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Article in IEEE Transactions on Pattern Analysis and Machine Intelligence · March 2004
DOI: 10.1109/TPAMI.2004.1262182 · Source: PubMed
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Abstract—Online handwriting recognition is gaining renewed interest owing to the increase of pen computing applications and new
pen input devices. The recognition of Chinese characters is different from western handwriting recognition and poses a special
challenge. To provide an overview of the technical status and inspire future research, this paper reviews the advances in online
Chinese character recognition (OLCCR), with emphasis on the research works from the 1990s. Compared to the research in the
1980s, the research efforts in the 1990s aimed to further relax the constraints of handwriting, namely, the adherence to standard stroke
orders and stroke numbers and the restriction of recognition to isolated characters only. The target of recognition has shifted from
regular script to fluent script in order to better meet the requirements of practical applications. The research works are reviewed in
terms of pattern representation, character classification, learning/adaptation, and contextual processing. We compare important
results and discuss possible directions of future research.
Index Terms— Online Chinese character recognition, state-of-the-art, pattern representation, character classification, model learning,
contextual processing, performance evaluation.
1 INTRODUCTION
trajectory [45]. A “direction-change” feature characterizing matching, stroke correspondence, relational matching, and
the temporal information was proposed to enhance the knowledge-based matching. DP matching works on ordered
recognition performance of direction feature [99], [100]. sequences and, hence, is stroke-order dependent. Stroke
correspondence is different from relational matching in that it
does not consider the interstroke relationship. Connected to
5 CHARACTER CLASSIFICATION these approaches, some general strategies are: hierarchical
In this section, we first review the coarse classification matching and deformation methods.
techniques. For fine classification, we categorize the Hierarchical matching can improve the speed of structur-
techniques into three groups: structural matching, prob- al recognition. When stroke codes or radical models are
abilistic matching, and statistical classification. shared by different characters, the classification can be
performed by a decision tree [11] or a network [47]. When the
5.1 Coarse Classification strokes or radicals of input pattern have been identified, the
Coarse classification can be accomplished by class set character recognition is reduced to traversing a path in the
partitioning or dynamic candidate selection. In class set tree/network. However, the accuracy of classification is
partitioning, the character classes are divided into disjoint or limited by the identification of strokes or radicals in the input
overlapping groups. The input pattern is first assigned to a pattern, which is not a trivial task. Therefore, instead of
group or multiple groups and then, in fine classification, the deterministic traversals, measuring the likelihood of paths
input pattern is compared in detail with the classes in the and search with backtrack is helpful to improve the
group(s). In dynamic candidate selection, a matching score recognition performance.
(similarity) is computed between the input pattern and each Deformation techniques are useful to improve the
class and a subset of classes with high scores is selected for matching similarity by deforming the character prototype
detailed classification. The average number of candidates can or the input pattern. Based on the stroke correspondence,
be significantly reduced without loss of precision via selecting the deformation vector field (DVF) between the input
a variable number of candidatesby confidence evaluation [68]. pattern and the prototype can be computed and the
For coarse classification based on class set partitioning, the prototype is iteratively deformed by local affine transforma-
groups of classes are determined in the classifier design stage tion (LAT) to fit the input pattern [131]. A noniterative
using clustering or prior knowledge. Class grouping can be stroke-based affine transformation (SAT) decomposes the
based on overall character structure [66], basic stroke DVF of each stroke incorporating the relationship between
substructure [12], stroke sequence [14], and statistical or successive strokes [134]. In another work, a so-called
neural classification [79]. Partitioning into overlapping parabola transformation was proposed to deform the
groups can reduce the risk of excluding the true class of input character prototype based on attributed string matching of
pattern. feature point sequences [13].
Dynamic candidate selection avoids the training process
of class set partitioning. The character classes are ordered 5.2.1 DP Matching
according to a matching score based on simple structural DP matching finds the ordered correspondence between the
features or statistical features. For instance, the number of symbols (primitives) of two strings with the aim of
strokes or line segments of the input pattern can be used to minimizing the edit (Levinstein) distance. The DP matching
filter out the unlikely classes [7], [65], [132], [133]. For of point sequences is also referred to as dynamic time
efficient filtering, the bounds of stroke number depend on warping (DTW). Attributed string matching refers to the
the character class and writing quality [29]. As to other matching of sequences of attributed primitives. In online
features, the matching score is computed by string match- character recognition, feature points or line segments are
ing [124], peripheral feature matching [19], voting of often taken as the primitives of sequence representation
structural features [126], or feature vector matching [28], [55], [88], [124].
