1 Introduction
has shown superior performance on several categories of machine learning problems, especially classification task. These
Deep Neural Networks(DNN) learn models from large training data to efficiently classify unseen samples with high accuracy. However, recent works have demonstrated that DNNs are vulnerable to
adversarial examples, which are maliciously created by adding imperceptible perturbations to the original input by attackers. Adversarially perturbed examples have been deployed to attack image classification service [13], speech recognition system [4] and autonomous driving system [27].Heretofore, numerous algorithms have been proposed to generate adversarial examples for 2D images. When model parameters are known, a paradigm called whitebox attacks includes methods based on calculating the gradient of the network, such as Fast Gradient Sign Method (FGSM) [7], Iterative Gradient Sign Method (IGSM) [8] and Jacobian Saliency Map Attack Method (JSMA) [18], and based on solving optimization problems, such as LBFGS [23], Deepfool [16] and Carlini & Wagner (C&W) attack [2]. In the scenario where access to the model is not available, called blackbox attacks, a secondary model can be trained using the model to be attacked as a guide [17, 13].
Since the robustness of DNNs to adversarial examples is a critical feature, defenses that target to increase robustness against adversarial example are urgently considered and can be classified into three main categories. Given the local instability of adversarial examples, the first category contrives to remove adversarial perturbations from the input by input transformations such as JPEG compression [6] or image rescaling [14]. Meng & Chen [15] introduce MagNet by training an autoencoder reformer network to move adversarial examples closer to the manifold of natural examples. The second category is adversarial training, where Goodfellow et al. [23] augment training data with adversarial examples to increase the robustness of the model against a specific attack. The third category is gradient masking, including modifying network architecture and optimization techniques to suppress the generation of adversarial examples. Obfuscated gradients, as a special case of gradient masking [17], make it harder for attackers to compute the feasible gradient to generate adversarial examples. Zheng et al. [32] append a stability term to the objective function to enforce the model to share similar outputs for both the normal and adversarial examples.
In addition to defense, detection of adversarial example before they are fed into the networks is another approach to resist attacks. The detector networks from MagNet [15] learn to distinguish between normal and adversarial examples by approximating the manifold of normal examples. Liu et al. [12] detect adversarial examples by estimating modification probability of each pixel caused by adversarial attacks from the steganalysis point of view.
As for 3D geometric data such as point clouds or meshes, a couple of works on point cloud classification have been researched. After the awkward problem of irregular data format was addressed by PointNet [3] and its variants [21, 25]
, point cloud data can be directly processed by DNNs, and has become a promising data structure for 3D computer vision tasks. Hua
et al. [9] propose a pointwise convolution operator that can output features at each point in a point cloud, which can offer competitive accuracy while being simple to implement. Yang et al. [29] construct losses based on mesh shape and texture to generate adversarial examples, which aim to project the optimized “adversarial meshes” to 2D with a photorealistic renderer, and still able to mislead different DNNs. Xiang et al. [27] attack point clouds built upon C&W loss and point cloudspecific perturbation metric with high success rate. To our best of our knowledge, this is the only work on 3D adversarial point clouds. Since techniques like Lidar have been widely deployed in safetycritical scenarios such as autonomous driving [31], the robustness of 3D point cloud recognition against adversarial examples is of great significance.Based on the above reasoning, in this paper, we propose a defense method against adversarial point cloud by randomization at inference time using simple random sampling or statistical outlier removal controlled by random seed, to mitigate adversarial effects. As far as we know, this is the first work that demonstrates the effectiveness of pointremoval operation at inference time on mitigating adversarial effects on the 3D dataset, e.g., ModelNet40. We summarize the key contributions of our work as follows:

We present two new defense operations to mitigate adversarial point clouds, which have better defense performance compared with adversarial training.

Randomization at inference time makes the network more robust to adversarial point clouds but hardly deteriorates the performance on clean point clouds.

