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Handbook on Facial Expression of Emotion

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 Handbook on
Facial Expression
of Emotion
edited by
A. FREITAS-MAGALHÃES
CARLA BLUHM
MARK DAVIS

F
 The Science of Reading Human Faces

F
FEELab Science Books
www.feelab.org
Porto, Portugal
Handbook on Facial Expression of Emotion
© 2013 - A. Freitas-Magalhães, Carla Bluhm & Mark Davis
ISBN 978-989-98524-6-4
Foto “The heart of emotion” © 2013 - S. Po
All rights reserved. All reproduction or transmission in any form or by any means, mechanical, electronic, copy,
recording or any other, without written authorisation of the editors and the publisher is illegal and subjected to
judicial procedure against the infractor.

Always explores the heart of emotion.

 3
Introducing Microexpressions:
From the Lab to Clinical Applications.

Daniel Montoya

Fayetteville State University

Microexpressions are rapid facial expressions that appear when an individual is trying to
repress or conceal his/her underlying emotions. With the development of tools such as the
Micro Expression Training Tool (METT) and the Subtle Expression Training Tool (SETT) we
can now ask questions about rapid changing situations with many emotional cues on
display. In this chapter, we define micro-expressions and point to some of its main uses with
a particular focus on research applications. In the first part, we describe how METT and
SETT have become powerful tools to understand emotions and make people aware of their
own expressions. In the second part, we discuss the application of METT to the study of
emotion perception (EP) in two important pathologies: Schizophrenia and Parkinson’s
disease, with special reference to the importance of emotion recognition and its implications
in treatment efforts to improve patient’s outcome.

Introducing Microexpressions:
From the Lab to Clinical Applications
 The discovery of microexpressions was the result of new technologies and
challenging questions posed by students. Paul Ekman (2007) was urged to find a way of
detecting deception by his own psychiatry students. The problem was simple: in a clinical
setting, noticing when a depressed patient is lying may represent the difference between life
and death. In this situation, a physician needs a way to know, in unambiguous terms, if a
patient could be faking her remission. In this case, important decisions such as the
continuing hospitalization, drug doses, or even if the patient constitutes a danger to themself,
may depend on the ability of the physician to weight the patient’s truthfulness.
By pure coincide, Ekman had access to a video recording of a 40-year old depressed
patient that admitted to lying in her discharge interview. She recognized she planned to kill
herself once released from the hospital. At first, watching the film, Ekman didn’t see any
evidence that the patient was lying. The woman smiled and presented an optimistic facade
that threw people off her real intentions. However, when the film was analyzed frame-by-
frame, the clear signs of hidden emotions appeared on the screen. When the patient was
specifically asked about her future plans “a strong anguish” crossed her face. Ekman
realized immediately that, at a normal film speed or in a normal interview setting, the short
expression would have been missed altogether.
This led to further analysis by Ekman and his collaborator, Wally Friesen who termed
these fleeting emotional displays “microexpressions”. They are comprised by “very fast
facial movements of about 1/25 to 1/5 of a second” (Freitas-Magalhães, 2012) (See Figure
1).

Figure 1. Example of microexpression taken from a video interview. The expression

last for less than a second and it appears at the moment when the participant is lying
about her intentions. Notice the raised central eyebrows. Source:
http://www.youtube.com/watch?v=VBLWh6bbmLE .

Microexpressions were originally described by Haggard and Isaacs (1966). They

proposed that these expressions were too swift to study in real-time, and that
microexpressions represented deliberately suppressed emotions. These emotions,
however, can appear with or without conscious awareness (See Figure 2).

Figure 2. Example of microexpression. On August 17, 1998, President Bill Clinton

goes on national TV to admit he had an inappropriate relationship with Monica Lewinsky.
This is the particular moment where he explains that he did not have an inappropriate
relationship. Source: http://www.cnn.com/ALLPOLITICS/1998/08/17/speech/

With the development of the Micro Expression Training Tool (METT) and the Subtle
Expression Training Tool (SETT) micro-expression analysis has become a powerful tool to
understand emotions and make people aware of their own expressions. In this way, micro-
expression analysis became a fertile ground for applications outside the field of psychiatry.
Today, we can see its utility in widely different research pertaining to food preference in
children (de Wijk, Kooijman, Verhoeven, Holthuysen, & de Graaf, 2012); emotion recognition
in parents at high risk for child abuse (Asla, de Paú, & Pérez-Albéniz, 2011); recognition of
faked and real pain (Hill & Craig, 2002) and clinical areas such as emotion perception in
Parkinson's disease (Mondillon, Fau-Mermillod, et al., 2012) and Schizophrenia (Russell,
Chu, & Phillips, 2006).