[81], [88], [94], [99], [139]. The matching score of coarse The search space of DP matching is represented in a
classification can also be combined with that of fine rectangular grid with two diagonal corners denoting empty
classification to improve the final accuracy [119], [139]. matching (start) and complete matching (goal), respectively.
In coarse classification by feature vector matching, the In a path from start to goal, the transition between neighbor-
distance measure, such as city block distance and Euclidean ing grid points corresponds to symbol deletion, insertion, or
distance, can be computed very efficiently and the efficiency substitution. A generalization of attributed string matching
can be further improved by dimensionality reduction and can merge multiple primitives in one string to match with one
combining class-specific features [81]. In structural matching, primitive in another string [123]. By imposing constraints
candidate classes can also be selected via radical detection onto potential grid transitions, the search speed can be largely
[16], [60], [76]. A detected radical excludes all the classes not improved with little loss of accuracy (e.g., [86], [88]).
containing the radical from fine classification. The radical DP matching is a mature technique, but the performance
detection approach is tightly connected to structural match- of recognition depends strongly on the selection of
ing and will be addressed later. primitives and the definition of the between-primitive
distance measure. For dealing with stroke-order variations,
5.2 Structural Matching a character class needs multiple prototypes.
In fine classification by structural matching, the input pattern
is matched with the structural model of each (candidate) class 5.2.2 Stroke Correspondence
and the class with the minimum matching distance is taken as Based on the stroke correspondence between the input
the recognition result. We divide the structural matching pattern and a character prototype, the character matching
methods into four categories: DP (dynamic programming) distance is computed as the sum of between-stroke
204 IEEE TRANSACTIONS ON PATTERN ANALYSIS AND MACHINE INTELLIGENCE, VOL. 26, NO. 2, FEBRUARY 2004
distances. The correspondence can be found by reordering of strokes [8], [9], for example. A knowledge-based system
the input strokes or prototype strokes using domain specific was also proposed for discriminating similar characters
rules [31], [74], [145]. The rules include, e.g., the precedence which were output as candidate classes by a base
orders of different types of strokes. The compilation of recognition system [16], [23].
rules, however, is laborious. We regard the deviation-expansion (D-E) model of [16],
A simple noniterative technique, such as the interstroke [65] as a kind of prior knowledge because it prespecifies the
distance matrix (ISDM) [96], [132] and the like [60], works ranges of stroke-order variations and stroke-number varia-
well but does not necessarily find one-to-one correspon- tions. The variations of a character class are expanded in a
dence. Wakahara et al. proposed a heuristic one-to-one D-E tree and the optimal matching with an input pattern is
stroke correspondence algorithm and an advanced selective found with DP search [65] or A* search [16].
linkage method to cut connected input strokes and allow For constructing knowledge-based systems, the acquisi-
matching with multiple prototype strokes [133]. This tion and organization of knowledge bases is not trivial and is
approach deals with both stroke-order variation and sometimes laborious. Nevertheless, using simple heuristics
stroke-number variation. to assist search-based matching is beneficial. Some heur-
Stroke correspondence was also solved by DP search in a istics, such as the stroke-order statistics, can be obtained
hypercube and stroke connection was resolved by pairing from character samples [93], [113]. On the other hand,
an input stroke with multiple prototype strokes in multi- building special modules or heuristic rules for discriminat-
layer cube search [112]. Interstroke relationships and the ing similar characters is helpful to improve the overall
prior knowledge of stroke order variations can be incorpo- recognition accuracy.
rated to improve the matching performance [113].
5.3 Probabilistic Matching
5.2.3 Relational Matching Using probabilistic attributes in representing structural
Relational matching is the search for a correspondence models and computing matching distance helps improve
between two sets of elements under the constraint of the tolerance of shape deformations. An example is to use
relationship. It can be formulated as a consistent labeling stroke-type probability table in calculating the between-
problem and be solved using heuristic search [95], [135] or stroke distance [106], while, by modeling the prototype
relaxation labeling [30], [36]. Relaxation labeling is compu- strokes as Gaussian density functions, the matching score of
tationally efficient, while heuristic search is flexible in terms an input pattern and a character model becomes the joint
of incorporating various knowledge sources and constraints. probability of constituent strokes [20], [150], which is
A well-known heuristic search algorithm, the A* search, computed by grouping the feature points or line segments
has been used for ARG (attributed relational graph) of the input pattern into strokes by attributed string
matching in [122], [136] and for OLCCR in [71], [72], [150]. matching or heuristic search.
