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Facial Expression Classification Based on SVM, KNN and MLP Classifiers

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 2019 International Conference on Advanced Science and Engineering (ICOASE),
University of Zakho, Duhok Polytechnic University, Kurdistan Region, Iraq
Facial Expression Classification Based on SVM,
KNN and MLP Classifiers
Hivi Ismat Dino
Dept. of Computer Science
University of Zakho
Duhok, Iraq
hivi.dino@gmail.com
Abstract—Facial Expression Recognition (FER) has been an
active topic of papers that were researched during 1990s till now,
according to its importance, FER has achieved an extremely role
in image processing area. FER typically performed in three
stages include, face detection, feature extraction and
classification. This paper presents an automatic system of face
expression recognition which is able to recognize all eight basic
facial expressions which are (normal, happy, angry, contempt,
surprise, sad, fear and disgust) while many FER systems were
proposed for recognizing only some of face expressions. For
validating the method, the Extended Cohn-Kanade (CK+)
dataset is used. The presented method uses Viola-Jones
algorithm for face detection. Histogram of Oriented Gradients
(HOG) is used as a descriptor for feature extraction from the
images of expressive faces. Principal Component Analysis (PCA)
applied to reduce dimensionality of the Features, to obtaining the
most significant features. Finally, the presented method used
three different classifiers which are Support Vector Machine
(SVM), K-Nearest Neighbor (KNN) and Multilayer Perceptron
Neural Network (MLPNN) for classifying the facial expressions
and the results of them are compared. The experimental results
show that the presented method provides the recognition rate
with 93.53% when using SVM classifier, 82.97% when using
MLP classifier and 79.97% when using KNN classifier which
refers that the presented method provides better results while
using SVM as a classifier.
Keywords—face expression recognition, histogram of
oriented gradients, principle component analysis, support
vector machine, k-nearest neighbor, multi-layer perceptron
I. INTRODUCTION
Facial recognition has been one of the significant and
interest areas in the field of security and biometric since
1990s, naturally humans communicate their opinions with
others, also can see reactions through emotions and intentions,
therefore it is important in natural communication [1]. Several
advanced research produced in terms of face tracking and
detection, the mechanisms of feature extraction and the
techniques of expression classification [2]. Human have an
exceptionally face recognition system, the brain of human is
so sophisticated in such a way that it is able to recognize
different faces with very fast changes in appearance.
Researchers have dependably been stunned by the capacity of
human brain to recognize face in multiple different situations,
many efforts were made to reproduce the human brain system.
Based on this idea, many algorithms were produced for face
recognition and Face detection [3].
978-1-5386-9343-8/19/$31.00 ©2019 IEEE
70
Maiwan Bahjat Abdulrazzaq
Dept. of Computer Science
University Of Zakho
Duhok,Iraq
maiwan.abdulrazzaq@uoz.edu.krd
The most popular approaches doing facial expression
analysis are Support Vector Machine (SVM) [4], Artificial
Neural Network (ANN) [5], Active Appearance Model
(AAM) [6] and etc. In this paper the utilized classifiers are
SVM, Multilayer Perceptron (MLP) [7] and KNN [8]. SVM is
a good algorithm that used to create a model for Facial
Expression classification, it tries to find a hyper plane in an N-
dimensional space that separate the classes of data points, with
aim to find a plane that has the maximum margin separation,
the productivity of recognition relies on the method of feature
extraction [9]. MLP is one of the most common technique of
neural network which is based on backpropagation algorithm
[10]. KNN is a non-parametric method in pattern recognition,
it is the simplest algorithm among all machine learning
algorithms [11].
There are three approaches for recognizing faces with
different face expressions [12] which are: feature based-
techniques techniques, model-based techniques [13] and
correlation-based techniques. Feature-based technique is
classified into geometric feature-based, appearance feature-
based and movement feature-based method. The most
common used approaches of feature-based techniques are
geometric based and appearance-based methods. In the
geometrical feature-based technique, geometric parameters
such as curves, pointers…etc., which are used to represent the
image locating different face parts like eyes, ears, nose,
mouth… etc. Also, by estimating their relative width, position,
the geometric shapes constructed for representing these
parameters. According to the method of appearance based, the
importance is disposed to pixel values instead of the shape of
feature components or relative distance. In this method there
are many different parameters of pixels used such as
histogram, intensity and etc. The corresponding values are
performed in a template as a 2D array. The combination of
these two approaches is performed in some algorithms for
getting a good rate of recognition.
There are three main steps for Face expression recognition:
(1) face detection, (2) feature extraction, (3) expression
recognition. Different algorithms are used for each step. For
validating the Face Expression Recognition (FER) many
dataset were used such as Cohn Kanade (CK), Extended Cohn
Kanade (CK+), Yale, Jaffe and many other. In this paper CK+
dataset is used to validate the presented method due to its been
one of the most common dataset for FER system, it released in
2000 for the purpose to promote the research in to an
automatic system of expression detection [14]. In FER system,
 2019 International Conference on Advanced Science and Engineering (ICOASE),
University of Zakho, Duhok Polytechnic University, Kurdistan Region, Iraq
Face detection [15] is considered as a first step for any
techniques of image processing. This step is required to
normalize our data, in other words the image we get has been
taken under different requirements and conditions using
different equipment. The image is varying in size and also has
