=Paper= {{Paper |id=Vol-2061/paper3 |storemode=property |title=Facial Expression Recognition in Older Adults using Deep Machine Learning |pdfUrl=https://ceur-ws.org/Vol-2061/paper3.pdf |volume=Vol-2061 |authors=Andrea Caroppo,Alessandro Leone,Pietro Siciliano |dblpUrl=https://dblp.org/rec/conf/aiia/CaroppoLS17 }} ==Facial Expression Recognition in Older Adults using Deep Machine Learning== https://ceur-ws.org/Vol-2061/paper3.pdf
    Facial Expression Recognition in Older Adults using
                 Deep Machine Learning

                Andrea Caroppo, Alessandro Leone and Pietro Siciliano

 National Research Council of Italy, Institute for Microelectronics and Microsystems, Lecce,
                                              Italy
{andrea.caroppo,alessandro.leone,pietro.siciliano}@le.imm.cnr.it



       Abstract. Facial Expression Recognition is still one of the challenging fields in
       pattern recognition and machine learning science. Despite efforts made in de-
       veloping various methods for this topic, existing approaches lack generalizabil-
       ity and almost all studies focus on more traditional hand-crafted features extrac-
       tion to characterize facial expressions. Moreover, effective classifiers to model
       the spatial and temporary patterns embedded in facial expressions ignore the ef-
       fects of facial attributes, such as age, on expression recognition even though re-
       search indicates that facial expression manifestation varies with ages. Although
       there are large amount of benchmark datasets available for the recognition of
       facial expressions, only few datasets contains faces of older adults. Consequent-
       ly the current scientific literature has not exhausted this topic. Recently, deep
       learning methods have been attracting more and more researchers due to their
       great success in various computer vision tasks, mainly because they avoid a
       process of feature definition and extraction which is often very difficult due to
       the wide variability of the facial expressions. Based on the deep learning theory,
       a neural network for facial expression recognition in older adults is constructed
       by combining a Stacked Denoising Auto-Encoder method to pre-train the net-
       work and a supervised training that provides a fine-tuning adjustment of the
       network. For the supervised classification layer, the -class softmax classifier
       was implemented, where is the number of expressions to be recognized. The
       performance are evaluated on two benchmark datasets (FACES and Lifespan),
       that are the only ones that contain facial expressions of the elderly. The
       achieved results show the superiority of the proposed deep learning approach
       compared to the conventional non-deep learning based facial expression recog-
       nition methods used in this context.


       Keywords: Ambient Assisted Living, Facial Expression Recognition, Mood,
       Deep Machine Learning, Stacked Denoising Auto-Encoder, Graphical Pro-
       cessing Units (GPU) computing.


1      Introduction

Ambient Assisted Living (AAL) addresses the needs of the ageing population to re-
duce innovation barriers of forthcoming promising markets, but also to lower future
social security costs. AAL aims, by the use of intelligent products and the provision
of remote services including care services, at extending the time older people can live
in their home environment by increasing their autonomy and assisting them in carry-
ing out activities of daily living (ADLs). Consequently, in the current context, it is a
challenge to provide new technologies for automatic recognition of emotion or
moods, with the purpose to improve the quality of life of older adults [1].
   Facial expression recognition (FER) has been attracting considerable attention due
to its wide variety of applications, such as robotics, communications, security, medi-
cal and assistive technology. Moreover, different facial expressions can reflect the
emotions and also mental activities of the observed subject. Consequently, it is crucial
to investigate new methodologies for the automatic recognition of facial expressions
(mainly performed by the older adults) for the implementation of intelligent systems
able to customize, for example, the response of the environment.
   FER is effected by many factors among which one of the most discriminating is the
age [2,3,4]; in particular, expressions of older individuals appeared harder to decode,
owing to age-related structural changes in the face which supports the notion that the
wrinkles and folds in older faces actually resemble emotions. Consequently, state of
the art approaches based on hand-crafted features extraction may be inadequate for
the classification of FER performed by older adults.
   Recently, a viable alternative to such traditional feature design is represented by
deep learning (DL) algorithms which straightforwardly leads to automated feature
learning [5]. Research using DL techniques could make better representations and
create innovative models to learn these representations from unlabelled data. Some of
the DL techniques like Convolutional Neural Networks, Deep Boltzmann Machine,
Deep Belief Networks and Stacked Auto-Encoders are applied to practical applica-
tions like pattern analysis, audio recognition, computer vision and image recognition
where they produce challenging results on various tasks [6].
   Although there has been much work on automatic FER using DL, the algorithms
have been experimentally validated primarily on young faces. The facial expressions
on older faces has been totally excluded or they have been taken into consideration
jointly with faces representatives of different ages.
   In this paper, we focus on the Stacked Denoising Auto-Encoder (SDAE) method
[7] for FER in older adults, since Denoising Auto-Encoder (DAE) is very robust to
noise which is present in real contexts under different declinations, and SDAE can
obtain higher level features, through which we are able to distinguish facial expres-
sions of elderly. Moreover, since sparsity of features might improve the separation
capability, we utilized an activation function in SDAE to extract high level and sparse
features which, from the analysis of the achieved results, allows a significant im-
provement in FER of older adults, thus confirming the goodness of the approach.
   The remainder of this paper is organized as follows: Section 2 describes related
work, Section 3 reports some details about the implemented SDAE approach, Section
4 discussed the experimental results and, finally, conclusions are summarized in Sec-
tion 5.
2      Related Work