There is no additional training or finetuning required, and very few computations are required by adding the pointsremoval layer. Thus there is nearly no runtime increase.
We conduct comprehensive experiments to test the effectiveness of our defense method against Xiang et al.’s attacks [27] with multiple loss metrics, and under different attack scenarios. The results in Section 4 demonstrate that the proposed pointsremoval layer can significantly mitigate adversarial effects.
2 Related Work
2.1 Point Clouds
A point cloud is a set of points which are sampled from object surfaces. Consider a 3D point cloud with points, denoted by , where each point
is a vector of its
xyz coordinates. Note that unlike images, point cloud data are unordered and dimensionalityflexible, which are dealt with differently.PointNet. This method [20] and its variants [21] proposed by Qi et al
. exploit a single symmetric function, max pooling, to reduce the unordered and dimensionalityflexible input data to a fixedlength global feature vector and enable endtoend neural network learning. They demonstrate the robustness of the proposed PointNet and introduce the concept of critical points and upper bounds. The points sets laying between critical points and upper bounds yield the same global features, and thus PointNet is robust to missing points and random perturbation.
2.2 Existing Methods for Adversarial Attacks
Carlini & Wagner. This method [2] is an optimizationbased attack that combines a differentiable surrogate for the classification accuracy of the model with three forms of distortion term (, , ). It generates adversarial examples by solving the following optimization problem:
(1)  
where
is a hyperparameter to balance the two parts. This attack seeks for the solution of both acquiring the smallest perturbation measured by predefined perturbation loss
and impelling the network to classify the adversarial example incorrectly. For an untargeted attack,is the loss function to measure the distance between the input object and the adversarial object, as defined by:
(2) 
where denotes a margin parameter for regulating model transferability and perturbation degree, and where
is the operation that computes the logit vector. So far C&W attack is too strong to defend.
Xiang’s method. Xiang et al. [27] propose the first adversarial examples in the point cloud space, including unnoticeable and manufacturable adversarial point clouds. Based on the framework of C&W attack, for unnoticeable adversarial examples, they either shift existing points or add new points negligibly and adopt different perturbation metrics based on them, where stands for adversarial point cloud. To measure the attack performance, they propose to use norm, PompeiuHausdorff distance
(3) 
Chamfer measurement
(4) 
and the number of added points
(5) 
as perturbation metrics, where is the indicator function and the threshold of outliers. Experiments demonstrate that all the adversarial point clouds reach high success rate given an acceptable perturbation budget.
2.3 Existing Methods for Defenses
As far as we know, there are no work on 3D adversarial point cloud defenses. However, adversarial training is a universal approach to defend against adversarial examples.
Adversarial Training. Adversarial training [7, 10, 24]
is one of the most extensively investigated defenses against adversarial attacks. It aims to train a robust model from scratch on a training set augmented with adversarially perturbed data. Adversarial training improves the classification accuracy of the target model on adversarial examples. However, adversarial training is more time consuming than training on clean objects only, because online adversarial example generation needs extra computation, and it takes more epochs to fit adversarial examples. These limitations hinder the usage of harder attacks in adversarial training.
3 Defenses against Adversarial Point Cloud
The goal of defense on 3D point clouds is to build a network that is robust to adversarial examples, i.e., it can classify adversarial point clouds correctly with little performance loss on clean point clouds. Formally, given a classification model and an input , which may either be an original input X, or an adversarial input , the goal of a defense method is to either augment data to train a robust such that , or transform by a transformation such that .
Towards this goal, we propose a random pointsremoval method, as shown in Figure 1, which adds a pointsremoval layer to the beginning of the classification networks, to realize network robustness against adversarial examples. These pointsremoval layers are designed in the context of point cloud classification on ModelNet40 [26] dataset and are used in conjunction with a trained classifier (By default pretrained PointNet [20] in this study). There is no retraining or finetuning needed which makes the proposed method very easy to implement.
We propose two defense schemes: simple random sampling and statistical outlier removal to defend against 3D point cloud adversarial examples generated from C&W loss and multiple distance metrics.
3.1 Simple Random Sampling (SRS)
In statistics, a simple random sample, or shortly SRS, is a subset of individuals chosen from a larger set. Each sample is chosen randomly and entirely by chance, such that each has the same probability of being chosen at any stage during the sampling process, which is an unbiased surveying technique.
