Chapter 3 OPTIMAL DECORRELATION AND THE KLT

3.1 Introduction
Karhunen-Loeve transform (KLT) is a unitary transform that diagonalizes the covariance
or the correlation matrix of a discrete random sequence. [3.! This decorrelation "ro"erty is
desira#le #ecause "rocessing (quantization$ coding etc) of any one coefficient in the KLT
domain has no direct #earing on the others. %lso$ as &ill #e sho&n later$ it is considered as an
o"timal transform among all discrete transforms #ased on a num#er of criteria. 't is$ ho&ever$
used infrequently as it is de"endent on the statistics of the sequence i.e. &hen the statistics
change so also the KLT. (ecause of this signal de"endence$ generally it has no fast
algorithm. )ther discrete transforms such as cosine transform (*+T)$ (see cha"ter ) even
though su#o"timal$ have #een extremely "o"ular in video coding. The "rinci"al reasons for
the heavy usage of *+T are ,) it is signal inde"endent -) it has fast algorithms resulting in
efficient im"lementation and 3) its "erformance a""roaches that of KLT for a .ar/ov-,
signal &ith large ad0acent correlation coefficient. 'n s"ite of this$ KLT has #een used as a
#ench mar/ in evaluating the "erformance of other transforms. 't has also "rovided an
incentive for the researchers to develo" signal inde"endent (fixed) transforms that not only
have fast algorithms$ #ut also a""roach KLT in terms of "erformance.
This cha"ter defines and develo"s the KLT and also lists the "erformance criteria. 't is
also extended to t&o dimensional random signals. 't concludes &ith a""lications &hich
illustrate the decorrelation "ro"erty and its significance in image com"ression.
3.2 KarhunenLoe!e Tran"#or$

Let R #e the
( ) N N
correlation matrix of a random com"lex sequence
x % ( )
T
N
x x x x $ $ $ $
3 - ,
given #y
R 1 E [xx
H
& %E
( )
1
1
1
1
1
1
1
1
1
]
1

,
_

2 2
3
2
-
2
,
3
-
,
.
.
.
N
N
x x x x
x
x
x
x

,
R % E
1
1
1
1
1
1
]
1

2
2
3
2
-
2
,
2
3
2
3 3
2
- 3
2
, 3
2
-
2
3 -
2
- -
2
, -
2
,
2
3 ,
2
- ,
2
, ,
.... .... ....
.... .... .... .... .... .... ....
.... .... ....
.... .... ....
.... .... ....
N
N N N N
N
N
N
x x x x x x x x
x x x x x x x x
x x x x x x x x
x x x x x x x x
1
[ ] [ ]
[ ] [ ]
1
1
1
1
1
1
1
]
1

2 2
,
2
,
2
, ,
N N N
N
x x E x x E
x x E x x E

&here E is the ex"ectation o"erator and E

[ ]
2
j j
x x is the autocorrelation of
[ ]
j
x
and E
[ ]
2
k j
x x is the crosscorrelation #et&een
[ ]
j
x
and
[ ]
k
x
$ 0 /.$ 3ote that R is 4ermitian. Let
the unitary matrix &hich diagonalizes R #e defined as such that

,

1
H

$
H

1 $ (3.,)

H

R %
,

R % '
% *iag.
[ ]
N k
$ $ $ $
- ,

.
4ere$ i

$
N i $... 3 $ - $ ,
are the eigenvalues of R. is called the KLT matrix and it
decorrelates the random sequence x. This can #e seen &hen the for&ard and inverse KLT are
considered. Let y #e the for&ard transform of x
y%
,

x %
H

x
and let the inverse transform of y #e
x %y (3.-)
&here y % ( )
T
N
y y y $...$
- $ ,

re"resents the random sequence in the transform domain. The
correlation matrix for y is then
E [ ]
H
yy = E[ ]
H H
xx (3.3)
1
H