been affected by many disruptions such as backgrounds, noise,
illumination variations …etc. thus; the first step is image
standardization in FER which includes enhancement, resizing,
noise removal of the input image. These steps are done in
preprocessing stage. In addition, many techniques of FER
utilize the gray scale images instead of color images, this
conversion also counts as a preprocessing step. Precisely, in
preprocessing the images are standardized. The most prevalent
techniques utilized for face detection are Viola-Jones [16],
Edge detection, Kirsch, Laplacian, Sobel, Canny, prewitt etc.
In this work we used Viola-Jones algorithm for face
detection, which was proposed by Paul Viola and Michael
Jones in 2001 [17]. Generally, dimension reduction loses
information, PCA tends to reduce that information loss. PCA
is a standard method utilized in signal processing and
statistical pattern recognition for data reduction. Most of times
the pattern contains much redundant information, PCA used to
map it in to a feature vector in order to get rid from redundant
information and obtain only important information. The role
of those extracted features is to identify the input patterns.
Histogram of Oriented Gradients (HOG) is an image shape
descriptor that can counts how many time the occurrence of
gradient orientations in special portions of an image and
which used for the principle of object detection, also by
instinct useful to form the shape of the facial muscles by edge
analysis [18]. Principle Component Analysis (PCA) method
used widely to reduce the number of features in image in order
to obtain an available covering image that is covering about
99% of the variation [19]. PCA technique is applied in this
paper to reduce the dimensionality of HOG features. Finally,
SVM, MLP and KNN methods are utilized as a classifier for
expression recognition.
The main goal of the presented method is to recognize all
eight facial expressions which are (normal, happy, sad, angry,
contempt, surprised, fear and disgust) while many modern
FER system were produced for recognizing only some face
expressions. The presented research focused on the
investigation techniques that are able in increasing both the
computational efficiency and recognition accuracy by
applying various classification techniques and comparing their
results.
Section II of the paper gives an overview of the related
work. Section III describes the steps of proposed system.
Section IV presents the experimental results and discussion.
Finally, section V shows the conclusion of the paper.
II. RELATE WORKS
Reference [20] has proposed a novel method of FER using
equable Principle Component Analysis (EPCA) as a
representation of expression features and Linear Regression
Classification (LRC) [21] is implemented as a classifiers for
expressions. EPCA deals with the original image by
preserving the useful information and reducing the feature
71
vector’s dimension of data. LRC compacts as a linear
regression problem with the face recognition problem. In this
paper the reproduction experiment was commanded on the
Yale and JAFFE Database of face. The authors proposed the
method of PCA for extracting the quantity of the face feature
that has a great ability in improving the generalization
performance and the accuracy of the feature vector. According
to this paper the proposed method is the improved method of
PCA that works through changing the feature vectors for
producing the transformation of high dimensional data in to
the low dimensional data. Each class has an average value that
is an image of linear increase. The authors found that the
classifier of LRC method is very effective for identifying the
other expressions. The recognition rate gained 89.1% on Yale
database which is applied on five expressions while the
recognition rate gained 91.1% on JAFFE database which
applied on eight expressions.
Reference [22] presented a FER system to recognize six
face emotions. It utilized the method of cascade regression
tree for feature extraction and used three machine learning
algorithms for classification which are SVM, NN and logistic
regression and compared their results. The presented method
applied on CK+ dataset. The recognition accuracy gained
77.06% while using logistic regression classifier, 80% while
using NN classifier and 89% on SVM.
Reference [23] described both PCA and kernel-based PCA
approach in FER system for three facial expressions of 3D
face images. KNN classifier is used to recognize the face
expressions. Imperial College London dataset utilized for
validating the system. The experimental results show the
demonstration of kernel PCA being outperforming PCA by
obtaining 77.29% of rate while PCA obtained only 52.69% of
recognition rate.
Reference [24] proposed a new recognition method of face
expression recognition using the combination of Local
Directional Number Pattern (LDN) and Local Tetra Pattern
(LTrP). This method uses Modified Decision Based
Unsymmetrical Median Filter (MDBUTMF) for noise
removal. LDN descriptor is organized based on the descriptor
of eight Gaussian edge. The authors used the Japanese female
facial expression database, the used expressions are (disgust,
smile, sad and surprise). The proposed method encrypts the
relationship between the indicated pixel and its neighbors.
LDPN utilizes the stable directional information against noise
rather than intensity for coding the various patterns from the
texture of face. LTrP technique uses the center pixel direction
to characterize the spatial frame of the local texture. LTrP
method encrypts the image based on the pixel direction which
is calculated by vertical and horizontal derivatives. To display
the proposed face expressions, the proposed technique goes
through mask generation and edge detection of Gaussian; also
after processing LDN and LTrP process, MLDN histogram
and LTrP histogram are calculate for training up the face
expressions by using the SVM classifier. In experimental
results, it shows that the accuracy of FER was higher than
90%.
In [25] the authors suggested a dynamic feature-based
method of facial expression for video of face sequences based
 2019 International Conference on Advanced Science and Engineering (ICOASE),
University of Zakho, Duhok Polytechnic University, Kurdistan Region, Iraq