Context is Affected by Many Intervening Variables

Microexpressions do not happen in a vacuum. They appear during a dynamic

interaction and its presence and meaning depend on several contextual variables. According
to Ekman (2007), a micro-expression does not tell us if it is the result of suppressed or
repressed emotions. In order to identify their underlying source, context is an important
component to consider.
Context gives meaning to microexpressions (1). A micro-expression may have
completely different meanings depending on where and when it is happening (Figure 3).

Figure 3.
Microexpressions and context. These are some of the elements affecting the interpretation
of micro-expressions depending on the context in which they happen.

Context is primarily defined by the nature of the conversational exchange. A

microexpression of anger would have different meanings depending on the nature of the
situation. A job interview offers a completely different setting to a micro-expression
compared with an interrogation. Different settings pose different pressures on the individual,
who may want to suppress particular emotions from showing in particular contexts. Facial
expressions thought to be direct expressions of one emotion may be interpreted as
indications of another when presented in different contexts (Carroll & Russell, 1996).
Parkinson (2008) argues that different modes of interpersonal contact produce different
styles of emotion presentation (i.e. phone line, e-mail, or video-conference).
An important element attached to the context’s values is the history of the
conversation. Previous exchanges in the conversation may give us clues about the meaning
of a particular micro-expression. If the interviewer poses challenging questions to the
applicant in a job interview, he/she may want to maintain a balanced and positive
countenance, which may lead to the increase of different microexpressions. This also
highlights the issue of goals: where do the participants want this exchange to go? In a job
interview, we can clearly understand that the goal is the extension of a job offer to the
candidate or not. This goal affects also the presence of microexpressions and their
underlying meaning. Another variable, related to the history of the conversation, is the
speaker’s turn. Microexpressions will have different meaning if they appear when the person
is speaking or listening. In addition, the micro-expressions can fit or contradict the content of
the person’s speech. This is a variable known as congruence, and it can be an important
indicator of the person’s intentions.
One critical caveat is that, without training, people do not readily recognize micro-
expressions, as Ekman (2007) pointed out. In the dynamic chaos that is human interaction,
we are usually attuned to macro-expressions of our fellow humans, but not the fleeting
occurrence of micro-expressions. However, people can be trained to recognize micro-
expressions. Practice and feedback facilitate the ability to contrast and recognize the most
commonly confounding emotions, such as anger vs. disgust or fear and surprise.
In a real-time interaction, however, some differences in context and perspective,
together with limited access to the others’ appearance, can seriously undermine the intrinsic
readability of emotions. Many elements coincide in a real-time interaction, which makes the
isolation and interpretation of micro-expression very challenging. Overall gestures and tone
of voice, plus our own elaboration of a response, distract us from pinpointing specific micro-
expressions, which happen at high speed (Figure 4).

Figure 4.
Microexpressions are buried under several kinds of signals emanating from each
participant in a conversation. Those signals, such as the tone of voice, the actual words
and and elaboration of a response, actually distract us from reading micro expressions.

The importance of context have been also highlighted by Wieser and Brosch (2012), who
point out that research in emotional expressions have been carried out using static pictures,
de-contextualized and presented in isolation. However, this is not how we process facial
expressions in the natural world. There, we receive multiple channels of information from a
sender; the interaction happens in a specific situation, and, as the authors point out, this
context is usually provided by the receiver of the emotional exchange. This brings out front
the salience of variables such as eye gaze (expressions of joy and anger seems more
intense when accompanied by direct eye gaze), facial dynamics (the time flow of facial
movements when expressing emotions), affective prosody (based on auditory cues that
accompany the facial expression), and body posture accompanying facial expressions,
among others. See (Wieser & Brosch, 2012) for a detailed review.
One study, however (Aviezer, Trope, & Todorov, 2012), pointed at the relationship
between body and facial expressions provide results that seem to underscore the
importance of the body over the emotional face. The experimenters isolated faces from body
postures (using sport images) and then combined them in new ways (i.e. combining winning
bodies with losing faces or vice versa). During high levels of emotions, participants correctly
discriminated a positive or negative emotion from isolated bodies but not isolated faces. The
participants were invited to assume the position as if they were in the same situation as the
person in the picture. The results showed that losing faces were posed as more positive
when the poser viewed them on winning bodies than on losing bodies. According to the
authors, these results seem to indicate that emotional information is not conveyed by a
transient facial expression but in relationship to an accompanying body posture. Even
though this study may present some limitations, it may lead us to reconsider in many ways
our current understanding of the methodology to study facial expressions in a
decontextualized lab setting.

