What Are The Basic Minimum Requirements To Show Emotion In Animation

Introduction

The challenge of communicating emotional content to an audition via blithe characters has existed since the art form first appeared. As animation techniques and technology have advanced, animators and character designers observe themselves with a multitude of resources and tools for the cosmos of facial expressions so as to finer communicate the emotions of their animated characters within each scene. However, by using evolved forms of symbolic facial expression, which are widely accepted, these technologies and techniques ofttimes overlook the unconscious communication conveyed via actual human being facial expressions. The fundamentals of this instant and unconscious emotional communication have been well studied and documented, all the same the systems adult by the scientific customs for reading and interpreting facial advice accept but occasionally and recently been applied by animators.

As they relate to emotional experiences, facial expressions can be divided into two principal types: spontaneous facial expressions; and deliberate facial expressions (Ekman & Rosenberg 1997). Blithe characters traditionally utilise a third blazon of facial expression: symbolic or artistic facial expressions. Executions of blithe facial expressions may have a natural tendency to fall into the third category, but certain types of emotional communication may be aided by attempts to include hallmarks of the spontaneous expression type, or a hybrid of these two.

Studies accept suggested that the reading of facial expressions is an unconscious procedure and that our reactions to these facial expressions can be unconsciously generated (Murphy & Zajonc, 1993). This finding is supported past previous publications past Paul Ekman (2003) and Carl Jung (1974). This suggests that a deeper agreement of how to execute facial expressions which tin be unconsciously read as true expressions of emotion may exist a useful tool for constructive communication of emotion when creating animated characters.

These symbolic expressions are constructive at generating two of the three main responses to facial expressions – environmental expectation and behavioural expectation – which are described in the paper 'Facial Expressions as modes of Action Readiness' (Frijda & Tcherkassof 1997).

The third main type of response is the generation of an empathic response. The newspaper Components and Recognition of Facial Expression and Communication of Emotion by Actors (Gosselin, Kirouac, et al, 1997) has found that empathic emotional responses are generated more effectively through spontaneous facial expressions, than through symbolic or deliberate facial expressions.

Formal systems for the decoding of facial expressions established by other disciplines may offering animators new opportunities to draw upon methods outside their own practice to create facial expressions that communicate emotions effectively to the audience without any requirement that they await realistic. For example, the apply of Ekman and Friessen's Facial Action Coding Arrangement (FACS) in the creation of the grapheme Gollum in Lord of the Rings – The Two Towers (2002), (Kerlow, 2004) resulted in a character functioning which was widely regarded past critics as emotionally conceivable and well integrated with the action and other characters in the picture.

Scope

Information technology is necessary to note that the conveyance of emotion in any animated piece of work is never restricted to facial expressions alone. The history of picture palace lends to animation all of its methods for storytelling, including casting, dialogue, lighting, cinematography, trunk language, music, emoticons, physical changes, and special abilities or super powers. The consideration of different types of animated facial expressions for emotional communication in isolation from the other cinematic elements and animation techniques explained above would be erroneous – indeed, the specific objectives of a particular production may brand complex facial animation superfluous.

The diversity of blitheness equally an artistic, narrative and advice medium volition require a range of approaches and methodologies – indeed by its very nature, animation thrives through its diversity of style and approach. It is not the contention of this paper to provide a universal approach to creating animated facial expressions. Specifically, the types of animation which may find some benefit from the findings of this newspaper are those which seek to induce a cathartic emotional response from their audition for the purpose of advancing a dramatic narrative. In making this stardom, it is recognised that, even within this category, there may be a multitude of reasons why approaches suggested inside would exist inappropriate for a given production.

The context in which a facial expression is displayed is particularly important in animation where every image, movement and activity is crafted deliberately to contribute to the objectives of the sequence. Humans oftentimes brandish deliberate expressions which practice not relate to our true feelings or nosotros may use facial expressions to intentionally mask our emotions (Crag, Hyde, et. al., 1997). Society may dictate which expressions are appropriate at which times, and hence some of our emotions may non be represented physically (Fernandez-Dols & Ruiz Belda, 1997). This can be equally truthful for animated characters, and animators may too have their ain set of rules for when and how to brandish certain facial expressions. Additionally, there may exist stylistic or practical considerations of the art form such equally double-takes, anticipation, overshoot and settle, and reducing expression changes during broad moves (Williams, 2001) which may influence the implementation of whatever findings within.

The Study of Facial Expression

In 1967 a study into the universality of facial gestures was undertaken past Paul Ekman and Wallace Friessen. The report involved tribes in Papua New Guinea who, considering they were largely isolated from other groups, would tend to display only those expressions which were accounted to exist automatic and mutual to all humans. The report focussed on how emotion is displayed on a person's confront, and the mechanisms humans have developed for interpreting these displays.