on a low dimensional feature space through extracting a

Pyramid representation of uniform Temporal Local binary
Pattern (PTLBPu2)using orthogonal planes (XT and YT). The
proposed method is then used for selecting the most
discriminating sub regions. Feature space is reduced that is
about to be intended on low-dimensional feature space
thorough applying the PCA method. C4.5 algorithm and SVM
classifier is used for facial expression classification.
Experiments proceeded on MMI and CK+ databases which
are from famous databases of facial expression. The
experimental result shows that the accuracy of recognition rate
obtained 92% with uncontrolled environment.

Fig. 1. Block diagram for the presented method

TABLE I. COMPARISON SUMMERY OF RELATED WORKS

Feature A. Preprocessing
Literature Classifier Emotion Dataset Pros Cons
Extraction This step is considered as a first step for any techniques of
No.
Yale Pollution image processing. In this work we used Viola-Jones algorithm
Error free
Zhu et
EPCA LRC 7
and
recognition
problem in for face detection. The original images were digitized into
al.[20] JAFFE face either 640x490 or 640x480 pixel arrays with 8- bit gray-scale
achievement
recognition
SVM Less
or 24-bit color values.
Suitable for
Bilkhu et Cascade NN effective
6 Ck+ real time
al.[22] Regression Logistic recognition
applications
regression performance
PCA and Imperial Efficient for
Peter et al. Less
Kernel KNN 4 College 3D face
[23] accuracy
PCA London recognition
Less
Emmanuel Robust in
LDN number of
and Revina SVM 4 JAFFE noisy
+LTrP recognized
[24] removal
emotion

Abdallah et LDT More Less

feature SVM 6 CK+
al. [25] Reliable accuracy
space

Researchers in the related papers used various methods of

feature extraction and classification with different numbers of
facial expressions. Our system is able to recognize all eight
basic facial expressions while researchers in [22-25] is able to
recognize fewer number of facial expressions and with lower
recognition rate compared with our method. Table I show the
comparison between our system and others in accuracy and
methods been used.
III. METHODOLOGY
In this paper, The Extended Cohn-Kanade (CK+)
Dataset was used. The dataset contains different emotions for
each person. Dataset is consisting of image sequences
converted from video frame. There are many missing label
sequences in the dataset. The labeled emotion was considered
and used in our experiment. First image frame used as a natural
emotion, last image frame used as a labeled emotion in the
dataset. Our work is the process for identifying the human’s
expressions with eight emotions which are: neutral, anger,
disgust, fear, happy, sadness and surprise. Fig.1. shows the
block diagram of the presented method.
Fig. 2. Some emotions on detected face
Viola-Jones is one of the most popular face detection
algorithms because of having a robust and real time
characteristic in face detection. The algorithm goes through
four stages which are Haar features selection [26], creating an
integral image, ad boost training and cascading classifiers.
After face detection, the images were normalized and resized
to 256 by 256-pixel arrays in gray-scale. Table 2 show the total
emotion labeled and face detected. Fig.2. show some emotions
on detected faces. To calculate the Haar transform of an array
of n samples:
 Treat the array as n/2 pairs called (a, b)
 Calculate (a + b) / sqrt(2) for each pair, these values
will be the first half of the output array.
 Calculate (a - b) / sqrt(2) for each pair, these values
will be the second half.
 Repeat the process on the first half of the array.
(the array length should be a power of two)