Ekman’s initial research [8] determined that there were six basic classes in FER: an-
ger (AN), disgust (DI), fear (FE), happiness (HA), sadness (SA) and surprise (SU).
   Proposed solutions for the classification of the aforementioned facial expressions
can be divided into two main categories: the first category includes solutions that
classify facial expressions by processing a set of consecutive images while, the sec-
ond one, includes approaches which perform FER on each single image. By working
on image sequences much more information is available for the analysis. Usually, the
neutral expression is used as a reference and some characteristics of facial traits are
tracked over time in order to recognize the evolving expression. The major drawback
of these approaches is the inherent assumption that the sequence content evolves from
the neutral expression to another one that has to be recognized. This constrain strong-
ly limits their use in real world applications where the evolution of facial expressions
is completely unpredictable. For this reason, the most attractive solutions are those
performing facial expression recognition on a single image. For static images, there
are two types of facial feature extraction methods: geometric feature-based methods
and appearance-based methods.
   Geometric features are able to depict the shape and locations of facial components
such as mouth, nose, eyes and brows. The main purpose of geometric feature-based
methods is to use the geometric relationships between facial feature points to extract
facial features. Three typical geometric feature-based extraction methods are active
shape models (ASM) [9], active appearance models (AAM) [10] and scale-invariant
feature transform (SIFT) [11]. Extracting geometric features usually requests an accu-
rate feature point detection technique. This is difficult to implement in real-world
complex background. In addition, geometric feature-based methods easily ignore the
changes in skin texture such as wrinkles and furrows that are usually accentuated by
the age of the subject.
   Appearance-based methods aim to use the whole-face or specific regions in a face
image to reflect the underlying information in a face image. There are mainly three
representative appearance-based feature extraction methods, i.e. Gabor Wavelet rep-
resentation [12], Local Binary Patterns (LBP) [13] and Histogram of Oriented Gradi-
ent (HOG) [14].
   However, all the above mentioned methodologies require a process of feature defi-
nition and extraction very daunting; the task often expects the development and sub-
sequent analysis of complex models with a further process of fine-tuning of several
parameters, which nonetheless can show large variances depending on individual
characteristics of the subject that performs facial expressions. As a consequence such
approaches may not achieve the same recognition performance, in the considered
application context, as they have been validated almost always through datasets con-
taining only young faces. It seems therefore very important to analyze approaches that
can make the recognition of facial expressions of the older adults more efficient, since
many research studies in literature have shown that facial expressions of elderly are
broadly different from those of young or middle-aged for a number of reasons. For
example, in [15] researchers found that the expressions of older adults (women in this
case) were more telegraphic in the sense that their expressive behaviors tended to
involve fewer regions of the face, and yet more complex in that they used more
blended or mixed expressions when recounting emotional events. These changes, in
part, account for why the facial expressions of older adults are more difficult to read.
Another study showed that when emotional memories were prompted and subjects
asked to relate their experiences, older adults were more facially expressive in terms
of the frequency of emotional expressions than younger individuals across a range of
emotions, as detected by an objective facial affect coding system (FACS) [16].
   One of the other changes that comes with age, making facial expression of older
adults more difficult to recognize, involves the wrinkling of the facial skin and the sag
of facial musculature. Of course, part of this is due to biologically based aspects of
aging, but individual differences also appear linked to personality process, as demon-
strated in [17].
   To the best of our knowledge, only few works in literature address the problem of
FER in older adults. In [18] the authors perform a computational study within and
across different age groups and compare the FER accuracies, founding that the recog-
nition rate is influenced significantly by human aging. The major issue of this work is
related to the feature extraction step, in fact they manually labelled the facial fiducial
points and, given these points, Gabor filters [12] are used to extract features for sub-
sequent FER. Consequently, this process is inapplicable in the application context
under consideration, where the objective is to provide new technologies able to func-
tion automatically and without human intervention.
   On the other hand, the application described in [19] recognizes emotions of ageing
adults using an Active Shape Model [9] for feature extraction. To train the model the
authors employ three benchmark datasets that do not contain adult faces getting an
average accuracy of 82.7% on the same datasets. Tests performed on older faces ac-
quired with the webcam reached an average accuracy of 79.2%, without any verifica-
tion of how the approach works for example on a benchmark dataset with older faces.