Microexpression Recognition is Useful to Detect Deception

Why people would be interested in recognizing micro expressions? As we mentioned

before, the most obvious case is the possibility of detecting deception. This is of central
importance, not only on medical settings but it is becoming especially relevant in airport
security and corporate security settings (Ekman, 2007). Microexpressions appear always
as a sign of concealment, so they become especially useful in these settings. Among other
elements, contradiction and hesitation are usually some clues that indicate people are trying
to hide something. Also, changes in behavior, attempts to change the subject or pointing
attention to something else. Ekman called these signs “hot spots”. However, they fall outside
of the scope for the present chapter.
According to Ekman, lying consists primarily of two components: 1) the hidden
emotion and 2) a fabricated cover, or mask. Masks are used because it is easy to conceal
an emotion with another emotion. In this sense, a smile is usually the most common mask,
but other emotions can also be used too. An example is a person feigning anger when they
have been discovered doing something wrong. In this case, a new emotion has to be built
(anger) to cover for the real felt emotion (shame).
Several components can be used to detect fabricated emotions, although lying about
emotions is not the only possibility (2). A fake emotion has the tendency to show only on one
side of the face, thus affecting its symmetry. Training is required to detect the slight
differences (i.e., Facial Action Coding System, FACS). A genuine emotion also produces the
activation of specific facial muscles, which a false emotion cannot otherwise produce. A
common example is the Duchenne smile, which activates the muscle around the eyes
(orbicularum oculi pars lateralis). This activation lies beyond voluntary control, hence, it is
absent in feigned emotions. The same can be said of sadness and anguish which, in order
to be trusted as real expressions, should raise the inner section of the eyebrows. In addition,
a fake emotion can vary rapidly, appearing and disappearing while replaced by other
emotions. A normal display of emotions includes a gradual appearance and fading. An
example of the use of micro-expressions in the detection of deception is provided by Hill &
Craig (2002). They aimed to provide a detailed description of genuine vs. deceptive pain
expressions by analyzing facial patterns not only in the spatial but also its temporal patterns,
in addition to the contiguity of facial actions, and the occurrence of specific deception cues.
The general elements to recognize fake pain can be seen in Table 1.

Table 1.
Differences between faked pain and genuine pain.
Based on Hill & Craig (2002).