We randomly leave out points from points to preprocess the input point clouds. The input order of points is trivial and makes no difference to the classification performance. The effectiveness of points deletion manipulation is attributed to the structure of PointNet that on the final convolutional layer, a global max pool is applied to aggregate available features to represent shape characteristics. Random removal of some points has a certain chance of taking of salient features that mislead the classification of the point cloud to the specified class. As shown in Figure 3, even randomly removing as much as 10% (nearly 100 points) of points from the original point cloud does not alter the classification of a clean point cloud, while the accuracy of adversarial point clouds has soared from 0% to 57%. A formal definition is given in Algorithm 1.
3.2 Statistical Outlier Removal (SOR)
Because point clouds are generally produced by 3D scanners which measure a large number of points on the external surfaces of objects around them, measurement errors by scanners inevitably lead to sparse outliers which corrupt the shapes of point clouds. The phenomenon complicates the estimation of local point cloud region characteristics such as surface normals or curvature changes, leading to erroneous values. Rusu et al. [22] propose statistical outlier removal method (SOR for short) which corrects these irregularities by computing the mean and standard deviation of nearest neighbor distances, and trim the points which fall outside the , where depends on the size of the analyzed neighborhood.
Specifically, the nearest neighbors (NN) point set of each point of point cloud X is defined as . Then the average distance that each point has to its nearest neighbors is denoted by
(6) 
The mean and standard deviation of all these distances are computed to determine a distance threshold:
(7) 
and
(8) 
We trim the points which fall outside the , and the manicured point set is acquired by
(9) 
In summary, we have given a formal definition in Algorithm 2
. The outliers generated from 3D scanners share certain similarities with points generated by C&W based 3D adversarial point clouds. The addition of Hausdorff or Chamfer distance loss still cannot hinder the detection of adversarial example, which is primarily on account of the fact that despite the attackers successfully fool the classification network, there is always a certain percentage of points which are added or shifted inevitably becoming abnormal points. Also, the outlier evaluation variances between single distortion measurements of loss function and statistic outlier are unequal.
Below we explore the relationship between the two measures. The limitation of C&W optimization function inevitably creates some points that are on the manifold of point cloud object which are taken as normal points and some are outliers. The outliers mostly mislead the classification performance. Therefore, the more outliers removed by preprocessing layer, the better the defense ability against adversarial examples. Here, we denote the percentage of adversarial points in the removed point set by
(10) 
where is the set of adversarial points which is defined differently w.r.t. diverse adversarial distortion constraints. For a loss, is defined by
(11) 
where and is the threshold of norm of each paired points controlled by the ratio of points that are considered as adversarial points. For Hausdorff or Chamfer based loss, is defined by
(12) 
where and is the threshold of Hausdorff/Chamfer distance between each point from and point set X controlled by .
By Equation (10), we acquire the percentage of adversarial points of SOR and SRS method, and denote them by and respectively. It is expected that since SOR scheme recognizes outliers as adversarial points in a statistical pattern rather than random guess as SRS does. We choose 300 point clouds as test examples to verify the above inference, which is shown in Figure 2. Most of of point clouds are larger than , implying that SOR removes more adversarial points than SRS. Similar results can be obtained on Hausdorff and Chamfer loss based adversarial point clouds. Thus SOR has a better ability of defense against adversarial point clouds.
4 Experiments
4.1 Experimental Setup
Dataset. We use the aligned benchmark ModelNet40 [26] dataset for our experiments. The ModelNet40 dataset contains 12,311 CAD models from 40 most common object categories in the world. 9,843 objects are used for training and the other 2,468 for testing. As done by Qi et al., we uniformly sample 1,024 points from the surface of each object and rescale them into a unit cube.
Networks. We use the same PointNet structure as proposed in [20] and train the model with all ModelNet40 training data to obtain the PointNet model. The advPointNet is adversarially trained whose training set is combined with original clean point clouds and adversarial examples from C&W and /Hausdorff/Chamfer loss metrics.
Defense Models. The defense model consists of the original networks (PointNet) and the preprocessing layer. By applying the pointsremoval layer, we can create innumerable different patterns for a single point cloud, which is hard for estimation.
Untargeted Models. We utilize all the test examples to generate untargeted adversarial point clouds with one attack built upon C&W loss and metric [27].
Targeted Models. We utilize all the test examples to generate untargeted adversarial point clouds with three attacks built upon C&W loss and metric, Hausdorff metric and Chamfer metric, respectively [27]. The target class of each adversarial example is picked randomly from the remaining 39 categories. We do not consider defense of manufacturable adversarial point cloud proposed in [27], as visually it is not a normal point cloud and can be identified before it is fed into point cloud recognition network.
Attacks Evaluations. The attackers first generate adversarial examples using the untargeted/targeted models and then evaluate the classification accuracy of these generated adversarial examples on the target and defense models. Low accuracy of the untargeted/targeted model indicates that the attack is successful, and high accuracy of the defense model indicates that the defense is effective.