3      Methodology

In this work, a deep learning method for FER in older adults was implemented, based
on stacking layers of DAE. Before the application of the methodology, the imple-
mented pipeline performs a pre-processing task on the input images. Once the images
are pre-processed they can be either used to train the network or to test it (i.e. recogni-
tion step). In the training step, a set of pre-processed images are given to the network
so that the best set of network weights for classification can be found. In the testing
step, the network is configured with the weight set found during the training and the
recognitions are performed.
   The first step of the pre-processing procedure is a cropping of the input image.
This step aims to keep the methodology focused only on specific regions, removing
all background information and image patches that are not related to the expression.
The cropping region is automatically delimited based on the original Viola-Jones face
detector [20]. The second step of the pre-processing procedure is a down-sampling of
Fig. 1. Pipeline of pre-processing task applied to each image: (a) original image, (b) automatic
cropping of the face region using Viola-Jones algorithm, (c) down-sampling of the facial region
(96x96 pixel) and conversion of the RGB image into a grayscale intensity image

the input image. In fact, after the cropping step, the images will be of different sizes.
Therefore, the images are down-sampled, using a linear interpolation, to 96×96 pixels
in order to remove the variation in face size and keep the facial parts in the same pixel
space. Finally, the last step convert the pre-processed image into a grayscale image
(Figure 1).

3.1    Overview of the proposed deep learning approach
A generic neural network (NN) that uses auto-encoders (AE) trains the network by
constraining the output values to be equal to the input values, using the error generat-
ed in the reconstruction of the input for the adjustment of the weights of each layer of
the NN. The input data are represented in a good way through the features learned by
AE whose training is performed in unsupervised way, since the label information is
not required. DAE is an extension of AE but is more robust. A general DAE contains
three layers: input layer, hidden layer, and output layer, where the hidden layer and
output layer are also called encoding layer and decoding layer, respectively. More
specifically, an AE takes an input ∈          where represents the dimension of the
input data. DAE is an AE with noise corruptions that produces a corrupted version
of the original input. A typical way of corruption is randomly masking elements of
as zeros or adding Gaussian noise to .
   The latent representation (encoding) of DAE is obtained by a nonlinear transfor-
mation:                  ) where ∈        , is the number of units in the hidden layer
and denotes the output of the hidden layer.
   The matrix      ∈       is the input-to-hidden weights, denotes the bias and         is
the activation function of the hidden layer. In the present work the rectified linear unit
ReLU is used as activation function [21].
The latent representation is then mapped back (with a decoder) into a reconstruction
  of the same shape as . The mapping happens through a similar transformation, e.g.:
                  where ∈         is the output of DAE and should be seen as a predic-
tion of , given . Optionally, the weight matrix          of the reverse mapping may be
constrained to be the transpose of the forward mapping:              . This is referred to
as tied weights. The biases and are still different even when the weights are tied.
DAE is trained by minimizing the reconstruction error, consequently the reconstruc-
tion error is used as the cost function or objective function.
   Moreover, DAE can be stacked to obtain high level features, resulting in SDAE
approach. Each DAE with one hidden layer is trained independently, and for this rea-
son the training of SDAE is layer-wise. In the presented methodology, the step after
SDAE training consists in removing decoding layers with the purpose to retain the
encoding layers that produce features. The -class softmax classifier is added to the
output layer for the classification task and a fine-tuning adjustment of the network is
obtained via gradient descent optimization method like backpropagation [22] where
the initial weights of the output layer are randomly initialized while the weights of the
hidden layers are the ones obtained in the pre-training phase.


