Oliver Garrod

Facial expressions of emotion are not culturally universal

Since Darwin’s seminal works, the universality of facial expressions of emotion has remained one of the longest standing debates in the biological and social sciences. Briefly stated, the universality hypothesis claims that all humans communicate six basic internal emotional states (happy, surprise, fear, disgust, anger, and sad) using the same facial movements by virtue of their biological and evolutionary origins [Susskind JM, et al. (2008) Nat Neurosci 11:843–850]. Here, we refute this assumed universality. Using a unique computer graphics platform that combines generative grammars [Chomsky N (1965) MIT Press, Cambridge, MA] with visual perception, we accessed the mind’s eye of 30 Western and Eastern culture individuals and reconstructed their mental representations of the six basic facial expressions of emotion. Cross-cultural comparisons of the mental representations challenge universality on two separate counts. First, whereas Westerners represent each of the six basic emotions with a distinct set of facial movements common to the group, Easterners do not. Second, Easterners represent emotional intensity with distinctive dynamic eye activity. By refuting the long-standing universality hypothesis, our data highlight the powerful influence of culture on shaping basic behaviors once considered biologically hardwired. Consequently, our data open a unique nature–nurture debate across broad fields from evolutionary psychology and social neuroscience to social networking via digital avatars.

Technical Section: Perception-driven facial expression synthesis

We propose a novel platform to flexibly synthesize any arbitrary meaningful facial expression in the absence of actor performance data for that expression. With techniques from computer graphics, we synthesized random arbitrary dynamic facial expression animations. The synthesis was controlled by parametrically modulating Action Units (AUs) taken from the Facial Action Coding System (FACS). We presented these to human observers and instructed them to categorize the animations according to one of six possible facial expressions. With techniques from human psychophysics, we modeled the internal representation of these expressions for each observer, by extracting from the random noise the perceptually relevant expression parameters. We validated these models of facial expressions with naive observers.

Crossmodal Adaptation in Right Posterior Superior Temporal Sulcus during Face–Voice Emotional Integration

The integration of emotional information from the face and voice of other persons is known to be mediated by a number of “multisensory” cerebral regions, such as the right posterior superior temporal sulcus (pSTS). However, whether multimodal integration in these regions is attributable to interleaved populations of unisensory neurons responding to face or voice or rather by multimodal neurons receiving input from the two modalities is not fully clear. Here, we examine this question using functional magnetic resonance adaptation and dynamic audiovisual stimuli in which emotional information was manipulated parametrically and independently in the face and voice via morphing between angry and happy expressions. Healthy human adult subjects were scanned while performing a happy/angry emotion categorization task on a series of such stimuli included in a fast event-related, continuous carryover design. Subjects integrated both face and voice information when categorizing emotion—although there was a greater weighting of face information—and showed behavioral adaptation effects both within and across modality. Adaptation also occurred at the neural level: in addition to modality-specific adaptation in visual and auditory cortices, we observed for the first time a crossmodal adaptation effect. Specifically, fMRI signal in the right pSTS was reduced in response to a stimulus in which facial emotion was similar to the vocal emotion of the preceding stimulus. These results suggest that the integration of emotional information from face and voice in the pSTS involves a detectable proportion of bimodal neurons that combine inputs from visual and auditory cortices.

Four not six: Revealing culturally common facial expressions of emotion.

As a highly social species, humans generate complex facial expressions to communicate a diverse range of emotions. Since Darwins work, identifying among these complex patterns which are common across cultures and which are culture-specific has remained a central question in psychology, anthropology, philosophy, and more recently machine vision and social robotics. Classic approaches to addressing this question typically tested the cross-cultural recognition of theoretically motivated facial expressions representing 6 emotions, and reported universality. Yet, variable recognition accuracy across cultures suggests a narrower cross-cultural communication supported by sets of simpler expressive patterns embedded in more complex facial expressions. We explore this hypothesis by modeling the facial expressions of over 60 emotions across 2 cultures, and segregating out the latent expressive patterns. Using a multidisciplinary approach, we first map the conceptual organization of a broad spectrum of emotion words by building semantic networks in 2 cultures. For each emotion word in each culture, we then model and validate its corresponding dynamic facial expression, producing over 60 culturally valid facial expression models. We then apply to the pooled models a multivariate data reduction technique, revealing 4 latent and culturally common facial expression patterns that each communicates specific combinations of valence, arousal, and dominance. We then reveal the face movements that accentuate each latent expressive pattern to create complex facial expressions. Our data questions the widely held view that 6 facial expression patterns are universal, instead suggesting 4 latent expressive patterns with direct implications for emotion communication, social psychology, cognitive neuroscience, and social robotics. (PsycINFO Database Record