Vanilla Attack: The attackers do not know the existence of the random pointsremoval layer and the target model is just the original network.

SinglePattern Attack: The attackers know the existence of the random pointsremoval layer. In order to mimic the structures of defense models, the target model is chosen as the original network + pointsremoval layer with only one predefined pattern.

EnsemblePattern Attack: The attackers know the existence of the random pointsremoval layer. To mimic the structures of defense models in a more representative way, the target model is chosen as the original network + pointsremoval layer with an ensemble of predefined patterns.
4.2 Parameter Selection
We take SRS and SOR as our two defense schemes and adversarial examples generated from C&W and /Hausdorff/Chamfer loss for performance verification.
SRS as Defense. As shown in Figure 3, we compare the detection accuracy and attack success rate of targeted attacks with a varying number of removed points from 0 to 1000. Note that the two evaluations are not directly associated because a low detection accuracy does not mean a high success rate for a targeted attack. As increases, the success rate of adversarial examples drops dramatically, the average accuracy of adversarial example first increases and then decreases with its maximum 65.1%, and the accuracy of clean point clouds are monotonically decreasing. The tendency of three curves can be explained below: the attacks search the entire point cloud space for adversarial perturbations without regarding for the location of the point cloud content. This is contrary to the classification models that show high activation in regions where object shapes are present [30]. Therefore, simple removalbased filtering with a slight amount of deletion erases the artifact bothered by adversarial perturbation, which promotes detection of adversarial point clouds. When a few points are deleted, the structure of point cloud is still preserved; when more random sampled points are deleted, the shape of the point cloud deteriorates and degrades the classification performance.
Models  Target [3]  Defense (advtrain) [24]  Defense (SRS)  Defense (SOR) 

Clean point cloud  88.3%  88.7%  83.0%  86.5% 
Adv (C&W loss) [27]  0.7%  0%  64.7%  81.4% 
Adv (C&W Hausdorff loss) [27]  12.7%  11.6%  58.8%  59.8% 
Adv (C&W Chamfer loss) [27]  11.8%  10.0%  59.5%  59.1% 
SOR as Defense. The SOR operation comprises two influential factors, the number of neighbor points and the percentage of points that are regarded as outliers. As shown in Figure 5, with fixed , distribution of number of points with various are presented. Compared to the clean points clouds with 1024 points, a smaller filters out more points than in a statistic sense. Similarly, for the target model, we evaluate the targeted attack based adversarial examples, as shown in Figure 6. When , the NN point set only contains the point itself, thus the statistical removal is inoperative. Once , the defense behavior comes into force. When and , the accuracy of clean point clouds and adversarial examples are 86.5% and 81.4% respectively. Compared to SRS defense with its best accuracy of adversarial examples with 65.1%, SOR has a substantial increase of 16.3% on performance. Similar results can be obtained on defenses of untargeted attacks and Hausdorff loss based attacks, which are shown in Figure 7 and 8. In Figure 4 we show the visual variation of point positions of each stage. The figure on the far right consists of the removed outliers () in red and the removed points that are not outliers () in black. The larger ratio the red points has, the better the defense performance has.
4.3 Vanilla Attack Scenario
For the vanilla attack scenario, the attackers are not aware of the pointsremoval layer, and directly use the original networks as the target model to generate adversarial examples. The attacking ability on the defense models mostly relies on the transferability of adversarial examples to different points removal operations. We take SRS and SOR as our two defense schemes for performance verification.
Models  Target [3]  Defense (SRS)  Defense (SOR)  

Vanilla attack  Clean point cloud  88.3%  83.0%  86.5% 
Adv (C&W loss) [27]  0.7%  64.7%  81.4%  
Adv (C&W Hausdorff loss) [27]  12.7%  58.8%  59.8%  
Adv (C&W Chamfer loss) [27]  11.8%  59.5%  59.1%  
Singlepattern attack  Clean point cloud  88.3%  83.0%  86.5% 
Adv (C&W loss)  0%  58.6%  76.0%  
Adv (C&W Hausdorff loss)  57.4%  49.1%  50.2%  
Adv (C&W Chamfer loss)  54.1%  51.3%  52.0%  
Ensemblepattern attack  Clean point cloud  88.3%  84.4%  87.5% 
Adv (C&W loss)  0%  81.8%  82.3%  
Adv (C&W Hausdorff loss)  56.5%  52.1%  52.3%  
Adv (C&W Chamfer loss)  55.3%  51.8%  53.8% 
Shifting () [27]  Adding (Hausdorff) [27]  Adding (Chamfer) [27]  