Ekman and Friessen explain in their book titled Unmasking the Face (2003) that facial expressions are one of the key indicators of human emotion and primary sources of identifying emotion in others: 'We do know that the face is a primary, clear and precise signal system for the expression of the specific emotions' (Ekman and Friessen 2003).

In his book, Silent Messages: Implicit Communication of Emotions and Attitudes (1981), Albert Mehrabian states that 55% of an emotion based message is communicated through what he terms 'facial linking,' which includes advent, facial expression and body language. Just 7% of the message is communicated through the words chosen (verbal linking) and 38% is communicated by the way the voice is used (song linking).

The Facial Activeness Coding System (FACS) co-authored by Ekman and Friesenin 1978, is a organization whereby the diverse actions of a face are cleaved downwards into their component movements, based on the specific facial musculature which stimulates that movement. These individual movements are known as Action Units (AUs).

By analysing the diverse AUs observed during assay, a FACS practitioner can determine the emotions in evidence in that instance. For example, the truthful 'enjoyment' smile indicating the happiness emotion tin be identified by the presence of two major Action Units; AU 12, and AU half dozen. These codes stand for the contraction of the zygomatic major musculus (which raises the corners of the lips and the cheeks), and contraction of the orbicularis oculi, pars lateralis (which squints the eyes and makes crows-feet wrinkles) (Ekman & Rosenberg, 1997).

Often, the smiling nosotros use and detect in others is not a spontaneous representation of the happiness emotion, but what can be called a 'requested' or 'deliberate' expression. The deliberate smile shows a contraction of the zygomatic major, but does non often include the contraction of the orbicularis oculi (Ekman & Friessen, 1978). This detail action unit is very difficult for humans to perform on demand. This deliberate grin is the i we apply during situations where information technology appropriate to put someone at ease, to be pleasant or welcoming to others, during our polite interactions with strangers, or when smiling for a photograph but is non generated spontaneously past our emotion.

Charles Darwin, in his study The Expression of the Emotions in Man and Animals noted every bit early as 1872 that humans can automatically distinguish genuine expressions from deliberate ones. Referring to photographs in which people smiling, he noted:

Almost anybody recognized that the one represented a true, and the other a simulated smile; only I have found it very difficult to decide in what the whole amount of difference consists. It has ofttimes struck me equally a curious fact that so many shades of expression are instantly recognized without any witting process of assay on our function. (Darwin, 1998 [1872])

Our responses to the smiler are guided by our unconscious assessment of whether the grinning is 18-carat, and by the insights this gives us into the motivations of the smiler.

The spontaneous and deliberate facial expressions in humans are neurologically also as physically different as explained by Mark Frank (et al) in his paper 'Behavioural Markers and Recognisability of the Smiling of Enjoyment':

non only do emotional and nonemotional facial activity originate from different parts of the brain (subcortical and cortical motor strip, respectively) and arrive at the face through different motor systems (extrapyramidal and pyramidal, respectively) but as well the appearances of these actions differ. (Frank, Ekman et al. 1997)

The importance of this for any animator seeking to utilise this system for purposes of encoding an emotion through a facial expression (rather than decoding, as was the original intent of the FACS), is to recognise that the hallmarks of a spontaneous expression differ from those of a deliberate expression.

Although we may similar to believe we are in control of our perceptions of our environments, our interactions and the way in which we know and react to our globe, in reality we are aided past complex brain functions which automatically sort and assess information gained through our senses, and provide the states with appropriate deductions and automated responses. These can include changes in physiology (as in the fight/flight response, caused by an automatic sense of danger), also equally supplying data for the witting brain to process. In his volume Emotions Revealed (2003), Paul Ekman uses the term 'autoappraisers' to describe the mechanisms at work in the man brain which constantly scan our environment and detect when something important to our welfare is occurring (Ekman, 2003). He notes that through the utilise of these autoappraisers 'we tin make very circuitous evaluations very quickly, in milliseconds, without being aware of the evaluative process' (Ekman, 2003). This process of automated appraisal is what generates 'spontaneous' facial expressions – those linked closely to the experience of the emotion they represent. Past dissimilarity, deliberate facial expressions, or those which are culturally or personally moderated are generated by 'cogitating appraisal' (Ekman 2003), requiring some witting input from a person to generate the expression.