72
 2019 International Conference on Advanced Science and Engineering (ICOASE),
University of Zakho, Duhok Polytechnic University, Kurdistan Region, Iraq

TABLE II. TOTAL DETECTED FACE EMOTIONS recognition for data reduction. Most of times the pattern
Value Count Percent contains much redundant information, PCA used to map it in
neutral 317 50.0% to a feature vector in order to get rid from redundant
anger 45 7.1% information and obtain only important information. The role
contempt 18 2.8% of those extracted features is to identify the input patterns. The
face image of 256x256 pixel size in two-dimension produce
Disgust 55 8.7%
8100 HOG features, which can be considered as one-
fear 24 3.8%
dimension vector of feature. PCA used on HOG feature to
happy 68 10.7%
reduce the dimensionality, we suggest to keep 90% of original
sadness 26 4.1% information. The final feature size was 247 for each sample.
surprise 81 12.8%
Total 634 100.0 IV. EXPERIMENTAL RESULTS

B. Feature extraction
This is the most significant stage in FER. The efficiency of
FER is depending on the techniques used in this stage. The
major techniques of feature extraction are Local Binary
Pattern (LBP), Gabor filter, Principal Component Analysis
(PCA) etc. In this work we used HOG algorithm for feature
extraction which was proposed by Dalal and Higgs [27].
A. Dataset
The proposed method was validated using CK+ dataset,
CK+ dataset consist of the facial emotions of 210 adults, they
were between 18 to 50 years old, 69% of members were
female, 13% Afro-American, 81% Euro-American, and 6%
other gatherings. CK+ consist of 539 image sequences of
facial expressions from 123 subjects, among them 327
sequences have eight emotion labels, image’s resolution
is640x490 or 640x480. After preprocessing, there were 634
labeled images with eight emotion [14].

Fig. 3. Extracted HOG features from a grayscale input image
The basic idea behind the HOG descriptor is that the shape
and appearance of local object inside the image can be
characterized by the allocation of gradients intensity or edge
directions. HOG is the combination of gradient direction
histograms. To improve the accuracy, local histograms are
capable to be construct-normalized which is done by choosing
the wider region on image which is called a block and
calculating its measure of intensity, after that the produced
value is used to normalize all cells inside the block. Fig.3.
shows the visualization of Extract histogram of oriented
gradients (HOG).
Features on face Construct-normalization produces better
invariant to shadowing and illumination. HOG is a better
descriptor than others because of its being operated on local
cells and it is static for photometric and geometric
transformation inspire of being object orientation. The total
number of extracted HOG features is 8100, it is hug, and
therefore dimension reduction was essential.
C. Feature Reduction
Generally, dimension reduction loses information; PCA
tends to reduce that information loss. PCA is a standard
method utilized in signal processing and statistical pattern
B. Classifier
In this stage the extracted features from face images are
classified using a specific classifier to the respective classes of
face expressions. The most widely used classifier is support
vector machine (SVM) and Neural Networks (NN), which are
used for classification. In this work we used three classifier
which they are SVM, MLP and K-nearest neighbor KNN with
comparing their results.
V. RESULTS
In the experiment, 10-fold Cross-validation method is used
as model evaluation. The dataset is divided into 10- subsets
with ten-time evaluation, each time the model uses nine-
subsets as a training data, and use one remained subset in
testing phase, then compute the average of the output results
in ten tests. Usually it is preferred method because it gives a
model the opportunity to train on multiple train-test splits.
This gives better estimation of how well the model will
perform on unseen data.
To illustrate the results of Tables 2, 3 and 4. The first
attribute is the specificity, which is the true negative rate of
the considered class. The specificity highest rate value is (1) in
disgust emotion for SVM classifier, also in fear, sadness and
surprise emotions for K-NN classifier. The specificity lowest
rate value is (0.6309) in neutral emotion for K-NN classifier.
The second attribute is the Recall. The Recall commonly
called Sensitivity, corresponds to the true positive rate of the
consider class. The Recall highest rate value is (1) in happy
emotion for K-NN classifier. The Recall lowest rate value is
(0.0385) in sadness emotion for K-NN classifier. The third
attribute is the False Positives (FP) Rate which mean
incorrectly classified. The value of FP is (0) when take (1) in