E[ ]
H
xx
1
H

R %
't is clear from (3.3) that the random sequence y has no cross- correlation. 'n other &ords$ x
has #een decorrelated #y the KLT matrix . 5uch a transform is also called "rinci"al
com"onent or 4otelling transform. 't is a statistically o"timal transform. %ll other transforms
(su#o"timal) are evaluated against this #enchmar/$ KLT.
-
Ei(en!a)ue" and ei(en!ector" o# R
To sho& the signal de"endence of KLT$ &e consider the eigenvalues and eigenvectors of
R. 6rom (3.,)
H

R %
or
R 1 (3.7)
&here
[ ]
N
...
3 - ,

$
and i

[ ]
T
iN i i i
...
3 - ,

N i $ $ 3 $ - $ ,
#eing the ith column of .8riting the right hand side of (3.7) in full$ &e have
1
1
1
1
1
1
1
1
1
]
1

1
1
1
1
1
1
]
1

N
NN N N
N
N
N

.
.
.
...
...
...
...
...
3
-
,
- ,
3 -3 ,3
- -- ,-
, -, ,,

(3.)
1
1
1
1
1
1
1
]
1

,
_

,
_

,
_

,
_

NN
N
N
N
N
N N N

3
-
,
3
33
3-
3,
3
-
-3
--
-,
-
,
,3
,-
,,
,
$ $ $ $
or
R i

% i

'
N i $ $ 3 $ - $ ,
*3.9)
't is clear form (3.9) that i

:s are real and "ositive the eigenvalues of R and i

:s are the
corres"onding eigenvectors. 8hen the eigenvalues i

:s are arranged in descending order so

that N

- , $ the auto-correlations of transformed signal vector are arranged in
descending order.
5imilar considerations #ased on the diagonalization of the covariance matrix of a random
sequence x "roduce the KLT #ased on the covariance matrix.
3
Let the covariance matrix in KLT domain #e
E ( )( ) [ ]
H
y y
y y
= E
( ) ( ) ( ) [ ]
1
1
1
1
1
]
1

,
_

2 2
- -
2
, ,
- -
, ,
$ $ $
yN N y y
yN N
y
y
y y y
y
y
y

(3.;)
't is desired that this covariance matrix #e diagonal$ i.e.

E ( )( ) [ ]
H
y
y - y
y
1 1 diag. [ ]

N
$ $ $
- ,

4ere y

1 E
[ ] y
1
[ ] [ ] [ ] ( )
N
y E y E y E $ $ $
- ,

1
( )
T
yN y y
$ $ $
- ,

is the mean of the
random vector y. This diagonalization can #e achieved if the vector
[ ]
y
y
is related to the
signal vector
[ ]
x
x
#y a unitary tansformation such that
[ ]
,

y
y

[ ]
x
x

&here
[ ] x E
x

and is the unitary transform matrix. 't can #e seen that if is made
u" of the eigenvectors for the data covariance matrix E ( ) ( ) [ ]
H
x x
x x 1 R ' so that
R
<

$

or R

i

$
N i $ $ 3 $ - $ ,
&here

+ +
R
1

then$
E ( )( ) [ ]
H
y y
y y =E ( ) ( ) [ ]
H
x x
x x
,

1
,

E ( ) ( ) [ ]

R x x
H
x x
,
(3.=)
't is noted that although and "lay the same role of diagonalization$ they are in
general different unless x is a zero mean random vector.
3.3 App)ication o# KLT in data co$pre""ion
%s KLT diagonalizes a correlation matrix or covariance matrix$ it is "ossi#le to re"resent
an 3-dimensional random vector x #y only some of its coefficients in the KLT domain &ith
negligi#le error. 't is only logical to select m out of the 3 KLT coefficients that re"resent the
first m largest eigenvalues. (y quantizing and coding these m coefficients$ x can #e
7
reconstructed &ith minimal error. This is the essence of data com"ression or #and&idth
reduction i.e.$ the m KLT coefficients require less num#er of #its com"ared to that required
for ,. This role of the KLT in data com"ression can #e illustrated in a general maximum
variance zonal filter as sho&n in 6igure 3.,.