3.2    SDAE for the Recognition of Facial Expression in Older Adults
The theoretical description given in the previous section can be reported to the prob-
lem of FER in older adults. Let     , ,…,       ⊂     be a set of unlabelled training
examples (i.e., facial expression images), the SAE aims to train the network by requir-
ing the output data to reconstruct the input data , which is also called reconstruc-
tion-oriented training. Such task is accomplished by minimizing with respect to
and the following cost function:
                                                   45   01 0123
                            1                    *
              J"    ,         %‖ ' −       '‖      % % % +,-'. /
                           2                     2
                               ')                  .) ')        -)
                                      45   01                                        (1)
                                                        .
                                    6 % % KL+9||9;- /
                                     .) -)


where * is the weight decay parameter (typically expressed as regularization term and
fixed at 0.003 in the present work), 6 is a constant value that manages the sparsity
penalty term, 9;-.       ∑') =- . ' with =- . ' denoting the activation of the
corresponding unit when the input ' is given to the network, 9 is a sparsity parameter
                                                      A                5A
typically near to zero and the term KL 9||9;    9 log B   1 − 9 log B is the Kull-
                                                            A             5A
back-Leibler (KL) divergence between two Bernoulli distributions with mean 9 and
9;, respectively [23].
    The unsupervised feature learning is followed by a supervised classification layer,
namely the -class softmax classifier. Let C           ,D ,     , D , … , 0 , D0 be a
training set with , , … , 0 ∈       images with facial expressions taken as examples
and D , D , … , D0 ∈ E , … , EF be the corresponding labels indicating the different
expressions which we intend to classify (E    “EHIJK”, E      “MN IO P”, EQ
RJSK”, ET “USVV=”, EW “XSY”, EZ “[JOPKS\” . The softmax classification is
done by minimizing the following cost function with respect to parameters ]
^] ] … ]F _ ∈ , :

                                   F

                  J` ]      − % % abD'        E- cdbD'     E- e ' ; ]c               (2)
                              ') -)


where a ⋅ is the indicator function (a h 1 if condition h is true, a h 0 if
condition h is false), and the conditional probability dbD' E- e ' ; ]c
        l            l
log jJ ]k m / ∑F
               .) J
                    ]1 m
                         o should be large when       ' belongs to the class E- and small
otherwise.


4      Results

In this section the evaluation of the DL approach described is reported. To validate
our model a series of experiments were conducted using the age-expression datasets
FACES [24] and Lifespan [25].
   The FACES dataset involves 171 people showing six different expression (anger,
disgust, fear, happy, sad and neutral). The subjects are divided into three main groups
according to their age (young: 19-31 years old, middle-aged: 39-55 years old, older:
69-80 years old). For each subject 2 examples of each expression are saved, so in total
the dataset consists of 171*2*6=2052 frontal images.
   The Lifespan dataset is a collection of faces of subjects from different ethnicities
showing different expressions. The expression subsets have the following sizes: 580,
258, 78, 64, 40, 10, 9, and 7 for neutrality, happiness, surprise, sadness, annoyed,
anger, grumpy, and disgust, respectively.
   For the performance evaluation of the methodology only facial expression of older
adults were considered and pre-processed. Consequently, the images that belongs to
FACES used for training and testing are 684 (57 older adults that perform twice the
six expressions), whereas only 223 neutral faces and 69 happy faces from Lifespan
dataset were pre-processed.