The presence of microexpressions does not signal, however, the presence of

deception. A micro-expression does not automatically tell us the source of the emotion or its
meaning. In fact, in some cases, the real emotions do not show up in a micro-expression.
Ekman (2007) indicates that 50% of deliberate lying people actually show micro-
expressions. There is no single element that signals a lying person. This is a good place to
remember that, “absence of evidence is not evidence of absence”.
Micro-expression Research Open Windows into Unconscious Reactions
Microexpressions can be used in research in two ways: a) they can be recorded from
the participants using software such as Face Reader, and b) the participants can be trained
to recognize micro-expressions. This, of course, does not preclude other creative designs.
In the following section, we will describe some studies utilizing micro-expression measures
obtained from the participants to give an idea of the range of applications for this technique.
An example of the first kind of use comes from the field of food preference studies. de
Wijt (2012) used multiple autonomic nervous system variables (skin conductance response;
heart rate; and finger temperature) together with micro-expressions to study the
physiological process underlying food preferences in children. Based on the fact that nearly
an 80% of new food products introduced in the marketplace fail, the authors wished to
understand the unconscious factors that may be guiding consumer’s choice. Previous
studies indicated that emotional responses to food were mildly positive but these responses
are only partially related to liking. To understand the role of unconscious attitudes toward
food, they involved 16 children (aged 8–10 years) and 15 young adults (mean age 22 years).
They were exposed to three kinds of liked food and three kinds of disliked foods while their
physiological and emotional responses were recorded. This happened during their first
encounter with the food or when the researchers gave them instructions to visually inspect,
smell or taste the foods. A camera was trained on the subject’s face and its feed was run
through the Face Reader software for the time window of 1.5 to 0.5 s prior to and 0.5–1.5 s
after the first sight of the spoon or prior to and after receiving the instruction. The results
showed that disliked foods produced an increase in skin conductance response (CSR) and
also produced an increase in micro expressions of negative emotions. As it would be
expected, microexpressions of disgust actually increased after the participants were asked
to taste disliked food. The negative emotions were only associated to the presence of
disliked food and found mostly during the first visual encounter with the food. Overall, this is
the kind of study that lends itself to the use of micro-expressions since the emotions were
usually brief and, as the authors recognize, they would have been missed in a regular
interview.
An example of another kind of application of the METT comes from the study of the
role of emotions in parenting. Asla et al (2011) designed a study to determine whether
parents at high risk for physical child abuse show deficits in emotion recognition, compared
with parents at low risk. They were also interested to find if gender could act as a moderator:
in previous studies, women showed a greater ability to recognize emotions than men. The
researchers used the METT, together with other instruments such as the Diagnostic
Analysis of Nonverbal Accuracy II (DANVA II), to measure non-verbal social information
and the Infant Crying Questionnaire to determine how the parents recognized levels of
urgency in their offspring’s crying. It was expected that parents at high-risk for child abuse
would produce a greater number of emotion recognition errors. Consistent with this
hypothesis, parents at high risk for child abuse (determined by the Child Abuse Potential
Inventory (CAP)) made more errors in the METT emotion recognition. This effect was biased
by gender, with fathers producing more errors than mothers. The same pattern was found
using the DANVA II. In short, abusive parents have specific deficits in emotion recognition.
However, women show a better performance than men.
These examples are evidence of the role that facial expression recognition can play
in unearthing emotional reactions that may be too brief to observe. It also underscores the
role of education and prevention that these techniques can play. Another use of the
technologies available for facial emotion recognition is related to the study of emotional
impairments associated to certain neurological and psychiatric disorders. The main variable
at play here is known Emotion perception (EP). It is also known in the literature as
recognition of emotional facial expressions (EFE). Emotion perception is the ability to extract
or infer emotional information from facial expressions, vocal inflections or some combination
of these elements (Couture, Penn, & Roberts, 2006).Parkinson’s disease is a degenerative
disease that it’s usually present in patients over 65 years of age. It is characterized by
tremor, bradykinesia, rigidity and impairment in their ability to start or maintain movements
(Zoghbi, 2013). The patients show a characteristic shuffling gait and their balance is not
stable. Their faces particularly show a mask-like quality due to the rigidity present in the
facial muscles. The causes of Parkinson’s disease have been traced to a gradual
dopaminergic deficiency due to cell loss at the substantia nigra. This degeneration of
dopaminergic neurons initiates a cascade of functional dysfunction that end up affecting the
whole basal ganglia network (Blandini, Nappi, Tassorelli, & Martignoni, 2000). We must
remember that the basal ganglia share several connections with other important brain
structures, including the anterior cingulate cortex, the orbitofrontal cortex (OFC); tegmental
ventral areas, and indirectly with the amygdala via the nucleus accumbens. OFC and
amygdala are involved in the processing of emotions through the identification of facial cues,
and the recognition of emotional facial expressions (EFE) via other cortical and subcortical
areas.
The first treatment approach for Parkinson’s usually involves L-Dopa treatment with
the intention to restore dopaminergic function. Deep Brain Stimulation (DBS) is commonly
used as a technique to treat PD patients for whom pharmacological therapy has been
unsuccessful. In DBS electrodes are chronically installed in the patient’s globus pallidus,
which are connected to an impulse generator embedded under the skin, usually in the chest.
The device continuously sends electrical pulses to the globus pallidus blocking the
mechanism that produces tremors. DBS is very effective to control motor symptoms such
as tremor, rigidity, bradykinesia and postural instability. However, side effects include
depression; apathy/emotional blunting; hypomania; social maladjustment and the possibility
of aggravation of other psychiatric symptoms. Complicating the issue, are reports that
indicate that DBS in itself may impair the ability of the patients to recognize emotional
expressions. Overall, the effects of DBS on emotional processing are not very clearly
understood since the methodology has produce contradictory results, with some studies
indicating a beneficial effect, but others failing to do so. The same picture appears in
relationship with the use of L-Dopa.
Hence, it makes sense to assess the impact of DBS and L-dopa and its differential and joint
effects in one single study. That is exactly what Mondillon et al (2012) assessed on 18
Parkinson’s patients. Their emotional perception was measured using a fast presentation of
emotional expressions for 500 ms, using matched controls. The results showed that some
emotions are recognized better than others. With medication ‘off’, DBS ‘off’ produced a better
recognition than DBS ‘on’. Overall, PD patients identified neutral faces better than controls,
but were specifically impaired in their recognition of disgust. These results suggest that DBS
and L-dopa medication may bring modifications to the non-motor basal ganglia-thalamo-
cortical circuitry and impair the emotional functions of the OFC (Schroeder et al., 2002). The
results also emphasize the importance of understanding secondary effects, such as
emotional blunting or EP impairment, which can affect the patient’s quality of life negatively.
No study has actually evaluated the possibility of enhancing Parkinson’s patients’ emotional
perception using the METT. This, however, has been attempted successfully with
psychiatric patients.