The graph matching was also accomplished by finding the In HMM-based recognition, the task of recognition is to
maximal cliques in the association graph [7], [10]. Relaxa- decode the observation sequence (points or line segments)
tion labeling was used for graph matching of OLCCR in into the most probable state sequence. This is usually
[149]. Utilizing the local invariance of stroke-order within a accomplished by using a dynamic programming procedure
radical, a method combines DP and relaxation for radical called Viterbi decoding [103], as practiced in [117], [143]
detection and residual matching, respectively [139]. Rela- when representing character models holistically as HMMs.
tional matching was also formulated as an assignment By representing radicals and interradical ligatures in
problem (AP) with relational constraints [35] or a two-layer HMMs and sharing them for all character classes in a network
AP with a layer computing between-stroke distance [73]. [48], the input sequence (8-direction codes) can be decoded
Though the AP can be efficiently solved using the into the concatenation of radical and ligature HMMs using
Hungarian method [101], the incorporation of relational the level building algorithm [84]. In recognition based on
constraints is not so flexible as in heuristic search. substroke HMMs, the recognition is also performed by search
As DP matching and stroke correspondence do, rela- through an interconnected network [91], [92], [121]. In
tional matching can be applied to the matching of either a matching with a character model represented by path-
holistic pattern or a radical. The advantage of relational controlled HMM (PCHMM), the line segment sequence of
matching over DP matching lies in the stroke-order the input pattern is reordered to correspond to the optimal
independence, while the advantage over stroke correspon- state sequence using A* search [150].
dence is that the constraint of relationship improves the
accuracy of matching. Relational matching is more compu- 5.4 Statistical Classification
tationally expensive than both DP matching and stroke Various statistical techniques [43] are applicable for
correspondence, however. classification when describing the input pattern as a feature
vector. Unlike that in coarse classification, simple classifiers
5.2.4 Knowledge-Based Matching are used to achieve high-speed; fine classification usually
The prior knowledge of character structure and writing employs sophisticated classifiers to achieve high accuracy.
appears as heuristic rules or constraints. The constraints Kawamura et al. [45] achieved a fairly high recognition
can be used to efficiently reduce the search space of accuracy in OLCCR using a multiple similarity measure [37],
structural matching [71], [72], [113], [139], while rule-based which is similar to the subspace method [97] in that each class
methods have been used for stroke reordering [31], [74], is represented as a linear subspace. The multiple similarity
radical detection [75], [76], and character matching [8], [9], method, the subspace method, and the modified quadratic
etc. The rules represent the knowledge of basic strokes discriminant function (MQDF) [50] are quadratic classifiers.
allowed for a character and the invariant geometric features The MQDF is a smoothed version of QDF, obtained under the
LIU ET AL.: ONLINE RECOGNITION OF CHINESE CHARACTERS: THE STATE-OF-THE-ART 205
assumption of multivariate Gaussian density for each class partitioning the primitives of learning patterns is necessary
[25]. The quadratic classifiers yield high accuracies, but are for HMM learning. This can generally be accomplished by
expensive regarding storage and computation. On the other level building Viterbi decoding [84]. Currently, some
hand, a simple metric, like the Euclidean distance between research works use manually partitioned primitives in
the input feature vector and a prototype vector, gives fast HMM learning [48], [91].
recognition. Designing multiple prototypes by clustering for
each class can improve the accuracy, whereas the prototype 6.3 Multiprototype Learning
learning by learning vector quantization (LVQ) [56], [69], Clustering techniques have been used to design multiple
[125] leads to significant improvement. stroke prototypes and character prototypes from learning
Closely related to statistical techniques are neural net- patterns. If the strokes or characters are represented as
works. For large category set classification, divide-and- feature vectors, the clustering can be accomplished by well-
conquer strategies, i.e., partitioning the category set into known statistical clustering algorithms like the k-means
groups of classes, followed by an appropriate organization of algorithm. Statistical clustering has been used to design
multiple neural networks, may yield high performance. There stroke prototypes in [142]. The clustering of structural
have not been many works of OLCCR using neural networks. patterns, however, must be based on the structural
A successful example was reported by Matic et al. [79]. matching between patterns.
