Human Emotion Recognition: An Interval Type-2

Fuzzy Inference System based Approach

Kartick Subramanian
School of Computer Engineering
Nanyang Technological University
Singapore.
kartick1@e.ntu.edu.sg

AbstractIn this paper, an Interval Type-2 neuro-fuzzy infer-
ence system based emotion recognition system is proposed. The
employed fuzzy inference system is a four layer network realizing
Takagi-Sugeno-Kang fuzzy inference mechanism, with an input
layer, a rule layer, a normalization layer and an output layer. The
rule layer employs an Interval Type-2 fuzzy membership function
to handle the uncertainty in the facial emotions of different
individuals. The rules for this network is generated by employing
a meta-cognitive projection based learning algorithm. The aim
of the proposed approach is to approximate the decision surface
separating different emotions based on noisy input features.
During learning, as a sample is presented to the network, it
calculates the prediction error and knowledge content in the
sample to decide on whether to learn the sample, when to learn
it and which technique to use to learn it. The meta-cognitive
learning mechanism helps in avoiding overtraining and achieving
better generalization performance. The projection based learning
approach employed to learn the knowledge in a given sample
works by minimizing the total energy in the network in a linear
least squared sense.
The proposed emotion recognition system is tested on two well-
known publicly available datasets: Japanese female facial expres-
sion dataset and Taiwanese female expression image database.
Local binary pattern based features are extracted from these
databases, as they have been shown to describe facial features
such as edges and spots, efficiently. Two different studies are
performed: a 5-fold cross-validation study on the emotion recog-
nition ability of the system and a database independent study.
The performance comparison with other approaches clearly
highlights the advantage of the proposed system.
Index TermsEmotion recognition, fuzzy inference system,
Type-2 fuzzy set, meta-cognition
I. I NTRODUCTION
Automatic recognition of emotions has wide implications
in the different applications such as data-driven animation,
operator fatigue detection, and human-computer interaction.
However, there are various challenges in the state-of-the-art
approaches, with a few being less researched than others.
Intra/inter-personal variability in expressing emotions is one
such challenge in computer based recognition of human emo-
tions. The gravity of this issue becomes evident upon consid-
ering the fact that people may express emotions differently
at different times. Further, there are certain differences in
how emotions are expressed across culture. Although various
research have been carried out on automatic emotion recog-
nition, very less work is available on handling uncertainty in
the emotions.
A given emotion recognition system involves two tasks:
emotion representation and emotion recognition. Emotion rep-
resentation involves extraction of facial features that could
efficiently represent the various emotions, distinctly, whereas,
emotion recognition involves learning and identifying different
emotions based on the facial features. Facial action coding
system (FACS) [1] is one of the first complete work on
facial emotion representation and it involved human operators
to observe face for a given set of characteristic movements
to analyse the emotions. Such systems are not reliable, as
judgement may vary drastically over the human operators.
However, these systems possess the human characteristic of
the ability to handle uncertainty over the facial emotions.
In the past two decades, various emotion representation and
automatic recognition systems have been proposed.
In [2], authors have employed linear discriminant analysis
to classify principal component features of the face images,
while independent component analysis based approach for
expression recognition was used in [3]. Here, the authors
employ wavelet based features to represent the facial emotions.
In literature, authors have also employed general discriminant
analysis for extracting representative features from facial im-
ages [4]. Facial expression contains different motion informa-
tion which could be separated by employing motion based
information. This information was employed by [5], [6] to
develop optical flow based technique to model facial features,
as optical flow based features could intrinsically capture the
apparent movement in pixels. However, optical flow based
features suffer from their sensitivity to lighting variation and
disturbance caused due to nonrigid motions, in addition to
inaccurate image representation and discontinuous motion.
Recently, local binary patterns (LBPs) [7] have been shown
as effective features for facial image analysis [8], [9]. LBPs
are non-parameteric descriptors that describe the local spatial
structure of an image. They are extracted by employing LBP
operator, which thresholds a given pixel in a window of an
image with respect to its neighbors. The derived binary thresh-
olds are represented as LBP codes. In [10], a meta-cognitive
neuro-fuzzy inference system based classifier is employed for
efficient recognition of facial emotions. A local binary pattern
based feature is employed here. Another efficient feature
representation technique is Gabor filter based features. Gabor
filter based feature is obtained by convolving a given image