                                         # of images
                                                                                   Total
             anger       disgust       fear      happy       sad         neutral
FACES         114          114         114        114        114           114     684
Lifespan                                         69                       223      292

Table 1. Two aging datasets (FACES and Lifespan) with the corresponding number of facial
expressions used for the evaluation of the proposed methodology
    Anger         Disgust          Fear          Happy            Sad          Neutral




                   Happy                                        Neutral

  Fig. 2. Some examples of expressions performed by older adults from the FACES database
                       (line up) and Lifespan database (bottom line)

4.1 Performance Evaluation
The training and testing phase were performed on Intel i7 3.5GHz workstation with
16GB DDR3 and equipped with GPU NVidia Titan X using the Python library for
machine learning Tensorflow, developed for implementing, training, testing and de-
ploying deep learning models [26].
   Network configuration contains four parameters, which are the number of hidden
layers, the number of units in hidden layer, the sparsity parameter value (9) and the
standard deviation of Gaussian noise (used for the production of the corrupted version
of the original input image). The number of hidden layers (HL) is selected in the
range from 1 to 3, the number of units is chosen in order to obtain different compres-
sion factors of the input image, 9 has been tuned in the range 0.05-0.3 and the stand-
ard deviation of Gaussian noise is selected from [0.2, 0.4, 0.6, 0.8]. The optimal selec-
tion of these parameters is obtained according to the optimal classification results on
the testing data. As the pre-processing procedure returned images of the same size for
the two datasets, the same parameter configuration was used for tests on both datasets,
in particular considering two hidden layers and a Gaussian noise of 0.6 the classifica-
tion of the facial expressions reaches the highest accuracy in both datasets.
   Several experiments have been conducted with the aim of evaluating the optimum
number of nodes in each hidden layer. Table 2 reports the most significant configura-
tion settings (CS) taken into account (the compression factor with respect to the input
data size is reported in brackets).
   Figure 3 and 4 report, for each dataset, the average detection rate (accuracy) ob-
tained at varying of the sparsity parameter 9, which is the parameter involved in KL
divergence formula reported in section 3.4. In this formula 9 and 6 control sparseness.
In particular, 9 is the expected activation of a hidden unit (averaged across the train-
ing set). In other words, the representation will become sparser and sparser as it be-
comes smaller. This sparseness is imposed by adjusting the bias term, and 6 controls
the size of its updates. In the performed test, the value of 6 was set to 3.
                                             # of nodes HL1        # of nodes HL2
         configuration setting(CS) 1             2304 (4)              2304 (4)
         configuration setting (CS) 2            2304 (4)              1152 (8)
         configuration setting (CS) 3            1152 (8)              576 (16)
         configuration setting (CS) 4            1152 (8)              1152 (8)
         configuration setting (CS) 5            576 (16)              576 (16)

Table 2. Number of nodes for each hidden layer at varying of the five considered configuration
settings of the network




 Fig. 3. Average accuracy obtained at varying of the sparsity parameter 9 for FACES dataset




 Fig. 4. Average accuracy obtained at varying of the sparsity parameter 9 for Lifespan dataset
    The average accuracy measured allows to set the optimum number of nodes for
each hidden layer which is equal to 1152, with a compression factor of about 8 times
for HL1 and 576 (compression factor of 16 times) for HL2. In addition, the trend of
the accuracy value demonstrates that an increase in value of 9 worsens the system's
overall performance, consequently it was considered advisable to not carry out exper-
iments with values greater than 0.3.
    In a multi-class recognition problem, as the FER one, the use of an average per-
formance value among all the classes could be not exhaustive since there is no possi-
bility to inspect what is the separation level, in terms of correct classifications, among
classes (in our case, different facial expressions). To overcome this limitation, for
each dataset the confusion matrices are then reported in Tables 3 and 4.
    The results are based on three distinct percentages (65%, 70%, and 75%) of sample
dataset for training purpose. Analyzing the trend of recognition rate, this has led to the
conclusion that for both datasets training samples do not play significant role in in-
creasing and decreasing the recognition rate.The numerical results obtained in terms
of recognition rate of each class of facial expression makes possible a more detailed
analysis of the misclassification and the interpretation of their possible causes. First of
all, from the confusion matrices it is possible to observe that the proposed pipeline
achieved an average detection rate value over 90.7 % for all the tested datasets and
that, as expected, its FER performance decreased when the number of classes, and
consequently the problem complexity, increased. In fact, in the case of the FACES
dataset with 6 expressions, the obtained average accuracy was of 88.2 % whereas the
average accuracy obtained on Lifespan dataset was 93.3%.