x

y
m
y>
x>
6ig. 3., .aximum variance zonal filter
The data vector x is transformed #y the o"eration #loc/ A into the transform domain
vector y &hich undergoes com"ression #y the o"erator #loc/
m
I
>
and then transformed #y B
#ac/ into the data domain as x> . The o"erators A'
m
I
>
and B are selected to minimize the
mean square error(mse) of
-
> x x
. 'n the case of sim"le com"ression
m
I
>
is a
( ) N N

diagonal matrix
( ) N m ,
&ith the first m diagonal elements as ones and remaining
diagonal elements$ as zeros i.e.

m
I
>
*iag.
[ ] ? $ $ ? $ ? $ , $ $ , $ ,
.
The random vector x %( )
T
N
x x x x $ $ $ $
3 - ,
is ma""ed into y #y the orthogonal
matrix A i.e.$

Ax y
( )
T
N
y y y y $ $ $ $
3 - ,
(3.@a)
y I y
m m
>
>
( )
T
m
y y y y ? $ $ ? $ ? $ ? $ $ $ $ $
3 - ,
(3.@#)


m
y B x > >
( )
T
N
x x x x > $ $ > $ > $ >
3 - ,
(3.@c)
&here B is another orthogonal matrix. 't can #e sho&n that the mse #et&een x and x> is
minimized for a given m &hen A 1
H

and

,
A B
"rovided the columns
(eigenvectors) of are arranged$ so that the corres"onding eigenvalues are in descending
order
N

- ,
. This im"lies that A and - corres"ond to KLT and inverse KLT
res"ectively. 4ence the mean square error (mse) is given #y
mse 1
( )
1
1
]
1

N
k
k k
x x E
N
,
-
,
.
(3.,?)

m
I
>
B A
1
1
]
1

+
N
m k
k
y E
,
-
1

+
N
m k
k
,

since mse is invariant under unitary transformation. This im"lies that of all the discrete
orthogonal transforms$ KLT achieves the minimum mse &hen only a su#set of the m KLT
coefficients are retained. The remaining 3-m coefficients re"resenting small eigenvalues are
set to zero. This is the /ey to data com"ression. 'n general$ KLT is considered toA
,. "ac/ the most energy in the least num#er of KLT coefficientsB
-. minimize the mse #et&een the original and reconstructed signal for a given
num#er of coefficientsB
3. achieve the minimum rate for rate-distortion function$ among all unitary
transformsB
7. decorrelate the signal in the transform domain.
'n vie& of these "ro"erties$ KLT is a""lica#le to "attern recognition$ classification and
#it rate reduction (com"ression) #y retaining only the first m KLT coefficients i.e.
m
y y y ' ' '
- ,
that corres"ond to the m largest eigenvalues out of the N coefficients. The
KLT #asis functions (eigenfunctions) for a .ar/ov-, "rocess &ith
@ . ?
and N1,9 are
sho&n in 6ig.3.- (5ee Cro#. 3.)
9
/i(. 3.2 KLT #asis functions for 31,9 and
@ ?.
for a .ar/ov-, signal
3.0 KLT #or 2D rando$ #ie)d
KLT develo"ed for ,* random field can #e extended to the -* case. This has
a""lications in "rocessing of -* signals such as multis"ectral imagery. 6or sim"licity$
assume the square random field to #e real and re"resented #y

1
1
1
1
1
1
]
1

NN N N N
N
N
N
x x x x
x x x x
x x x x
x x x x

3 - ,
3 33 3- 3,
- -3 -- -,
, ,3 ,- ,,
. (3.,,)
*efine the ( )
- -
N N correlation matrix as follo&sA
[ ]
T
uu E $ (3.,-)
&here u is the ( ) ,
-
N column vector o#tained from the lexicogra"hic ordering of i.e.$
u 1 ( )
T
NN N N N N
x x x x x x x x x
- , - -- -, , ,- ,,
.
(y using u$ a oneDdimensional random field$ to re"resent the N N image$ the
diagonalization of its correlation matrix defined in (3.,-) can #e considered as in 5ection 3.-.
The "ro#lem$ ho&ever$ quic/ly #ecomes formida#le for N of moderate size$ since the
diagonalization "ro#lem to "roduce the eigenvectors for the KLT is of dimension
- -
N N .
The relevant equation is
k k k