978-1-4799-7171-8/15/$31.00 2015 IEEE

with a 2D Gabor filter, which is a Gaussian modulated by
a sinusoidal plane wave. A Gabor filter bank is created by
varying the frequency and orientation of the wave components.
Features are extracted from the filters. A Gabor filter faced
facial features obtained by employing filter banks with five
frequencies and eight orientations is employed in [11], [12].
A K-Nearest Neighbors classifier principal component analysis
based technique is used in the study. In [9], authors have
compared local binary patterns with Gabor wavelet based
features and illustrated the effectiveness of the same on low
resolution images.
Scale invariant feature transform (SIFT) [13] is another
feature representation technique to detect and describe local
features in images. This technique works by first extracting
SIFT key points from reference image and comparing SIFT
key points of test image with it. In [14], a discriminative
scale invariant feature transform is used for finding facial
keypoints, while [15] proposed a speeded-up variant for gen-
erating keypoints descriptors for facial images. In here, a
Kullback Leibler and weighted majority voting classifier is
employed for classification. In [16], a curvelet transform based
approach for facial feature representation is proposed, where
a curvelet transform [17] is a multi-scale directional transform
for optimal sparse representation of objects. In [18], curvelet
transform is combined with local binary patterns for efficient
facial feature extraction.
The above described emotion representation and recognition
systems, however effective, has one main issue: they cannot
handle information uncertainty, such as measurement uncer-
tainty, variance in emotion features, efficiently. In the literature
of soft computing, Type-2 fuzzy sets have been shown to be
capable of representing uncertainty [19], by virtue of their
dual memberships. The computational effort in computing
the dual memberships was reduced by the development of
Interval Type-2 fuzzy sets [20]. These Interval Type-2 fuzzy
sets have been extensively employed in combination with
neural network based approaches for various applications
requiring noise/uncertainty handling in combination with good
learning capabilities. These combinations are referred to as
Interval Type-2 Neuro-Fuzzy Inference Systems. A review
of existing Interval Type-2 Neuro-Fuzzy Inference Systems
could be found at [21]. In this paper, we propose to employ
an Interval Type-2 neuro-fuzzy inference system known as
Meta-Cognitive Interval Type-2 Neuro-Fuzzy Inference Sys-
tem (McIT2FIS) [21].
The employed McIT2FIS is a six layered network with
an input layer, a fuzzification layer, a firing layer, a type-
reduction layer, a normalization layer and an output layer.
The rules in the network calculates an Interval Type-2 fuzzy
membership by employing Gaussian membership function.
During learning, a Projection Based Learning algorithm (PBL)
estimates the parameters of the network such that the sum of
squared error of the network is minimized. In order to improve
the generalization of the network, a meta-cognitive learning
mechanism is employed, which decides of efficient strategy to
learn a given sample.
In order to study the working of this emotion recognition
system, two data sets are considered, Japanese Female Facial
Expression Database (JAFFE) [22] and Taiwanese Female Ex-
pression Identification Database (TFEID) [23]. LBP features
are extracted from each of these databases and two kinds of
studies are performed. Firstly, a ten-fold cross-validation study
is performed, followed by a database independent emotion
recognition study. The aim of the database independent study
is to analyse the uncertainty handling ability of the system
while dealing with emotions within different cultures. In this
study, the McIT2FIS is first trained on JAFFE and tested
on TFEID and vice-versa. The performance of the proposed
emotion recognition system is evaluated on a set of benchmark
classification systems available in literature including. The
performance comparison clearly indicates the advantages of
McIT2FIS for emotion recognition.
The rest of the paper is organized as follows. In the next
section, we shall describe the LBP feature extraction and
McIT2FIS based recognition system. The Section III shall
provide a performance comparison of the proposed approach.
The paper would be concluded in Section IV.
II. M ETA -C OGNITIVE I NTERVAL T YPE -2 N EURO -F UZZY
I NFERENCE S YSTEM BASED E MOTION R ECOGNITION
S YSTEM
In this section, firstly the local binary pattern based feature
extraction is described, followed by McTI2FIS based classifi-
cation system.
A. Human Emotion Representation
In order to extract LBP based features, first a sliding window
is considered. As the window is moved across the image, the
center pixel in every window is threshold with the every other
neighboring pixels. The derived binary numbers for every
neighbor is represented as a decimal and is used to codify local
primitives in the window including different types of curved
edges, spots, flat areas, etc., i.e., every LBP code could be
considered as a micro-texton [8]. An snapshot of LBP feature
extraction process is shown in Fig. 1. From the figure it could
be seen that from a sliding window of features, first the center
value is subtracted from every neighboring pixels and then it
is threshold. The decimal equivalent of the binary number is
employed as LBP feature. The choice of window size plays a
Fig. 1. Example of LBP operator
crucial role in the effectiveness of the features. In this paper,
we consider LBP operator with eight sampling points and
radius four [24].
B. McIT2FIS Classifier 2K nodes and each node in this layer calculates the Interval
In this section, the employed McIT2FIS classifier is de- Type-2 Gaussian membershio for i th input feature with
scribed. First, the problem definition is presented, followed k th rule as,
by the architecture and finally the learning mechanism. (ut ik )2
 