The ability to read unlike expressions displayed past others, and our understanding of how those expressions relate to the emotions they portray is too an unconscious procedure (Spud & Zajonc, 1993). As humans, nosotros accept a hard wired ability to decode the emotions of other people, developed over the course of our evolution. The psychologist Carl Jung, in his 1968 volume titled Man and His Symbols, notes that 'universally understood gestures and many attitudes follow a pattern that was established long before man adult a cogitating consciousness' (Jung, 1968).

Those animated characters displaying expressions which we unconsciously recognise every bit spontaneous and emotion driven expressions may have a greater emotional resonance with an audience than those who display expressions which are unconsciously read by the audience as deliberate expressions.

Animators working on sequences, films or other projects which seek to elicit emotional responses and effective emotional communication with their audience may consider the implications of the apply of expressions which announced spontaneous as opposed to those which may appear deliberate.

Facial expressions can generate three principal responses in the viewer: environmental expectation – such equally an expression of fear on another person'southward face alert u.s. of immediate danger; behavioural expectation – such as some other's angry expression warning us to await conflict from that person; and, empathic response – such as a feeling of sadness when witnessing some other's grief (Frijda & Tcherkassof, 1997). Traditional forms of animated facial expressions will likely be effective in conveying both environmental and behavioural expectation to an audition, however these evolved techniques may be less effective than spontaneous human expressions at generating an empathic response every bit described by Frijda and Tcherkassof.

It is necessary therefore, to review some of the historically evolved techniques, and highlight innovations which offering methodologies and workflows to support the creation of blithe facial expressions.

The Evolution of Animated Facial Expressions

In the early days of The Walt Disney Visitor, one of the pioneer organisations of the popularised blithe medium, animators recognised that facial expressions could communicate the inner thoughts of a grapheme to the audience. Frank Thomas and Ollie Johnston comment in their book The Illusion of Life: Disney Blitheness that 'Through a change of expression, the thought process was shown' (Thomas & Johnston, 1981).

Early animated films were a purely visual medium accompanied by a live music performance and therefore had a high degree of physical humour and visual activity. The facial expressions of this early menses were understandably simple, as they sought clarity in the communication of a narrative for which there was neither an accompanying sound effects track nor dialogue. The simplified facial expressions these characters diameter were initially based on 'photostats' of actors deliberately making each expression, and were also influenced by a concurrent history of cinema, in which the trend of the twenty-four hours was toward what might now be considered 'over-acting.'

Commenting on the curt picture show Playful Pluto (1934) involving Pluto the canis familiaris wrestling with a piece of wing-paper, the animators at The Walt Disney Company noted that

Expressions played a very important office in the entertainment value of the scenes, and while everyone admitted that this was simply a broad cartoon symbol for a dog and lacked whatsoever endeavour at realism, information technology was still felt that the door had been opened. (Thomas & Johnston, 1981)

The sequence in Playful Pluto clearly shows Pluto experiencing and expressing human-like emotions through a series of exaggerated and simplified expressions that correspond those emotions.

This evolving set up of expressions and (quite carve up and often very different from the homo 'spontaneous' and 'requested' expressions) can exist called the 'creative' or 'symbolic' representation of a character'southward emotion. Jose Miguel Fernandez-Dols notes in his newspaper 'Spontaneous Facial behaviour During Intense Emotional Episodes: Creative Truth and Optical Truth' that

if a painter, actor or layperson sets out to convey happiness or anger […] and then a smiling or frowning face up is the right image to choose. In the absenteeism of words, context or farther explanation, a grin face conveys 'a happy person,' just equally a cartoon mouse is successful in carrying 'mouse.' (Fernandez-Dols, Ruiz Belda, 1997)

This view suggests that the expression symbols for emotion, while rarely an authentic portrayal of the emotion as displayed past humans, have become accustomed substitutes for communicating the idea of these emotions. In particular, blitheness from Japan has a history of using generic and exaggerated facial symbols to convey the emotion of a graphic symbol.

The symbolic expression informs us of the emotional state of the character through our referential knowledge, generated past previous viewings of blithe productions. This may however be less effective than the use of spontaneous expression types in generating an empathic response, allowing the audience to cathartically experience the firsthand emotional weather of the characters.

In 1937, The Walt Disney Visitor released the first full length animated feature motion-picture show, Snow White and the Seven Dwarfs. This release, with its extended length, complex narrative and dramatic themes required animated characters to deliver some grade of emotional fulfilment through the viewing of the pic. The expectation that certain types of dramatic animated films can and should deliver this type of experience has connected, and today the emotional content of these particular animated productions is oft critically considered with much the same weight equally information technology is in live action films.