-
$ $ - $ , N k (3.,3)
&here k

and k

are res"ectively the eigenvalues and eigenvectors. k

:s form the
columns of the KLT matrix for this --dimensional random field. 'n terms of the "ixels
n m
x
' in the --dimensional image$ (3.,3) #ecomes

[ ]

N
m
N
n
n m n m
x x E
, ,
$ $
$ ( ) n $ m
l $ /

(3.,7)
1
( ) n m
l k l k
$
$ $

$
N n m l k $ $ - $ , $ $ $
.
(y assuming se"ara#le statistics the develo"ment of -* KLT can #e considera#ly sim"lified.
Ender this assum"tion$ the ro& and column statistics are considered com"letely inde"endent
;
and identically distri#uted. 4ence the correlation matrix and the eigenfunctions #ecome
se"ara#le as sho&n in the follo&ing$

[ ] [ ] [ ]
n m n m n m n m n m n m
x x E x x E x x E


' ' ' ' ' '
1 1 1
(3.,)
and
( ) n $ m
/l
( ) ( )
nl mk - ,


N l k n n m m $ $ - $ , $ $ $ $ $
.
,
and
-
are factor matrices in the KLT matrix due to the se"ara#le statistics of ro&s
and columns. 'n fact$ the diagonalization "ro#lem of the
- -
N N correlation matrix can
no& #e se"arated so that &e haveA

- ,
$ (3.,9a)
and

- ,
$ (3.,9#)
&here

, , , ,

H
$ (3.,;a)
and

- - - -

H
. (3.,;#)
Fquations (3.,9a) through (3.,;#) re"resent t&o N N diagonalization "ro#lems.
,
and
-
are
( ) N N
diagonal matrices &hose diagonal elements are the eigenvalues of the
( ) N N
correlation matrices
,
(#ased on ro& statistics) and
-
( #ased on column
statistics) res"ectively. The sym#ol stands for Kronec/er "roduct of t&o matrices i.e.

,,
a B
,-
a B . . .
n ,
a B
C B A
-,
a -
--
a B . . .
n -
a B (3.,=)



, m
a B
- m
a B . . .
mn
a B

C is a matrix of size
( ) nq mp
&hen the matrices A and B are of sizes
( ) n m
and
( ) q p

res"ectively. The KLT of u is

i.e.
( )
H H H
u
- ,
u (3.,@)
'n conclusion$ #y modeling the image autocorrelation #y a se"ara#le function
( inde"endent ro& and column statistics)$ diagonalization of an
- -
N N matrix is
considera#ly sim"lified into diagonalization of t&o
( ) N N
matrices
,
and
-
.
=
)#tain #asis images for KLT$ "1?.@73$ 31=. %ssuming that the statistical "ro"erties along ro& and along
column are inde"endent.
% first order .ar/ov "rocess is defined #y