PointNet++ [21]  10.5%  1.5%  1.4% 
DGCNN [25]  8.4%  1.5%  1.3% 
PointwiseCNN [9]  /  2.0%  2.1% 
For reading convenience, we coin two new acronyms “adv” standing for “adversarial point clouds” and “advtrain” standing for “adversarial training” in tables. From the accuracy presented in Table 1, we observe that the adversarially trained PointNet cannot resist the attack of C&W based methods (from 0.7% to 0%), yet pointsremoval layer can mitigate the adversarial effects for C&W methods with multiple loss metrics significantly. The classification accuracy of adversarially trained network^{1}^{1}1
Different from the adversarial training of 2D images, to align input dimension of 3D point cloud training data while keeping the classification accuracy of training data unchanged, we pad the vacant points by replication of existing points.
is slightly higher than the nonadversarially trained network, which attributes to the data augmentation. As for metric, the success rate of adversarial examples nearly reaches 100% while after filtering the detection rate of SRS is 64.7% and that of SOR is higher than 80%. In contrast, Hausdorff and Chamfer loss metrics have similar results with lower success rates but have lower detection rates after pointsremoval preprocessing. The success rate of adversarial examples on target advPointNet model reaches 100%, but is it more fragile than defense against PointNet model with more than 80% accuracy on both SRS and SOR models. Furthermore, due to the unknowability of the defense type, there is only 1round attack for attackers, and we only have a 1round defense.4.4 SinglePattern Attack Scenario
For the singlepattern attack, the attackers are aware of the existence of pointsremoval layer and also the parameters of the outlier removal operation (i.e., from and ) or random sampling (i.e., from ), but they do not know the specific patterns utilized by the defense models (even the defense models themselves do not know these specific patterns since they are randomly instantiated at test time). Distinct from the adversarial examples of 2D images [28]
that considers the preprocessing layer as a part of the convolutional network to compute gradients, it is unlikely for attackers to acquire gradients of a layer with unknown neuron numbers (number of points after removal manipulation). To generate robust adversarial examples against preprocessing operation, the attackers try to attack the model more than once. First, generate the 1round adversarial point cloud and use one specific pattern of pointsremoval to acquire point clouds as the clean point cloud, which are used to acquire the 2round adversarial point cloud. In this experiment, the specific pattern of SOR preprocessing that we use is to transform the original input
X to pointsremoved point cloud with and , while for SRS scheme .Table 2 shows the accuracy of both target and defense models, and the adversarial point clouds are all 2round attacks. loss based 2round attacks 100% successfully fool the original target PointNet but has an obvious accuracy increase on both the SRS and SOR defense model. Consistent with the analysis in Subsection 3.2, SOR removes more adversarial points than SRS. For Hausdorff/Chamfer based adversarial examples, the 2round attacks perform worse than based attacks with near 50% classification accuracy, which is due to the difficulty of adversarial points generation caused by the compact distribution of added points.
4.5 EnsemblePattern Attack Scenario
For the ensemblepattern attack, similar to singlepattern attack, the attackers are aware of the pointsremoval layer and the parameters of the outlier removal and random sampling (i.e., from and ), but they do not know the specific patterns utilized by the defense models at test time. The target models thus are constructed in a more representative way: let pointsremoval layer choose an ensemble of predefined patterns, and the goal of the attackers is to let all chosen patterns fail on classification. In this experiment, the specific ensemble patterns that we choose are: we select and from both intervals randomly for each point cloud, resulting in an infinite patterns. For the results presented in Table 2, we can see that the for loss based 2round adversarial examples generated under ensemblepattern attack scenario are inferior to singlepattern based attacks. For Hausdorff/Chamfer based adversarial examples, the 2round attacks perform similarly to singlepattern based attacks.
4.6 BlackBox Attack Scenario
The transferability of C&W loss based 3D adversarial point cloud on blackbox classification systems is experimented, which is shown in Table 3. Similar to [27], we test the success rate of adversarial examples generated from PointNet on PointNet++, DGCNN and PointwiseCNN. The result illustrates that C&W based 3D adversarial point clouds have limited transferability, thus for blackbox defense, we do not have to add the preprocessing layer. For PointwiseCNN, the input size of points should be fixed (such as 1024 points) and is limited for classification. Thus some classification results are absent.
5 Conclusion
In this paper, we propose a pointsremoval based network layer as a defense mechanism to mitigate 3D point cloud adversarial effects and strength the robustness of DNNs. We conduct comprehensive experiments to validate the effectiveness of our defense method against different C&W based attacks under different attack scenarios. The results show that it is effective to defend against whitebox attacks; while for blackbox attacks, it is not necessary to add the proposed preprocessing layer. By adding the proposed pointsremoval layer to a trained classification model, it achieves the best score of 0.814 of accuracy on the C&W and loss based adversarial point clouds.
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