.Additionally, for the GFI dataset, we have the option to use either the original (OSIRIS) masks, or to use the manually corrected masks.Together with the mask pairs, this yields a total of four possible mask combinations.In the case of paired masks, these are only applied to the train partition, as mentioned in Section 3.2.

Results and Discussion
In this section, the results of the proposed mask pairing method are shown and discussed.
Section 4.1 illustrates how the mask distributions per gender changed after manually correcting and pairing.Section 4.2 describes the effects of changing penalization thresholds on pair distribution and gender classification.Section 4.3 shows the effects of changing removal thresholds on gender classification.Finally, Section 4.4 summarizes the classification results, and the effects of mask pairs on gender classification.

Effects of Pairing on Mask Distribution.
The original distribution of masks per gender, for both manually corrected and original masks, is shown in Figure 6.The areas without overlap indicate differences in mask distribution among both genders.
After generating pairs using all the images from the training partition, mask distribution in this partition becomes identical for both genders.This is reflected in Figure 7, in which the histograms completely overlap.Compared to Figure 6, there are more images with a higher percentage of mask, because pairing adds mask to the iris.

Effects of Pair Penalization.
As described in Section 3.2.1,different thresholds for penalizing and removing pairs were compared.To select the right penalization threshold, two elements were analyzed: average mask growth of generated pairs and number of pairs with high (>10%) growth.A threshold will be better the lower both these numbers are. Figure 8 shows the distribution of pairs at different penalization thresholds.This figure shows that, as the threshold decreases and becomes stricter, the average growth increases until it reaches its maximum between thresholds 5% and 7.5%.Beyond this point, because most potential pairs have been penalized, the behavior reverses as if less pairs had been penalized.The number of pairs with high growth reaches a minimum at a threshold of 10%.This is in part caused by defining "pair with high growth" at the same percentage, as this is the least strict threshold that will prevent pairs of high growth from being generated.IET Biometrics With regards to the impact in classification results, every threshold was used in five trials for each resolution.An ANOVA test was performed to assess if changing the penalization threshold has any significant effect on the classification accuracy.The results are shown in Figure 9.When using the original masks, the mean accuracy ranged from 59.14% to 60.59%.When using the manually corrected masks, the mean accuracy ranged from 56.37% to 57.20%.In both cases the effect of changing the penalization threshold was not significant (p-value close to 1).From these results and the pair distribution results, a penalization threshold of 10% was chosen.

Effects of Pair
Removal.The effects of pair removal in classification were studied.An ANOVA test was performed to evaluate whether the changes in removal threshold have any significant effect on the classification accuracy.Results are shown in Table 2.The p-values indicate that the effect was not significant.In conclusion, removing pairs with high growth has no impact on classification.

Classification Results
. Our classification results were summarized in Table 3 for the GFI dataset, and in Table 4 for the CSI dataset.GFI results show an average decrease in   accuracy of 5.16% when using mask pairs, whereas using corrected masks decreases accuracy by 1.76% on average.Using both paired and corrected masks decreases accuracy by 6.92% on average.CSI results also show an average decrease in accuracy of 3.64%.We performed ANOVA tests to evaluate the impact of using paired masks and corrected masks, and both were shown to be significant (p <0:01).This demonstrates that occlusion masks introduce significant gender information, and that the actual gender information in the iris texture is less than the previously reported.These results are consistent with those obtained in [4], on the GFI dataset.The accuracy in their equivalent VGG + LSVM test was 60.0%, and in their equivalent VGG-full test was 60.1%.Our nonpaired results were slightly better, whereas our paired results were slightly worse.This means that despite having higher baseline results, using paired masks reduced the gender classification accuracy significantly.However, our results are not consistent with the previous papers that reported accuracies of over 70% when using normalized iris [30][31][32].Nevertheless, none of these papers account for the bias that the masks may introduce.

IET Biometrics
The information provided by the masks can potentially contribute to gender classification as it may exhibit correlations with gender through factors such as makeup, the segmentation algorithm employed, and the specific conditions encountered during image acquisition.Therefore, if the objective is to perform gender classification using the iris texture exclusively, it is essential to remove this information.
When using mask pairs, gender information can be lost in two ways: (1) through the gender cues present in the occlusion masks, and (2) through the iris pixels covered by the paired masks.However, we have yet to quantify the amount of gender information lost through these covered iris pixels.Interestingly, we found that removing the worst  10 IET Biometrics mask pairs and using stricter penalization thresholds did not lead to a decrease in accuracy.This suggests that the information lost through the masks is greater than the information lost through the masked iris pixels.Nevertheless, we still need to demonstrate that the iris information covered by the paired masks does not contain important gender cues.

Conclusions
In this work, we proposed a novel method for studying gender information exclusively in the iris by removing gender information that could be present in the iris occlusion masks.This is achieved by pairing masks according to gender.Using this method, gender classification accuracy decreased by 4.65% on average on the GFI and CSI datasets.Furthermore, when using both corrected and paired masks, accuracy decreased by 6.92% on average.This demonstrates that occlusion masks introduce significant gender information, and that iris classification results from the other works do not reflect the information exclusively in the iris but also in the occlusion masks and non-iris elements.Using iris information exclusively may yield significantly lower accuracy than the previously reported.
Pairing the masks eliminates possible correlation between gender and mask shape.Our results showed that the loss in accuracy after applying our method is significative.Therefore, works aiming to perform gender classification using the iris texture from normalized iris images should eliminate this correlation.
Future work could focus on quantifying the information loss while generating mask pairs.
If any such information exists and is significant, a methodology that recovers this information without reintroducing skews would be of interest.Additionally, using a larger dataset where presence of makeup is annotated (such as in [4]) could provide better insight on the impact of masks and makeup in the gender classification.
Newer normalization and segmentation techniques utilize deep learning for the purpose of processing iris images [56,57].These techniques could be utilized instead of OSIRIS, as they perform more accurate segmentation, which would make manual mask correction unnecessary.This improved segmentation could also reduce the amount of iris information that is lost when generating pairs.

FIGURE 1 :FIGURE 2 :
FIGURE 1: Stages of iris processing and recognition.

FIGURE 4 :
FIGURE 4: Normalized iris images.Their occlusion masks, shown in green, do not correctly cover the eyelids.

FIGURE 3 :
FIGURE 3: Mask pairing example.Masks with different shapes were used to better illustrate the process.(a) Masks from different-gendered iris are paired.The masks are shown in red and blue.These masks should be similar in order to reduce the information that is lost.(b) The OR operation is performed on both masks generating a paired mask, which is shown in yellow.(c) The new mask is applied to the iris.

FIGURE 5 :
FIGURE 5: Two normalized iris images, before (a) and after (b) mask correction.

FemalesFIGURE 7 :FIGURE 6 :FIGURE 8 :FIGURE 9 :
FIGURE 7: Mask distribution for each gender, (a) after generating pairs, and using original masks or (b) corrected masks.Columns are shown in purple when both genders are overlapped.

TABLE 1 :
Summary of works on gender classification from iris.
Works that do not use the NIR spectrum have not been thoroughly included.Image type "Both" means experiments were performed with normalized and periocular images.

TABLE 2 :
Classification results after removing pairs over a certain growth threshold.

TABLE 3 :
Results using the GFI dataset, showing the effect of using paired and corrected masks.

TABLE 4 :
Results using the CSI dataset, showing the effect of using paired masks.
Highest and lowest results for each test are shown in bold letters.