1
1
1
1
1
1
1
1
]
1

,
,
,
,
- ,
3 -
- -
, 3 -
N N
N
N
N
p p
p p p p
p p p p
p p p p
R
)#tain eigenvectors of the correlation matrix G and s/etch the #asis images #ased on the eigenvectors.
Results:
@
KLT #asis images &hen "1?.@73
rou1?.@B
31=B
for i1,A3
for 01,A3
G(i$0)1rouH(a#s(0-i))B
end
end
[I$*!1eig(G)B
for i1,A3
for 01,A3
(1I(A$i)2I(A$0)<
su#"lot(3$3$(0-,)2=Ji)B
imsho&(()B
end
end
3.0 App)ication"
%lthough the generation of KLT involves estimating correlationKcovariance matrices
&ith their diagonalization leading to eigenvalues and eigenvectors$ a "erusal of the
references under KLT indicates that it has found a""lications in image com"ression [3.,?$
3.,@!$ multis"ectral image com"ression [3.-9$ 3.-;$ 3.-=!$ image segmentation and indexing
[3.79!$ recursive filtering [3.,-$ 3.3?!$ image restoration [3.-7!$ image re"resentation$
recovery and analysis [3.7-!$ multi layer image coding [3.-=!$ neural clustering [3.3!$ s"eech
recognition [3.7,!$ s"ea/er recognition [3.7;!$ s"ea/er verification [3.7!$ feature selection
[3.7!$ texture classification [3.9?!$ image and video retrieval[3.?$ 3.@$ 3.9,$ 3.9-$ 3.93$
3.97! etc. )f "articular significance is the "a"er #y 5aghri$ Tescher and Geagan [3.-9!
&herein the KLT is a""lied in decorrelating across s"ectral #ands follo&ed #y LCFM (Loint
Chotogra"hic Fx"erts Mrou") algorithm. They &ere a#le to "roduce a range of com"ression
ratios (+G) starting &ith near lossless result at A, +G to visually lossy results #eginning at
?A, +G. %n ada"tive a""roach in &hich the covariance matrix is "eriodically u"dated #ased
on the terrain (&ater$ forest$ cloud$ ice$ desert$ etc.) is utilized in achieving these high
com"ression ratios. 't is only a""ro"riate at this stage to descri#e this a""lication in detail.
,?
.ultis"ectral images (#oth satellite and air#orne) exhi#it a high degree of s"atial and
s"ectral correlations. The "ro"osed scheme (6ig. 3.3) involves ,* KLT to decorrelate across
s"ectral #ands follo&ed #y the LCFM algorithm (This involves -* *+T of s"ectrally
decorrelated images for s"atial decorrelation.)
/i(. 3.3 Terrain-ada"tive com"ression #loc/ diagram [3.-9! 'FFF ,@@.
'n this ex"eriment ,9 unequal multis"ectral #ands (images) covering the visi#le through
infrared regions (?.39 to ,-.,, micron &avelength) acquired #y a multis"ectral scanner (.;
sensor) (,9 #and %irfield test image set) are "artitioned into sets of nonoverla"ing images
i.e.$ su#-#loc/ sets. The multis"ectral su#-#loc/ sets are used to o#tain the covariance
matrices$ (6ig.3.7) eigenvalues and the eigenvectors. The eigen"lanes (s"ectrally
decorrelated images) are formed #y matrix multi"lication of the su#- #loc/ set and #asis
functions (6ig. 3.)
,,
/i(. 3.0 +orrelation coefficient matrix [3.-9! 'FFF ,@@
/i(. 3.2 Gemoving s"ectral correlation via a Karhunen-Loeve transformation
[3.-9! 'FFF,@@
The effectiveness of KLT can #e o#served in 6ig 3.9 &herein the first nine s"ectrally
decorrelated eigen-"lanes of the ,9 #ands are sho&n. The first t&o and three eigen-"lanes
have more than =?N of the energy of the test set. 4ence the remaining eigen-"lanes can #e
coarsely quantized (some of them can even #e dro""ed) resulting in #it rate reduction.
%nother measure of com"ression ca"a#ility is the ra"id decrease in the eigen-values
(variances of the eigen-"lanes). This is evident from the variance distri#ution of the test
,-
images (6ig. 3.;) [3.-9!. 'n fact$ the su"eriority of KLT can #e further o#served in 6ig 3.=
&herein the variance distri#utions for the KLT and *+T are com"ared . Large variances for
*+T im"ly more #its to code those images. 6urther gains in s"ectral decorrelation via KLT
have #een achieved #y using a terrain ada"tive a""roach. %s the multis"ectral images exhi#it
a num#er of different terrains (&ater$ forest$ cloud$ ice$ desert$ etc.) the covariance matrix
and eigen-"lanes (hence the KLT) are u"dated frequently. This$ of course$ involves
additional com"lexity and increased overhead. )verall #it-rate reduction is a cumulative
result of decorrelation of s"ectral #ands #y KLT follo&ed #y im"lementing the LCFM
algorithm [3.7! on the s"ectrally decorrelated eigen-images.
/i(. 3.3 Figen images of the test image set (first of the total ,9) [3.-9! 'FFF ,@@
,3
/i(. 3.4 )rdered variances of the eigen images [3.-9! 'FFF ,@@
/i(. 3.5 KLT versus *+T for s"ectral decorrelation [3.-9! 'FFF ,@@
%nother a""lication of KLT is in video segmentation$ classification and indexing
[3.79!. This is useful in random retrievals of video cli"s from large data #ases. This a""roach
for automatic video scene segmentation and content-#ased indexing is very ro#ust and
reduces the "otential for fast scene change detection. The "rinci"al com"onent analysis
extracts effective discriminating features from the reduced data set that can #e relia#ly used
in video scene change detection$ segmentation and indexing tas/s.
6u$$ar7
(oth ,* and -* Karhunen-Loeve transforms (KLT) are defined and develo"ed. Their
"ro"erties are outlined. (y assuming ro& and column inde"endent statistics$ generation and
im"lementation of -*-KLT are sim"lified into t&o ,*-KLTs. 'n s"ite of its com"utational
com"lexity it is utilized in s"ecific fields such as multis"ectral imaging. %lso$ KLT serves as
a #enchmar/ in evaluating other discrete transforms. % s"ecific a""lication &herein
multis"ectral imagery has #een decorrelated is illustrated.
,7
E,erci"e"
3., 5ho& that &hen eigen-vectors (columns) of are rearranged$ the corres"onding
eigen-values rearrange accordingly.
3.- 5ee 6ig. 3., 't is stated that the mse #et&een x and x.
is minimized &hen A and -
corres"ond to KLT. Crove this. 5ho& that this mse is