For stroke-order dependent recognition methods, multi-
ple prototypes per class are necessary to absorb stroke-
6 MODEL LEARNING AND ADAPTATION
order variations. In a simple scheme, each class initially has
The quality of the model database influences the recognition a single prototype and, when the matching distance
performance. For statistical or neural classification, the between a learning pattern and the prototype exceeds a
database contains parameters (prototype vectors, subspace threshold, a new prototype is added [55], [143]. Iterative
vectors, connecting weights, etc.), which can be estimated clustering analogous to k-means has been used to learn
from samples using well-known estimation and learning multiple structural prototypes for alphabetic characters [59],
techniques [22], [25], [43]. For structural matching, the [130] and Chinese characters [1]. In [1], each class initially
database contains the structural character/radical models. has one prototype and the number of prototypes is adjusted
The learning of structural models from samples is not trivial in the clustering process. Another approach designs
because the learning patterns of a class have a different prototypes by selection from samples according to the
number of primitives and the primitives do not correspond. proximity between the samples of a class [106].
It is noteworthy that many previous works avoided the Learning vector quantization (LVQ) [56], primarily for
problem of model learning. Instead, they built the structural feature vectors, was generalized to adjust structural proto-
models manually using prior knowledge (e.g., [7], [16], [65], types and applied to alphabetic recognition [59], [130] and
[76], [73], [139]) or used carefully written character patterns Chinese character recognition [1]. For LVQ of structural
as prototypes (e.g., [132], [133]). Usually, model learning patterns, an elastic matching algorithm is embedded to
proceeds by iteratively adjusting the parameters of the correspond the primitives of the prototype and the learning
structural models on matching the learning patterns with
pattern. Based on the deformation vectors between the
the models. The adjusted models can give higher recogni-
corresponding primitives of prototype and learning pattern,
tion accuracy than the initial, manually built models.
the prototype is drawn either toward the learning pattern or
6.1 Mean Prototype Learning apart from the learning pattern with the aim of reducing the
Usually, a “mean” prototype of the learning patterns for each number of misclassifications. Since LVQ adjusts prototypes
class gives good recognition performance. Based on an initial discriminatively, it can give higher classification accuracy
structural model and the correspondence between this model than clustering.
and every learning pattern, the means and variances (or 6.4 Structured Learning
PDFs) of the structural attributes can be computed and the
In structured model database, the common radical models
mean prototype can be updated. The mean prototype
(described in mean structural attributes) is updated itera- shared by different classes can be generated and adjusted
tively until the mean attributes converge. This iterative according to the learning patterns that contain this radical.
procedure is a generalized version of the EM (expectation- However, the automated learning of radical models has not
maximization) algorithm [21]. It has been used to learn the been adequately addressed.
mean prototypes of point sequences [133], feature points [18], In an interactive learning approach, radical prototypes
FARG attributes [149], and the parameters of PCHMM [150]. are generated incrementally upon request when a part of
the input pattern or the pattern as a whole mismatch the
6.2 HMM Learning prototypes [87]. An approach uses LVQ to adjust the radical
In HMM learning, the parameters (initial probabilities, prototypes discriminatively [53]. It describes radical proto-
transition probabilities, and emission probabilities) are gen- types as line segments spanned in a square box. When
erally estimated on learning patterns using an EM procedure constructing a character model, the constituent radical
called Baum-Welch algorithm [103]. If the states can be prototypes are rescaled to the actual sizes and aspect ratios.
partitioned artificially or have explicit physical meanings, the On matching the character model with an input pattern, the
probabilities can be calculated by counting the frequencies of deformation vectors of a constituent radical are scaled back
events, such as for the discrete HMMs of [143]. to square box and used to adjust the radical prototype. It
In the situation that an HMM represents a primitive was shown that the adjusted radical prototypes outperform
(stroke, substroke, etc.) instead of a holistic pattern, the mean radical prototypes [53].
206 IEEE TRANSACTIONS ON PATTERN ANALYSIS AND MACHINE INTELLIGENCE, VOL. 26, NO. 2, FEBRUARY 2004
Fig. 8. A segmentation-recognition candidate network. The thick line denotes the most plausible segmentation path.