Functional Smiles: Tools for Love, Sympathy, and War.

A smile is the most frequent facial expression, but not all smiles are equal. A social-functional account holds that smiles of reward, affiliation, and dominance serve basic social functions, including rewarding behavior, bonding socially, and negotiating hierarchy. Here, we characterize the facial-expression patterns associated with these three types of smiles. Specifically, we modeled the facial expressions using a data-driven approach and showed that reward smiles are symmetrical and accompanied by eyebrow raising, affiliative smiles involve lip pressing, and dominance smiles are asymmetrical and contain nose wrinkling and upper-lip raising. A Bayesian-classifier analysis and a detection task revealed that the three smile types are highly distinct. Finally, social judgments made by a separate participant group showed that the different smile types convey different social messages. Our results provide the first detailed description of the physical form and social messages conveyed by these three types of functional smiles and document the versatility of these facial expressions.

Reconstructing dynamic mental models of facial expressions in prosopagnosia reveals distinct representations for identity and expression

The human face transmits a wealth of signals that readily provide crucial information for social interactions, such as facial identity and emotional expression. Yet, a fundamental question remains unresolved: does the face information for identity and emotional expression categorization tap into common or distinct representational systems? To address this question we tested PS, a pure case of acquired prosopagnosia with bilateral occipitotemporal lesions anatomically sparing the regions that are assumed to contribute to facial expression (de)coding (i.e., the amygdala, the insula and the posterior superior temporal sulcus--pSTS). We previously demonstrated that PS does not use information from the eye region to identify faces, but relies on the suboptimal mouth region. PSs abnormal information use for identity, coupled with her neural dissociation, provides a unique opportunity to probe the existence of a dichotomy in the face representational system. To reconstruct the mental models of the six basic facial expressions of emotion in PS and age-matched healthy observers, we used a novel reverse correlation technique tracking information use on dynamic faces. PS was comparable to controls, using all facial features to (de)code facial expressions with the exception of fear. PSs normal (de)coding of dynamic facial expressions suggests that the face system relies either on distinct representational systems for identity and expression, or dissociable cortical pathways to access them. Interestingly, PS showed a selective impairment for categorizing many static facial expressions, which could be accounted for by her lesion in the right inferior occipital gyrus. PSs advantage for dynamic facial expressions might instead relate to a functionally distinct and sufficient cortical pathway directly connecting the early visual cortex to the spared pSTS. Altogether, our data provide critical insights on the healthy and impaired face systems, question evidence of deficits obtained from patients by using static images of facial expressions, and offer novel routes for patient rehabilitation.

Facial Movements Strategically Camouflage Involuntary Social Signals of Face Morphology

Animals use social camouflage as a tool of deceit to increase the likelihood of survival and reproduction. We tested whether humans can also strategically deploy transient facial movements to camouflage the default social traits conveyed by the phenotypic morphology of their faces. We used the responses of 12 observers to create models of the dynamic facial signals of dominance, trustworthiness, and attractiveness. We applied these dynamic models to facial morphologies differing on perceived dominance, trustworthiness, and attractiveness to create a set of dynamic faces; new observers rated each dynamic face according to the three social traits. We found that specific facial movements camouflage the social appearance of a face by modulating the features of phenotypic morphology. A comparison of these facial expressions with those similarly derived for facial emotions showed that social-trait expressions, rather than being simple one-to-one overgeneralizations of emotional expressions, are a distinct set of signals composed of movements from different emotions. Our generative face models represent novel psychophysical laws for social sciences; these laws predict the perception of social traits on the basis of dynamic face identities.

