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  <front>
    <journal-meta>
      <journal-title-group>
        <journal-title>March</journal-title>
      </journal-title-group>
      <issn pub-type="ppub">1613-0073</issn>
    </journal-meta>
    <article-meta>
      <title-group>
        <article-title>Towards Empathetic Social Robots: Investigating the Interplay between Facial Expressions and Brain Activity</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Lorenzo Battisti</string-name>
          <email>lor.battisti5@stud.uniroma3.it</email>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Sabrina Fagioli</string-name>
          <email>sabrina.fagioli@uniroma3.it</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Alessio Ferrato</string-name>
          <email>alessio.ferrato@uniroma3.it</email>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Carla Limongelli</string-name>
          <email>limongel@dia.uniroma3.it</email>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Stefano Mastandrea</string-name>
          <email>stefano.mastandrea@uniroma3.it</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Mauro Mezzini</string-name>
          <email>mauro.mezzini@uniroma3.it</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Davide Nardo</string-name>
          <email>davide.nardo@uniroma3.it</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Giuseppe Sansonetti</string-name>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Department of Education Sciences, Roma Tre University</institution>
          ,
          <addr-line>00185 Rome</addr-line>
          ,
          <country country="IT">Italy</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>Department of Engineering, Roma Tre University</institution>
          ,
          <addr-line>00146 Rome</addr-line>
          ,
          <country country="IT">Italy</country>
        </aff>
      </contrib-group>
      <pub-date>
        <year>2024</year>
      </pub-date>
      <volume>1</volume>
      <fpage>8</fpage>
      <lpage>21</lpage>
      <abstract>
        <p>The pursuit of creating empathetic social robots that can understand and respond to human emotions is a critical challenge in Robotics and Artificial Intelligence. Social robots, designed to interact with humans in various settings, from healthcare to customer service, require a sophisticated understanding of human emotional states to resonate and efectively assist truly. Our research contributes to this ambitious goal by exploring the relationship between natural facial expressions and brain activity in these human-robot interactions, as captured by electroencephalogram (EEG) signals. This paper presents our initial steps towards this attempt. We want to find which areas in the participant user's brain are most activated and how these activations correlate with facial expressions. Understanding these correlations is essential for developing social robots that recognize and empathize with various human emotions. Our approach combines neuroscience and computer science, ofering a novel perspective in the quest to enhance the emotional intelligence of social robots. We share some preliminary results on a new multimodal dataset that we are developing, providing valuable insights into the potential of our work to improve the personalization and emotional depth of social robot interactions.</p>
      </abstract>
      <kwd-group>
        <kwd>Social robot</kwd>
        <kwd>facial analysis</kwd>
        <kwd>EEG</kwd>
        <kwd>dataset</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>CEUR
ceur-ws.org</p>
    </sec>
    <sec id="sec-2">
      <title>1. Introduction</title>
      <p>
        (G. Sansonetti)
Customizing the interaction experiences with social robots [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ] has become increasingly
important in recent years [
        <xref ref-type="bibr" rid="ref2 ref3">2, 3</xref>
        ]. This trend echoes the shift in museum personalization that
emerged with the “new museology” movement in 1997 [
        <xref ref-type="bibr" rid="ref4">4</xref>
        ], which moved the focus from the
institution to the visitor experience. Similar to how museums began to explore personalized
visitor experiences, the field of social robotics is now exploring customized interactions based on
CEUR
Workshop
Proceedings
user preferences and reactions [5]. In this paper, we aim to contribute to advancing social-robot
interaction by exploring the potential of using natural facial reactions and
electroencephalogram (EEG) signals to gauge user emotions and preferences. To extend beyond basic expression
analysis, in this paper, we explore the possibility of a novel approach that utilizes EEG signals
in conjunction with facial reaction analysis to predict user preferences and emotional responses
that may help adapt the interactions between humans and social robots. Through this research,
we aim to significantly elevate the sophistication of social robot interactions. Our exploration
into the intricate relationship between human emotions, facial expressions, and brain activity
paves the way for the development of empathetic social robots. These robots, equipped with a
deeper understanding of human emotional and cognitive processes, promise to transform the
landscape of human-robot interaction, making it more intuitive, responsive, and, importantly,
more human-like in its sensitivity and adaptability.
