Despite the success of convolutional neural network (CNN) in conventional closed-set recognition (CSR), it still lacks robustness for dealing with unknowns (those out of known classes) in open environment. To improve the robustness of CNN in open-set recognition (OSR) and meanwhile maintain its high accuracy in CSR, we propose an alternative deep framework called convolutional prototype network (CPN), which keeps CNN for representation learning but replaces the closed-world assumed softmax with an open-world oriented and human-like prototype model. To equip CPN with discriminative ability for classifying known samples, we design several discriminative losses for training. Moreover, to increase the robustness of CPN for unknowns, we interpret CPN from the perspective of generative model and further propose a generative loss, which is essentially maximizing the log-likelihood of known samples and serves as a latent regularization for discriminative learning. The combination of discriminative and generative losses makes CPN a hybrid model with advantages for both CSR and OSR. Under the designed losses, the CPN is trained end-to-end for learning the convolutional network and prototypes jointly. For application of CPN in OSR, we propose two rejection rules for detecting different types of unknowns. Experiments on several datasets demonstrate the efficiency and effectiveness of CPN for both CSR and OSR tasks.

In contrast to machine recognizers that rely on training with large handwriting data, humans can recognize handwriting accurately on learning from few samples, and can even generalize to handwritten characters from printed samples. Simulating this ability in machine recognition is important to alleviate the burden of labeling large handwriting data, especially for large category set as in Chinese text. In this paper, inspired by human learning, we propose a cross-modal prototype learning (CMPL) method for zero-shot online handwritten character recognition: for unseen categories, handwritten characters can be recognized without learning from handwritten samples, but instead from printed characters. Particularly, the printed characters (one for each class) are embedded into a convolutional neural network (CNN) feature space to obtain prototypes representing each class, while the online handwriting trajectories are embedded with a recurrent neural network (RNN). Via cross-modal joint learning, handwritten characters can be recognized according to the printed prototypes. For unseen categories, handwritten characters can be recognized by only feeding a printed sample per category. Experiments on a benchmark Chinese handwriting database have shown the effectiveness and potential of the proposed method for zero-shot handwriting recognition.

Convolutional neural networks (CNNs) have been widely used for image classification. Despite its high accuracies, CNN has been shown to be easily fooled by some adversarial examples, indicating that CNN is not robust enough for pattern classification. In this paper, we argue that the lack of robustness for CNN is caused by the softmax layer, which is a totally discriminative model and based on the assumption of closed world (i.e., with a fixed number of categories). To improve the robustness, we propose a novel learning framework called convolutional prototype learning (CPL). The advantage of using prototypes is that it can well handle the open world recognition problem and therefore improve the robustness. Under the framework of CPL, we design multiple classification criteria to train the network. Moreover, a prototype loss (PL) is proposed as a regularization to improve the intra-class compactness of the feature representation, which can be viewed as a generative model based on the Gaussian assumption of different classes. Experiments on several datasets demonstrate that CPL can achieve comparable or even better results than traditional CNN, and from the robustness perspective, CPL shows great advantages for both the rejection and incremental category learning tasks.

Convolutional neural network (CNN) has achieved great success in handwriting recognition. However, it relies on large set of labeled data in training and its performance will deteriorate when the data distribution varies. To solve this problem, traditional methods usually consider adaptation of the single top layer of CNN. To better reduce the distribution discrepancy, in this paper, we consider adaptation of all layers of CNN including both convolutional and full layers. Four variations of transformations are designed based on different assumptions about the space relations for adaptation of convolutional layers. In order to make adaptation of multiple layers, we propose to cascade the transformations of different layers to conduct adaptation in a deep manner, and therefore this method is denoted as deep transfer mapping (DTM). DTM can capture the information from different layers and minimize the data divergence under different information abstract levels, thus it is more powerful and flexible for domain adaptation. Experiments on the online Chinese handwriting dataset (OLHWDB) demonstrate the efficiency and effectiveness of the proposed method for unsupervised writer adaptation.

In handwriting recognition, the test data usually come from multiple writers which are not shown in the training data. Therefore, adapting the base classifier towards the new style of each writer can significantly improve the generalization performance. Traditional writer adaptation methods usually assume that there is only one writer (one style) in the test data, and we call this situation as style-clear adaptation. However, a more common situation is that multiple handwriting styles exist in the test data, which is widely appeared in multi-font documents and handwriting data produced by the cooperation of multiple writers. We call the adaptation in this situation as style-mixture adaptation. To deal with this problem, in this paper, we propose a novel method called K-style mixture adaptation (K-SMA) with the assumption that there are totally K styles in the test data. Specifically, we first partition the test data into K groups (style clustering) according to their style consistency, which is measured by a newly designed style feature that can eliminate class (category) information and keep handwriting style information. After that, in each group, a style transfer mapping (STM) is used for writer adaptation. Since the initial style clustering may be not reliable, we repeat this process iteratively to improve the adaptation performance. The K-SMA model is fully unsupervised which do not require either the class label or the style index. Moreover, the K-SMA model can be effectively combined with the benchmark convolutional neural network (CNN) models. Experiments on the online Chinese handwriting database CASIA-OLHWDB demonstrate that K-SMA is an efficient and effective solution for style-mixture adaptation.

Writer adaptation is an important topic in handwriting recognition, which can further improve the performance of writer-independent recognizer. In this paper, we propose combining the neural network classifier with style transfer mapping (STM) for unsupervised writer adaptation, which only require writer-specific unlabeled data, and therefore is more common and efficient compared to supervised adaptation. We use some techniques like dropout, ReLU, momentum, and deeply supervised strategy to improve the performance of the neural network classifier. For a specific writer in the test data, an adaptation layer is added to the pre-trained neural network classifier. In adaptation process, only the parameters in adaptation layer are updated while other parameters of the neural network are kept unchanged. To train the adaptation layer, we use the same technology as STM learning but redefine the source point set, target point set and the corresponding confidence. Experiments on the online Chinese handwriting database CASIA-OLHWDB1.1 demonstrate that our method is very efficient and effective in improving classification accuracy. The experimental results also show that our proposed method outperforms the previous proposed learning vector quantization (LVQ) and modified quadratic discriminant function (MQDF) with STM methods for writer adaptation.