tik = exp i 2 ik , ik , uti
!

1) Problem Definition: Let us assume we have a set of (3)
N 2ik
training data {(xt , ct )}t=1 , where xt = [xt1 , , xtm ]
where, ik 1 ik ,2 ik and ik 1 ik ,2 ik are the left
   
Rm is the m-dimensional facial emotion features and ct
[1, 2, , n] is the corresponding emotion, with n being the and right limits of the center and width , respectively.
total emotions in the database. In McIT2FIS, the class label The footprint of uncertainty of the membership is repre-
ct is converted to coded class label yt as sented as a bounded interval in terms of upper membership
function up and lower membership function lo , as
if j = ct

1
yjt = j = 1, , n (1) !1
ik ,1 ik , uti


uti <1 ik
1 otherwise
up,t 1
ik = 1
ik uti 2 ik (4)
The aim of McIT2FIS classifier is to efficiently learn the !2 2
ik , ik , uit
ui >2 ik
t
decision surface separating the emotions based on the facial
features. The input space x provides necessary information on (
(1 ik +2 ik )
2 ik ,2 ik , uti uti
!

the probability distribution over the observed data to predict lo,t = 2 (5)
ik (1 ik +2 ik )
ik ,1 ik , uti
!1
uti >


the output with certain accuracy. During learning, McIT2FIS 2
estimates the function relationship F(xt , W yt ) between
The output of each node can be represented by the interval
the facial features and their corresponding class. The predicted
tik = [lo,t up,t
ik , ik ].
output yt is given as yt = F(xt , W), where W is the
Layer 3- Firing layer: This layer consists of 2 K nodes
parameters of the network. Next, the architecture and inference
where each set of K nodes represent the upper and lower
mechanism of McIT2FIS is presented.
firing strength of K rules. The firing strength of a rule is
2) McIT2FIS Inference Mechanism: McIT2FIS, as shown
calculated by T-norm of membership of the rules. The output
in Fig.2 is a six layered network with an input layer, a
of this layer is an Interval Type-1 fuzzy set given as
fuzzification layer, a firing layer, a type-reduction layer, a h i
normalization layer and an output layer. It realizes a Takagi- Fkt = Fklo,t , Fkup,t k = 1, , K (6)
Sugeno-Kang fuzzy inference mechanism. Without loss of
generality, let us assume there are K rules grown upon where
learning t 1 samples. The detailed layer-wise inference m
Y m
Y
mechanism upon presenting the t th sample is given next. Fklo,t = lo,t
ik and Fkup,t = up,t
ik ; k = 1, , K (7)
i=1 i=1

Layer 4- Type-Reduction layer: This layer consists of K

nodes. Each node in this layer performs type-reduction [25] of
1
x w11 Interval Type-1 fuzzy set to Type-1 fuzzy membership value.
1

The output of each node is given as
y
1
1 Fkt = Fklo,t + (1 )Fkup,t ; k = 1, , K (8)
x
i

where is the weight measure of uncertainty. In our study,
y
n we choose = 0.5.
1 Layer 5- Normalization layer: This layer consists of K nodes
xm
w
and each node normalizes the firing strengths of rule that is
nK
generated by the type reduction layer:
1 Ft
Fkt = PK k , k = 1, , K (9)
Layer 4 Layer 5 p=1 Fpt
Layer 1 Layer 2 Layer 3 Layer 6