TABLE 1
Specifications of Kuchibue and Nakayosi Databases
TABLE 2
Recognition Results Reported in the Literature
Our purpose in collecting recognition rates from the significantly improve the recognition performance. The
literature is both to investigate the status of performance significant improvement relies on the integration of multiple
and to compare the recognition methods. We did not collect approaches and the joint effects of all processing steps. In
the recognition rates of commercial products in the market the following, we will discuss the research directions in
considering that the advertised rates are estimated in respect to pattern representation, classification, learning/
different environments and their recognition methods are adaptation, and contextual processing, respectively.
rarely publicized. We believe it is currently possible to In the area of representation, both the feature vector
achieve a very high recognition rate, above 98 percent on representation and the traditional structural representation
regular scripts. However, on fluent or fluent-regular scripts, have apparent insufficiencies which can be overcome by the
it is difficult to achieve a recognition rate above 90 percent hybrid statistical-structural representation. In OLCCR, only
(see the results on Kuchibue database). Though linguistic a few works have modeled the PDFs of stroke attributes
processing can largely reduce the error rate, the remaining [20], [150]. Recently, modeling both strokes and interstroke
recognition errors still bring high inconvenience to the user.
relationships probabilistically has been tried in online
Assuming linguistic processing resolves half of recognition
numeral recognition [15] and offline Chinese character
errors and our target of final correct rate is 99 percent (even
recognition [49]. A hybrid model can also describe
this rate is not enough), then the character recognizer
characters structurally with statistical radical/stroke mod-
should provide an accuracy above 98 percent. For free
handwriting recognition, it is very hard to reach this target. els (HMMs, PDFs, or discriminant functions) as primitives.
Global feature vector representation schemes can also be
improved by informative feature extraction, automatic
9 FUTURE DIRECTIONS feature transformation and selection. Currently, the so
The gap between the technical status and the required simple direction feature (histogram feature) performs fairly
performance indicates that the problem of OLCCR is not well, but we are sure that it can be surpassed. The feature
solved yet and it leaves us research opportunities. To reach transformation and selection, pertaining to statistical
the goal of totally free handwriting recognition, we should pattern recognition [43], is effective to improve the
seriously reconsider the methods and find ways to classification performance.
LIU ET AL.: ONLINE RECOGNITION OF CHINESE CHARACTERS: THE STATE-OF-THE-ART 209
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Stefan Jaeger graduated from the University of Masaki Nakagawa received BSc and MSc
Kaiserslautern, Germany, in computer science degrees from the University of Tokyo in 1977
in 1994 and received the PhD degree in and 1979, respectively. During the academic
computer science from Albert-Ludwigs Univer- year 1977-1978, he followed the computer
sity, Freiburg, Germany, in 1998. From 1994 to science course at Essex University in England,
1998, he worked as a PhD student at the and received the MSc degree with distinction in
Daimler-Benz Research Center, Ulm, Germany, computer studies in July 1979. He received the
where he was engaged in offline cursive hand- PhD degree in information science from the
writing recognition for postal mail sorting. His University of Tokyo in December 1988. From
PhD thesis addressed the problem of recovering April 1979, he has been working at Tokyo
dynamic information from static handwritten word images and was University of Agriculture and Technology. Currently, he is a professor
awarded the Dissertation Prize from the German Research Centers for of media interaction in the Department of Computer, Information, and
Artificial Intelligence in 1999. In 1998, he joined the Interactive Systems Communication Sciences. For the past 10 years, he has been
Laboratories jointly located at Carnegie Mellon University, Pittsburgh, collaborating with industry to advance pen-based human interactions
Pennsylvania, and at the University of Karlsruhe, Germany, where he composed of online handwriting recognition, pen-based interfaces, and
was a research staff member responsible for online handwriting applications, especially educational applications on an interactive
recognition and pen-computing. Since November 2000, he has been electronic whiteboard. He has been serving for several committees of
working as a senior researcher in the Department of Computer, the Japanese government on Industry and Universities partnership and
Information, and Communication Sciences at Tokyo University of those on IT-oriented and IT-supported learning. He is a member of the
Agriculture and Technology, Japan. His research interests include IEEE Computer Society.
pattern recognition, artificial intelligence, document analysis, hand-
writing recognition, and machine learning.