73
 2019 International Conference on Advanced Science and Engineering (ICOASE),
University of Zakho, Duhok Polytechnic University, Kurdistan Region, Iraq

Specificity. The Last attribute is the F-Measure which is and test data, the proposed method tested on two emotions and
the harmonic mean of precision and recall. The F-Measure obtained 65.35% of accuracy with SVM classifier, 70.87%
highest rate value is (0.9853) in happy emotion for SVM accuracy with KNN classifier. Researchers in paper [29]
classifier while the F-Measure lowest rate value is (0.0741) in employed a Deep Convolution Neural Network (DCNN) in
sadness emotion for K-NN classifier. order to extract deeper features for automatic emotion
detection, KNN classifier and tested on their system, the
The correct classification rate is 93.53% using the SVM recognition rate was 77.27% on CK+ dataset. Researchers in
classifier. The MLP correct classification rate was 82.97%, [22] obtained 80.0% and 89.0% accuracy with SVM and
and the K-NN correct classification rate was 79.97%. The neural network. With KNN classifier [23] enhanced the
accuracy and performance average weights of each classifier recognition rate to 77.29%.
for all emotions are given in table 2, 3 and 4.
TABLE VI. THE COMPARISON OF RECOGNITION RATE OF PRESENTED
TABLE III. PERFORMANCE DETAILS FOR SVM CLASSIFIER WITH 10- METHOD WITH STATE-OF-ART %
FOLD CROSS-VALIDATION
Literature Dataset Classifier Accuracy
SVM accuracy = 93.89%. SVM 80.0%
Label Specificity Recall FP-Rate Precision F-Measure [22] CK+
NN 89.0%
neutral 0.9117 0.9874 0.0883 0.9179 0.9514 [23] CK+ KNN 77.29
anger 0.9932 0.8889 0.0068 0.9091 0.8989 SVM 65.35%
contempt 0.9935 0.6111 0.0065 0.7333 0.6667 [28] CK+Jaffe+PSL
KNN 70.87%
disgust 1.0000 0.9455 0.0000 1.0000 0.9720 [29] CK+ KNN 77.27%
fear 0.9984 0.7083 0.0016 0.9444 0.8095 SVM 93.53%
happy 0.9982 0.9853 0.0018 0.9853 0.9853 ours CK+ NN 82.57%
sadness 0.9984 0.6538 0.0016 0.9444 0.7727 KNN 79.97%
surprise 0.9964 0.9383 0.0036 0.9744 0.9560
Average 0.9862 0.8398 0.0138 0.9261 0.8765
VI. CONCLUSION
TABLE IV. PERFORMANCE DETAILS FOR K-NN CLASSIFIER WITH 10-
FOLD CROSS-VALIDATION In this research FER system based on Histograms of
oriented gradients (HOG) using various machine learning
K-NN accuracy = 79.97% algorithms was presented. The Extended Cohn-Kanade (CK+)
Label Specificity Recall FP-Rate Precision F-Measure dataset used as good data recourse to exam the classification
neutral 0.6309 0.9937 0.3691 0.7292 0.8411
of human Facial Expression. Principal component analysis
anger 0.9983 0.0667 0.0017 0.7500 0.1224
contempt 0.9984 0.1111 0.0016 0.6667 0.1905 (PCA) used to reduce the dimensionality of the features. This
disgust 0.9983 0.7818 0.0017 0.9773 0.8687 paper presents a system with ability to recognize all eight
fear 1.0000 0.1250 0.0000 1.0000 0.2222 basic face expressions.10-fold validation is used to train and
happy 0.9876 1.0000 0.0124 0.9067 0.9510 test the classifiers. The three classifiers were utilized to
sadness 1.0000 0.0385 0.0000 1.0000 0.0741 perform the classification of facial expressions, SVM, NN and
surprise 1.0000 0.8889 0.0000 1.0000 0.9412
Average 0.9517 0.5007 0.0483 0.8787 0.5264
K-NN. The experiments results show that SVM proven to be
better classifier with 93.53% accuracy of correct classification
TABLE V. PERFORMANCE DETAILS FOR MLP CLASSIFIER WITH 10- rate. In future, we can use our own novel dataset which is in
FOLD CROSS-VALIDATION collecting progress and test the presented method with
NN accuracy = 82.97% different machine learning algorithms to provide better
accuracy.
Label Specificity Recall FP-Rate Precision F-Measure
neutral 0.7539 0.9811 0.2461 0.7995 0.8810 REFERENCES
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