Dissociating task difficulty from incongruence in face-voice emotion integration

In the everyday environment, affective information is conveyed by both the face and the voice. Studies have demonstrated that a concurrently presented voice can alter the way that an emotional face expression is perceived, and vice versa, leading to emotional conflict if the information in the two modalities is mismatched. Additionally, evidence suggests that incongruence of emotional valence activates cerebral networks involved in conflict monitoring and resolution. However, it is currently unclear whether this is due to task difficulty—that incongruent stimuli are harder to categorize—or simply to the detection of mismatching information in the two modalities. The aim of the present fMRI study was to examine the neurophysiological correlates of processing incongruent emotional information, independent of task difficulty. Subjects were scanned while judging the emotion of face-voice affective stimuli. Both the face and voice were parametrically morphed between anger and happiness and then paired in all audiovisual combinations, resulting in stimuli each defined by two separate values: the degree of incongruence between the face and voice, and the degree of clarity of the combined face-voice information. Due to the specific morphing procedure utilized, we hypothesized that the clarity value, rather than incongruence value, would better reflect task difficulty. Behavioral data revealed that participants integrated face and voice affective information, and that the clarity, as opposed to incongruence value correlated with categorization difficulty. Cerebrally, incongruence was more associated with activity in the superior temporal region, which emerged after task difficulty had been accounted for. Overall, our results suggest that activation in the superior temporal region in response to incongruent information cannot be explained simply by task difficulty, and may rather be due to detection of mismatching information between the two modalities.

Space-by-time manifold representation of dynamic facial expressions for emotion categorization.

Visual categorization is the brain computation that reduces high-dimensional information in the visual environment into a smaller set of meaningful categories. An important problem in visual neuroscience is to identify the visual information that the brain must represent and then use to categorize visual inputs. Here we introduce a new mathematical formalism—termed space-by-time manifold decomposition—that describes this information as a low-dimensional manifold separable in space and time. We use this decomposition to characterize the representations used by observers to categorize the six classic facial expressions of emotion (happy, surprise, fear, disgust, anger, and sad). By means of a Generative Face Grammar, we presented random dynamic facial movements on each experimental trial and used subjective human perception to identify the facial movements that correlate with each emotion category. When the random movements projected onto the categorization manifold region corresponding to one of the emotion categories, observers categorized the stimulus accordingly; otherwise they selected “other.” Using this information, we determined both the Action Unit and temporal components whose linear combinations lead to reliable categorization of each emotion. In a validation experiment, we confirmed the psychological validity of the resulting space-by-time manifold representation. Finally, we demonstrated the importance of temporal sequencing for accurate emotion categorization and identified the temporal dynamics of Action Unit components that cause typical confusions between specific emotions (e.g., fear and surprise) as well as those resolving these confusions.

A framework for automatic and perceptually valid facial expression generation

Facial expressions are facial movements reflecting the internal emotional states of a character or in response to social communications. Realistic facial animation should consider at least two factors: believable visual effect and valid facial movements. However, most research tends to separate these two issues. In this paper, we present a framework for generating 3D facial expressions considering both the visual the dynamics effect. A facial expression mapping approach based on local geometry encoding is proposed, which encodes deformation in the 1-ring vector. This method is capable of mapping subtle facial movements without considering those shape and topological constraints. Facial expression mapping is achieved through three steps: correspondence establishment, deviation transfer and movement mapping. Deviation is transferred to the conformal face space through minimizing the error function. This function is formed by the source neutral and the deformed face model related by those transformation matrices in 1-ring neighborhood. The transformation matrix in 1-ring neighborhood is independent of the face shape and the mesh topology. After the facial expression mapping, dynamic parameters are then integrated with facial expressions for generating valid facial expressions. The dynamic parameters were generated based on psychophysical methods. The efficiency and effectiveness of the proposed methods have been tested using various face models with different shapes and topological representations.