Layer 6- Output layer: This layer calculates the output of

Fig. 2. Architecture of a six layered Interval Type-2 Neuro-Fuzzy Inference
System.
network which is weighted sum of the normalized firing
strength of the K rules obtained from the previous layer and
Layer 1- Input layer:: It consists of as many nodes as the is given by,
number of facial features, m. This layer merely passes the K
X
input to the fuzzification layer. The output of this node is yjt = wjk Fkt , j = 1, , n (10)
given as k=1
uti = xti i = 1, 2, , m. (2)
where, wjk is the output weight connecting k th rule with j th
Layer 2- Fuzzification layer: Fuzzification layer consists of output node.
 Next, we shall describe the learning mechanism employed the inter-class then the sample overlaps with other classes. The
by McIT2FIS. width in this case is assigned as
3) McIT2FIS Learning Mechanism: During learning, as a
K+1 = dI (18)
sample xt is presented to McIT2FIS, it learning algorithm
monitors the prediction error and knowledge content in the where, determines the overlap between the new rule and
sample. The prediction hinge error is given as nearest rule in the same class and determines the overlap
 t
yj yjt if yjt yjt < 1 between the new rule and the nearest rule in the inter class.
etj = j = 1, 2, , n (11) is usually chosen in the range [0.5,0.9], so as to induce
0 otherwise
overlap among rules representing same class and is chosen
and absolute hinge error E t is given as in the range [0.1, 0.4], so as to reduce overlap between rules
of different classes.
E t = max |etj | (12)
j=1, ,n

The knowledge content is measure by spherical potential and Upon adding a new rule, the corresponding output weights
is given as are estimated by Projection Based Learning (PBL) algorithm.
Ks
1 X PBL algorithm aims to find optimal weights to minimize the
t = Fkt (13)
Ks sum of squared error in the network, i.e.,
k=1

where, Ks is the number of rules with Fkt > 0.01. w = arg min J(W) (19)
w
Upon monitoring the above measures, the meta-cognitive where,
learning mechanism decides on three strategies, sample dele-
t X n  !
2
tion, sample learning and sample reserve. X yjl yjl if yjt yjt < 1
J(W) = (20)
Sample Deletion Strategy: If maximum prediction error for 0 otherwise
l=1 j=1
a sample is less than delete threshold, then the knowledge
contained in the sample is similar to that present in the network The optimal solution to the above minimization problem could
and hence it could be deleted without being used in learning. be obtained by equation the first order partial derivative of
This helps in avoiding over-fitting and reducing training time. J(W) to zero and re-arranging as,
Sample Learning Strategy: A sample is learnt by either X N
k X N
X
growing a new rule or by adapting the parameters of the Fkt Fpt wjk = Fpt yjt , p = 1, , K; j = 1, , n
network to learn the knowledge contained the sample. k=1 t=1 t=1
Rule growing strategy: If maximum prediction error of (21)
a sample is very high and the spherical potential is below which in turn is written as
K
novelty threshold, then a new rule is added to the network to X
capture the knowledge in the current sample. When a new rule wjk akp = bpj Aw = B (22)
is added the center is initialized as, k=1

where the projection matrix A RKK is given by

K+1 = [xt 0.9, xt 1.1] (14)
N
X
The width of both the left and right limits of the rule is akp = Fkt Fpt , k = 1, , K; p = 1, , K (23)
assigned by considering the inter-class/ intra-class distance to t=1
the nearest rule. Let nrS be the nearest rule in the intra-class
and the output matrix B RKn is
(same class) and nrI be the nearest rule in the inter-class
(other classes) for any of the left or right limit. They are N
X
defined as bpj = Fpt yjt , p = 1, , K; j = 1, , n (24)
t=1
nrS = arg min kxt l k; nrI = arg min kxt l k
l==c;j l6=c;j From Eqn. (22), the optimal output weights W is obtained
(15) as
Let the Euclidean distance between the nearest intra/intra rules W = A1 B (25)
be defined as
dS = ||xt nrS ||; dI = ||xt nrI || (16)
Parameter update strategy: A sample containing novel
When the current sample (xt ) is closer to the nearest rule knowledge but less familiar to the network are employed
in the same class then the sample does not overlap with other for updating the parameters of the network. The network
classes. Then the width is assigned as parameters are updated as,
!
T
K+1 = dS (17) A = A + Ft Ft (26)
! t
T ! t
T
When the current sample (x) is closer to the nearest rule in B = B + F y (27)
 TABLE I
P ERFORMANCE C OMPARISON OF D IFFERENT E MOTION R ECOGNITION S YSTEM ON JAFFE AND TFEID 10-F OLD C ROSS -VALIDATION DATABASE FOR
LBP FEATURES