+
N
m k
k
,

.
3.3 5ho& that the sum of variances of an 3-"oint signal under orthogonal transformation
is invariant.
Hint8 Miven y % Ax &here
,
A A
T
9
$ x %( )
T
N
x x x ' ' '
- ,
data vector and 7 %
( )
T
N
y y y ' '
'

- ,
transform vector. 5ho& that



N
k
y
N
k
x
kk kk
,
-
,
-
(
-
kk
x

and
-
::
7

are variances of
k
x
and
k
y
res"ectively.)
3.7 The rate-distortion function
D
R in #itsKsam"le for a s"ecified distortion D is defined
as

*
G 1

,
_

3
, /
-
// -
K
O
log
-
,
$ ? max
3
,

*1
( )

3
, /
-
//
O
$ min
3
,

.
The "arameter is determined from D.
- O
kk
is the variance of the /th coefficient
in any orthonormal transform domain. 5ho& that among all the unitary transforms$ KLT
yields the minimum rate
D
R .

3. 6or a first order .ar/ov "rocess defined #y
R 1
1
1
1
1
1
1
]
1

,
,
,
,
,
3 -
- -
, 3 -
N
N
N
N

,
&here

is the ad0acent correlation coefficient$ sho& that the eigenvalues are

-
-
cos - ,
,

k
k
k 1 ,$ -$ ...$ N
&here
k

are the real "ositive roots of the transcendental equation

tan
( ) N
1
( )


cos - cos
sin ,
-
-
+

for N 1 even. (5imilar result is valid for 3 odd.)

5ho& that the m
th
k element of the KLT matrix is

( )
1
]
1

+
,
_

,
_

- -
,
sin
-
- K ,

k N
m
N
k
k
mk
$
N k m $ $ - $ , $
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Re#erence" on KLT
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,9
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3.-. '.5. Geed and L.5. Lan$ P % fast KLT for data com"ression$Q 'FFF Trans. 5C$ (under
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3.;. I.G. %lgazi and *.L. 5a/rison$ P)n the o"timality of Karhunen-Loeve ex"ansion$Q
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3.=. 5. (hama$ 4. 5ingh and 3.*. Chad/e$ PCarallelism for the faster im"lementation of
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