      </p>
    </sec>
    <sec id="sec-3">
      <title>2. Key Concepts</title>
      <p>This section delves into the key concepts and methodologies that underpin our interdisciplinary
project, which aims to advance the field of social robotics by integrating psychological models,
neuroscientific techniques, and facial expression analysis.</p>
      <p>At the heart of our approach is the Circumplex Model of Emotions, proposed by Russell in
1980 [6]. This model is pivotal in psychology for understanding and categorizing emotional
responses, organizing them along two primary axes: valence and arousal. Valence measures
the positivity or negativity of an emotion, while arousal gauges its intensity. In social robotics,
this model is a foundational framework for our research. It is employed to interpret explicit
feedback from users interacting with robots, providing a structured way to assess and categorize
the emotional responses elicited by these interactions.</p>
      <p>Electroencephalography (EEG) plays a crucial role in our study. This technology records the
brain’s spontaneous electrical activity, ofering insights into the cognitive processes triggered
during human-robot interactions. Particularly in social robotics, EEG can reveal how users
cognitively and emotionally engage with robots [7]. The EEG’s ability to facilitate
EventRelated Potential (ERP) analysis is precious [8]. ERP, derived from averaging EEG signals in
response to repeated stimuli, sheds light on the cognitive processing steps involved in stimulus
recognition and processing, such as attention, memory, and perception. This analysis enables
us to understand the brain’s reaction times and the specific regions engaged during interactions,
providing a deeper understanding of the user’s emotional and cognitive state.</p>
      <p>Lastly, the Facial Action Coding System (FACS) [9], developed by Ekman and Friesen in 1978,
is integral to our methodology. FACS breaks down facial expressions into individual components
known as Action Units (AUs). These AUs are critical for emotion recognition, representing the
fundamental movements composing facial expressions. By integrating FACS with EEG data and
the Circumplex Model, we aim to meticulously analyze and identify users’ most relevant facial
expressions while interacting with social robots. This comprehensive approach allows us to
decipher the most significant natural reactions from a neurological and emotional standpoint,
thus providing an objective basis for understanding and enhancing user experience in social
robotics.</p>
    </sec>
    <sec id="sec-4">
      <title>3. First Findings</title>
      <p>At this stage of the research, we still have a limited number of participants, and consequently,
it will only be possible to show some preliminary results on their analysis. To date, we have
six participants, four females and two males, between the ages of 20 and 23. All participants
ifnished the trial successfully following the procedure described in [ 10].</p>
      <p>An analysis of the correlation between users’ explicit feedback (Fig. 1) reconfirms the results
already found in the literature [11], namely that there is a strong correlation between the
following pairs: likability-rewatch, arousal-rewatch, likability-arousal. Next, the face recordings
were processed through OpenFace [12]. Features (i.e., average, max, mean, and skewness) were
calculated for each video and AU. We then sampled the responses according to stimulus type,
and correlations, calculated with phi-k [13] shown in Figure 2 (their significance in Figure 3)
were identified. We thus note that for positive images, there is a correlation between the values
of two AUs (i.e., Brow Lowerer-AU04 and Lid Tightener-AU07) and arousal. Therefore, we can
already hypothesize that given certain types of stimulus, there are portions of the face that
are more activated. These correlations reafirm the intricate relationship between emotional
engagement and behavioral intentions, which could have significant implications for social
robotics. Finally, we want to show two other interesting results. The first is a particular trend,
shown in Figure 4 but also detected for other AUs, in which we can see that the works rated
high or low arousal turn out to be less activating than the others. Also, from an initial ERP
analysis (see Fig. 5), a strong activation of P300 can be seen for the negative image set.</p>
    </sec>
    <sec id="sec-5">
      <title>4. Conclusion and Future works</title>
      <p>In conclusion, our study has embarked on a fascinating journey to unravel the intricate
relationships between facial reactions, EEG signals, and user preferences. We have illuminated several
critical aspects of this multidisciplinary research through a detailed experimental protocol.
Our preliminary findings are particularly promising, ofering a new perspective on how users
emotionally and cognitively respond to stimuli, with a specific focus on the cultural heritage
sector. The potential implications of our findings extend beyond the realm of museums and art
appreciation. They hint at intriguing possibilities in the field of social robotics. If a correlation
between EEG signals and facial expressions is established, it could revolutionize how social
robots interpret and respond to human emotions. The use of advanced camera systems in
social robots could enable them to assess deeper feelings and reactions of individuals based
solely on facial expressions. This capability would significantly enhance the quality of
interaction between humans and robots, making it more intuitive, empathetic, and personalized.
Looking to the future, our research could lay the groundwork for developing social robots
adept at understanding complex human emotions. Such robots could be employed in various
settings, from education [14] to assistance [15], from telepresence [16] to entertainment [17],
ofering support and interaction that are deeply attuned to the individual’s emotional state.
This advancement would represent a technological leap and a profound step towards more
humane and responsive AI systems. While our study currently focuses on the intersection of
art, neuroscience, and user experience, its ramifications could be far-reaching, influencing the
evolution of social robotics and the way we envision interactions between humans and machines.
The ability to discern individuals’ emotions from facial expressions can also bring benefits in
other domains. Consider, for instance, recommender systems [18] where inferring implicit
levels of appreciation for items remains a notable challenge awaiting conclusive resolution.
Within the SOCIALIZE context, the recommendation of points of interest [19] and the creation
of itineraries connecting them [20] have the potential to foster social and cultural inclusion for
individuals with diverse backgrounds. For example, implementing recommender systems in
museums [21] can transform these spaces into invaluable hubs for social and cultural interaction.
This transformation can be facilitated by acquiring visitor-related information [22, 23, 24] and
integrating multimedia content [25, 26]. The journey toward understanding and leveraging
these complex interconnections is just beginning, and the future holds immense potential for
enhancing social-robot interactions [27].