McFIS SVM McIT2FIS

Database Rules Test S.V Test Rules Test
mean S.D mean S.D. mean S.D.
JAFFE 84 83.29 4.21 139 76.71 4.15 77 86.34 3.9
TFEID 76 80.31 2.95 140 73.85 3.33 73 82.54 3.1

TABLE II
P ERFORMANCE C OMPARISON OF D IFFERENT E MOTION R ECOGNITION S YSTEM ON JAFFE AND TFEID DATABASE I NDEPENDENT S TUDY FOR LBP
FEATURES

McFIS SVM McIT2FIS

Database Rules Train Test S.V Train Test Rules Train Test
Accuracy Accuracy Accuracy Accuracy Accuracy Accuracy
Train: JAFFE, Test: TFEID 105 95.29 40.3 213 100 29.38 97 94.28 46.67
Train: TFEID, Test: JAFFE 96 93.66 42.5 268 100 30.15 95 95.5 47.5

and the output weights are updated according to:
!
T ! t
T
WK = WK + A1 Ft e (28)
Sample Reserve Strategy: A sample satisfying none of the
above strategies are reserved to be considered for learning at
a later point in time.
A detailed description of this learning algorithm could be
found in [21]. Next, the performance on the proposed emotion
recognition system is analysed on two benchmark emotion
recognition databases.
III. P ERFORMANCE E VALUATION
In this study, two databases JAFFE [22] and TFEID [23]
are employed. JAFFE database consists of 213 images of
seven frontal shots of facial expressions posed by ten Japanese
female models. The TFEID database is a growing database,
however only frontal facial images are considered in this study.
It consists of 336 images with eight emotions out of which 268
images with the matching emotions as JAFFE is considered
here.
Two different tests are performed: 10-fold cross-validation
study and database independent emotion recognition study. In
order to extract 10-fold data for JAFFE, one image per person
per emotion is employed for testing and rest of the images are
used in training. In TFEID, as the number of images per person
is not same, 66% of images per emotion are used for training
and rest for testing. The performance of the proposed approach
is compared with two state-of-the-art classifiers McFIS [26]
and SVM [27].
10-Fold Cross-Validation Study: The performance of the
three classifiers, McFIS, SVM and McIT2FIS is tabulated in
Table I. It could be observed from the table that McFIT2FIS
outperforms the existing classifiers. It should be noted that
McFIS and McIT2FIS employs a meta-cognitive learning
mechanism to help improve generalization performance. How-
ever, the use of Interval Type-2 fuzzy sets might have helped
McIT2FIS in achieving better recognition than McFIS.
Database Independent Study: The performance comparison
of the three classifiers for database independent study is
tabulated in Table II. From the table it could be observed that
for both the cases, none of the classifiers is able to obtain
good recognition. However, among the classifiers, McIT2FIS
achieves better recognition. More work needs to be done in
database independent automatic emotion recognition systems.
IV. C ONCLUSION
In this paper, a Meta-Cognitive Interval Type-2 Neuro-
Fuzzy Inference System (McIT2FIS) based emotion recog-
nition system was proposed. The use of Interval Type-2
fuzzy set has helped the system handle uncertainty in the
representation of facial emotions. Further, the use of meta-
cognitive learning mechanism in combination with projection
based learning has helped the system in attaining better
generalization employing lesser resources. The performance of
the propose McIT2FIS based emotion recognition system was
evaluated on two databases: JAFFE and TFEID. Two studies
were performed: 10-fold cross-validation study and database
independent emotion recognition study. Based on the study it
could be concluded that McIT2FIS is able to better learn and
classify emotion within a database. However, the performance
degrades significantly in inter-database study.
In the future, more research would be carried out to better
represent and recognize emotions across different cultures.
Other feature representation techniques such as curvelet, Ga-
bor filter, optical flow features would be analyzed. Further,
fusion of data at feature level as well as classifier level would
be studied.
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