METT Improves Emotion Recognition in Schizophrenic Patients

Another area where METT has proved its usefulness is the study of emotion
perception in schizophrenic patients. Schizophrenia is characterized by the presence of
psychotic episodes, which include hallucinations and delusions, as well as symptoms that
can be grouped in positive (the previously mentioned hallucinations), negative (blunted
emotional response, social withdrawal etc.) and cognitive (impairment of working memory
and executive function) (Hyman & Cohen, 2013). The diagnosis of Schizophrenia means a
lifelong disability for the patient. The etiology of Schizophrenia remains unclear, but it is
currently recognized that both genetic and non-genetic factors contribute to the development
of the disease. In addition, schizophrenic patients show a marked decrease of gray matter in
brain areas such as prefrontal, temporal and parietal cortex (van Haren, Collins, Evans,
Hulshoff Pol, & Kahn, 2011).
 Schizophrenic patients show strong deficits in emotion perception. This deficit
contributes to their social dysfunction (Combs et al., 2008). Other studies show, however,
that EP deficits are associated with functional impairments in schizophrenia and moderated
by sex, race and symptoms (Irani, Seligman, Kamath, Kohler, & Gur, 2012). A pilot study
originally proposed by Russell et al (2006) explored the possibility of training schizophrenic
patients with the METT with the objective of enhancing their emotion recognition. A post-
training comparison of two groups (20 schizophrenic patients and 20 healthy controls)
showed that both improved their emotion recognition skills. Schizophrenic patients
“improved to a level that did not distinguish them from pre-trained controls” (p. 549).
In a follow-up study, Russell and colleagues (2008) examined changes in visual
attention in schizophrenic patients following training with the METT. In this study, forty out-
patients were randomly allocated to active training with METT or repeated exposure (which
does not produce changes in emotion recognition accuracy). The patients’ binocular eye
movements were recorded through a head-mounted scanner. The results indicated that the
group trained with METT increased their eyes movements toward face features such as
eyes, nose and mouth, compared to the repeated exposure group. This was associated with
an increase in emotion recognition accuracy. In addition, the effect was still present after a
week. This indicates that increases in emotion recognition accuracy after METT training are
strongly associated to the patient’s capacity to fixate his/her visual attention to specific facial
features.
Conclusions
In this chapter we endeavored to portrait some of the specific uses, and general
challenges, of the Micro Expression Training Tool (METT), developed originally by Ekman
(2007) with the main purpose of being able to identify cases of deception. However, the last
decade has seen the use of this technology grow in different directions, and, as we
described above, now its utility is clear in cases well beyond the simple detection of
suppressed emotions.
However, this briefing underscores the fact that more research is needed, especially with
the application of this technology in clinical settings. This is particularly relevant when we
discuss the effects of DBS in Parkinson’s patients, who could benefit from the same
approach tested in Schizophrenic patients. Using the METT or similar behavioral
technologies can bring important benefits. Clearly among these benefits are the positive
effects on patient’s quality of life, which could be an alternative to the plethora of
pharmacological treatments already available.
Notes
1 We have to remember that the elements described here make sense
only in a setting where the interviewer has been trained on the METT
or has access to a video recording that could be viewed at different
speeds.
2 People also lie about their thoughts, their intentions and their
attitudes.

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Microexpression and Macroexpression:
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