[5] C. Gena, C. Mattutino, M. Botta, D. Camilleri, F. Di Sario, G. Ignone, F. Cena, et al.,</p>
      <p>Cloud-based user modeling for social robots: a first attempt, volume 2724, CEUR, 2020.
[6] J. A. Russell, A circumplex model of afect, Journal of Personality and Social Psychology
39 (1980) 1161–1178.
[7] M. Mezzini, Emotion detection using deep learning on spectrogram images of the
electroencephalogram, in: CEUR Workshop Proceedings, volume 3576, 2023, pp. 1–14.
[8] S. J. Luck, An introduction to the event-related potential technique, MIT press, 2014.
[9] P. Ekman, W. Friesen, Facial Action Coding System, Consulting Psychologists Press, 1978.
[10] L. Battisti, S. Fagioli, A. Ferrato, C. Limongelli, S. Mastandrea, M. Mezzini, D. Nardo,
G. Sansonetti, Towards a deeper understanding: Eeg and facial expressions in museums,
in: CEUR Workshop Proceedings, volume 3536, 2023, pp. 42–49.
[11] A. Ferrato, C. Limongelli, M. Mezzini, G. Sansonetti, Exploiting micro facial expressions
for more inclusive user interfaces, in: CEUR Workshop Proceedings, volume 2903, 2021.
[12] T. Baltrusaitis, A. Zadeh, Y. C. Lim, L.-P. Morency, Openface 2.0: Facial behavior analysis
toolkit, in: 13th IEEE International Conference on Automatic Face &amp; Gesture Recognition,
IEEE, 2018, pp. 59–66.
[13] M. Baak, R. Koopman, H. Snoek, S. Klous, A new correlation coeficient between categorical,
ordinal and interval variables with pearson characteristics, Computational Statistics &amp;
Data Analysis 152 (2020) 107043.
[14] T. Belpaeme, J. Kennedy, A. Ramachandran, B. Scassellati, F. Tanaka, Social robots for
education: A review, Science Robotics 3 (2018) 1–9.
[15] D. Macis, S. Perilli, C. Gena, Employing socially assistive robots in elderly care, in:
Adjunct Proceedings of the 30th ACM Conference on User Modeling, Adaptation and
Personalization, 2022, pp. 130–138.
[16] T. B. Tuli, T. O. Terefe, M. M. U. Rashid, Telepresence mobile robots design and control for
social interaction, International Journal of Social Robotics 13 (2021) 877–886.
[17] S. Forgas-Coll, R. Huertas-Garcia, A. Andriella, G. Alenyà, How do consumers’ gender
and rational thinking afect the acceptance of entertainment social robots?, International
Journal of Social Robotics 14 (2022) 973–994.
[18] F. Gasparetti, G. Sansonetti, A. Micarelli, Community detection in social recommender
systems: a survey, Applied Intelligence 51 (2021) 3975–3995.
[19] A. De Angelis, F. Gasparetti, A. Micarelli, G. Sansonetti, A social cultural recommender
based on linked open data, in: Adjunct Publication of the 25th Conference on User
Modeling, Adaptation and Personalization, ACM, New York, NY, USA, 2017, pp. 329–332.
[20] D. D’Agostino, F. Gasparetti, A. Micarelli, G. Sansonetti, A social context-aware
recommender of itineraries between relevant points of interest, in: HCI International 2016,
volume 618, Springer International Publishing, Cham, 2016, pp. 354–359.
[21] A. Ferrato, C. Limongelli, M. Mezzini, G. Sansonetti, The META4RS Proposal: Museum
Emotion and Tracking Analysis For Recommender Systems, in: Adjunct Proceedings of
the 30th ACM Conference on User Modeling, Adaptation and Personalization, ACM, New
York, NY, USA, 2022, pp. 406–409.
[22] F. Gasparetti, A. Micarelli, G. Sansonetti, Exploiting web browsing activities for user
needs identification, in: 2014 International Conference on Computational Science and
Computational Intelligence, CSCI 2014, volume 2, 2014, pp. 86–89.
[23] M. Mezzini, C. Limongelli, G. Sansonetti, C. De Medio, Tracking museum visitors through
convolutional object detectors, in: Adjunct Publication of the 28th Conference on User
Modeling, Adaptation and Personalization, ACM, New York, NY, USA, 2020, pp. 352–355.
[24] A. Ferrato, C. Limongelli, M. Mezzini, G. Sansonetti, Using deep learning for collecting
data about museum visitor behavior, Applied Sciences (Switzerland) 12 (2022).
[25] A. Micarelli, A. Neri, G. Sansonetti, A case-based approach to image recognition, in:
Proceedings of the 5th European Workshop on Advances in Case-Based Reasoning, volume
1898 of EWCBR ’00, Springer-Verlag, Berlin, Heidelberg, 2000, pp. 443–454.
[26] G. Sansonetti, F. Gasparetti, A. Micarelli, Cross-domain recommendation for enhancing
cultural heritage experience, in: Adjunct Publication of the 27th Conference on User
Modeling, Adaptation and Personalization, ACM, New York, NY, USA, 2019, pp. 413–415.
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human–robot interaction: A literature review, Int. J. of Social Robotics 15 (2023) 689–701.</p>
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