                                                     Estimated (%)
                           Anger       Disgust      Fear      Happy          Sad       Neutral
             Anger           91,3           0          0          0           5,8         2,9
Actual (%)




             Disgust          6,4         87,2         0         1,6           3,2        1,6
              Fear             0            0        91,6        2,8          5,6          0
             Happy            1,7          5,1        1,7       89,8            0         1,7
              Sad             1,6           0         6,5         0           84,1        7,8
             Neutral          5,5          3,7        5,6         0             0        85,2

                Table 3. Confusion Matrix of six basic expression on FACES dataset


                                                   Estimated (%)
                                                  Neutral Happy
                              Actual




                                       Neutral      92,9       7,1
                               (%)




                                       Happy        6,3       93,7

               Table 4. Confusion Matrix of two basic expression on Lifespan dataset
   Going into a more detailed analysis on the results reported in Table 2, anger and
fear are the facial expression better recognized, whereas sad and neutral are the facial
expression confused the most. Finally, sad is the facial expression with the lowest
accuracy.

4.2 Comparison with Non-Deep Learning Approaches
In this section the achieved results are compared with those of the leading state-of-
the-art FER solutions. Differently from other research fields, in the FER one there is
not a shared dataset to be used as benchmark for a fair evaluation of different algo-
rithms.
    The most used datasets for comparing a new FER methodology are Japanese Fe-
male Facial Expression (JAFFE) [27] and the Extended Cohn-Kanade (CK+) [28], but
unfortunately these two datasets do not contain images of facial expressions per-
formed by older adults. In order to accomplish this crucial task, in this work two pop-
ular FER methods, selected among the most powerful ones in the literature, have been
implemented from scratch.
    The first is a geometric feature-based method in which the feature extraction step is
performed by an active shape model (ASM) able to extract the landmark points from
each face. Then, FER is performed based on these geometric features using Support
Vector Machine (SVM) as classifier.
    The second is an appearance-based method that uses Local Binary Pattern (LBP)
for feature extraction step and SVM as classifier. Table 5 reports the comparison re-
sults demonstrating that the proposed approach gave the best average recognition rate
for both datasets used. In particular, the deep learning approach improves the overall
performance when more facial expressions to distinguish are considered. In fact the
table shows less differences in the obtained average accuracy on Lifespan dataset, for
which only two different facial expressions were considered.

                 Approach                Dataset            Avg Accuracy (%)
                                         FACES                    85,3
                ASM+SVM
                                         Lifespan                 92,1
                                         FACES                    84,5
                 LBP+SVM
                                         Lifespan                 91,4
                                         FACES                    88,2
                 Proposed
                                         Lifespan                 93,3
Table 5. Performance comparison of our approach versus different state-of-the-art approaches
(bold value indicates the best results)
5      Conclusions

A deep learning approach based on SDAE for the automatic recognition of facial
expression in older adults has been presented and validated through experiments per-
formed on two benchmark datasets (the only ones that contain facial expressions per-
formed by older people). The testing phase of the implemented methodology has al-
lowed to outline the correct parameters for the definition of the best model for the
used datasets. After tuning of these parameters, numerical results obtained for FER on
both datasets demonstrate the goodness of the implemented approach. Moreover, two
non-deep learning approaches were implemented and tested on the same datasets and
the results obtained have demonstrated the superiority of the presented methodology
with respect classical non-deep learning approaches.
   Future works will deal with two main aspects. On the one hand the methodology
will be tested in the field of assistive technologies, first validating it in a smart home
setup and after testing the pipeline in a real AAL environment, which is the older
person’s home. In particular, the idea is to develop an application that uses the
webcam integrated in TV or smartphone/tablet camera with the purpose to recognize
the facial expression of older adults in real time and through various cost-effective
commercially available devices that are generally present in the living environments
of the elderly. The application to be implemented will have to be the starting point to
evaluate and eventually modify the mood of the older people living alone at their
homes, for example by subjecting it to external sensory stimuli, such as music and
images. On the other hand, a more wide analysis of how a non-frontal view of the
face can affect the facial expression detection rate using the implemented approach
will be done, as it may be necessary to monitor the mood of the elderly by using for
example a camera installed in the “smart” home for other purposes (e.g. activity
recognition or fall detection), and the position of these cameras almost never allows to
have a frontal face image of the monitored subject.


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