Actors in live-action productions are required to portray the emotions of their characters through convincing facial expressions as well every bit other body linguistic communication and dialogue. Animators are tasked with a similar job, but while actors have some advantage due to an innate ability to generate facial expressions through the previous feel of the emotions with which they are associated, animators are required to manually construct expressions for their characters.

The traditional methods for achieving this include the use of personal mirrors, then that animators can examine their own faces while posing expressions, and conscientious analysis and research of human and animal facial expression and movement. These techniques are coupled with a historical emphasis on animators understanding of beefcake and years of drafting and drawing exercise.

Animators working on Snow White and the Seven Dwarfs discovered that it would be much easier to utilize images or footage of facial expressions as reference material for their animation, rather than attempting to completely invent a character's facial expressions. They used Photostats (an image printed from a single frame of moving 35mm film) of actors' faces portraying different expressions. Initially, these images were traced direct, in an try to create an animated version of the human expression. This procedure is known equally rotoscoping, a technique which is all the same in use in some forms today. The animators found notwithstanding, that the rotoscoped animation often looked foreign, mechanical and inhuman. Without realising it, they were perchance experiencing the Uncanny Valley – a phenomenon of disfavor to not-quite-human entities outset asserted by the Japanese roboticist Masahiro Mori in 1970. The animators establish that their animations were improved when these expressions were exaggerated, and the actions produced using the cartoon movements they were familiar with (Thomas & Johnston, 1981).

1 of the chief problems inherent in this process is that it relies heavily on the thespian to be able to produce realistic expressions of emotion on need. One method actors take for creating spontaneous, emotion driven performances is to use the technique called Method Acting. Put very simply, this process involves an actor attempting to re-alive events in their past which had previously generated the emotions required. The histrion tin can then employ the generated emotion to naturally and unconsciously produce spontaneous facial expressions and other physiological changes, such as crying, changes in the voice and unconscious changes in the role player'south trunk linguistic communication (Gosselin, Kirouac, et al., 1997). This procedure is likewise known as the Stanislavski System, after Konstantin Stanislavski, who developed the technique in the early 1900s.

In an interview contained in Backside the Scenes – Making Nemo (Disney Pixar, 2003), Mark Walsh, the animator of the fish character Dory for the movie Finding Nemo (2003) describes utilising a form of method interim. When attempting to animate a particularly emotional scene, Walsh explains that he was aided by attempting to re-live like experiences in his own life, and and then filming himself performing the lines of the grapheme while experiencing that emotional state, thus generating reference footage for the sequence. This technique is a combination of the traditional use of mirrors by animators, combined with method acting. Picture critic Mark Caro of the Chicago Tribune notes; 'You connect to these sea creatures as you rarely practice with humans in big-screen adventures' (2007).

A study, published in 1997 titled Components and Recognition of Facial Expression in the Advice of Emotion past Actors (Gosselin, Kirouac et al. 1997) has shown that actors employing the Stanislavski Organisation of method acting are able to generate more emotionally believable facial expressions than straight interim. Conversely, facial expressions which appear to exist spontaneously, rather than deliberately generated would imply 18-carat emotions. Studies show that spontaneous facial expressions arising from genuinely felt emotion can be more effective at eliciting an empathic response in an audience, particularly for some emotions (Gosselin, Kirouac et al. 1997).

The facial pattern of an animated character may in some means determine the characters ability to create facial expressions which appear emotionally spontaneous. For example, the character Winnie the Pooh (created by The Walt Disney Company) which has neither upper nor lower eyelids is unable to produce some of the FACS Action Units, making some of the expressions described therein impossible. This grapheme may be restricted to a symbolic set of facial expressions, and thus the animator may exist limited in their approaches to communicating emotion to the audience. In contrast, Seth McFarlane's graphic symbol designs for the telly prove Family unit Guy have both upper and lower eyelids, a design which increases the potential for the animator to create expressions which appear to be spontaneously emotion driven, despite the characters otherwise simplified facial design.

Technological advances and changes to blitheness production techniques have influenced the way in which many animated facial expressions are created. Specially in what is usually referred to equally 3D (3 dimensional) animation or CG (computer generated) animation, practitioners are offered a vast gear up of tools for creating and animating faces. One of the near prevalent of these new techniques is called combination sculpting, and involves the animator setting up a number of facial poses which are then implemented to varying degrees over time. This is one surface area of animation where the use of tools such as FACS has been utilised with some success, aiding the character creative person or animator in some cases to create poses based on specific muscle movements and combinations rather than traditional reference images or mirrors.

Another technique gaining popularity in animation production is Motion Capture (or Performance Capture). In this process, an thespian is rigged with reference points – usually stick-on dots – which are then tracked by a digital system to record their movement. This movement is then translated to corresponding points on an animated character automatically. This process reduces the time taken to animate a sequence, and provides instant feedback to the managing director for review and re-taking.

A bespeak for consideration here may be that while some of these methods tin can assist in the creation of characters which have a more life-like appearance, or in making the animation process easier, the animator (or actor) must notwithstanding have a solid understanding of which facial shapes to make, when to make them and how to integrate them with the balance of the character's performance.

Isaac Kerlow in his paper titled 'Artistic Human Character Animation: The Incredibles vs. The Polar Limited' (2004) notes the success of the integration of the FACS into the product pipeline of the character Gollum in the film The Lord of the Rings: The Two Towers. The animation squad used reference footage of the actor, Andy Serkis, for the motion and facial expressions of Gollum. By having the reference actor human activity with the other characters in each scene, the histrion was given valuable context for his performance. The animators of Gollum did non use any operation capturing devices for the face of the character, but chose instead to animate the character direct over the reference footage – a procedure they referred to as roto-blitheness – and deviate from this footage when it was felt appropriate. The animators used the process of combination sculpting in order to efficiently pose the expressions of the character, with the diverse facial poses designed past Bay Raitt (the lead character designer on the projection) corresponding to Ekman and Friessen'due south Action Units, from the Facial Action Coding System.

Another approach to integrating the FACS into technology based pipelines is described by Parag Havaldar in his paper entitled 'Performance Driven Facial Blitheness,' where he describes in item the process of digitally 're-targeting' facial expressions captured with a motility capture arrangement to match pre-set Activity Units which had been prepare up specifically for the drawing-like facial shapes of the character. By pre-designing the facial poses based on the FACS, the production squad on Monster Business firm (2006) was able to capitalise on the speed of motion capture animation in the production, while maintaining facial expressions which corresponded with the appropriate Action Units.

Some previous blithe features which have used motion capture engineering science – notably The Polar Limited (2004) – have been associated with the notion of the 'Uncanny Valley,' first explained by Japanese roboticist Masahiro Mori in 1970 (Kerlow, 2004). The phrase describes the phenomenon of decreased emotional response to characters (Mori was initially referring to robots) as they tend towards a shut resemblance of humans. Initially, our response is positive – nosotros react well to objects or characters which resemble humans. As this resemblance increases, however, there is a marked drop in our response to these characters, before climbing again as the character becomes completely human (MacDorman, 2005).

The implications for the animator may be that complete human accuracy in facial expression may not achieve the desired empathic response; rather, this may be a source of revulsion in the viewer. Characters which are deliberately non-human or non realistic in their appearance may nonetheless avoid the uncanny valley, as with the characters in The Incredibles (Disney Pixar, 2004), while still benefiting from facial expressions which are unconsciously read as spontaneous and emotion driven by the audition.

Discussion

The use of symbolic or creative expressions may continue to be more applied for many blitheness productions. Symbolic expressions have the advantage of beingness unambiguous in their meaning, and are free from cultural influence beyond the established culture of animation. It is likewise possible that these productions tin can benefit in terms of their emotional advice by utilising the established context of the blitheness art form and relying on the referential noesis of the audiences previous viewing experiences within this framework.

Though all animated facial expressions could be called deliberate due to the process of animation, animated characters may benefit from the inclusion of both deliberate expressions as described in this article. The audience will read these automatically and sympathise the motivations for these expressions equally long as the context for them is maintained and suitable. Deliberate expressions can give insight into the motivations of a character and deliver a greater understanding of inter-graphic symbol relationships and scene contexts.

The inclusion of facial expressions in animated characters which look spontaneous may help to establish an unconscious communication of emotion with the audience based non on our referential knowledge of animation, just on our unconscious understanding of non-verbal communication with other humans. This is likely to be most constructive where a cathartic experience of emotion in the audition can be managed with the other requirements of the production, or where this forms one of the cardinal narrative techniques for the project.

Whichever facial action design is chosen for an animated production, and regardless of the product method employed, this choice should exist a conscious one, and not established through artistic instinct. The methods called by the production team will influence the design of the characters which must produce the expressions.

The example of the grapheme Gollum as an animated character able to communicate emotion through facial expression suggests that an amalgamation of diverse techniques and processes may yield effective results. In this example, the Facial Action Coding Organisation is used as a reference and as a safety net for creating appropriate expressions. Like the utilise of 3d animation tools and advanced engineering science in blitheness, the awarding of findings from the Behavioural Sciences must be an integrative process, adding to, rather than superseding, the established body of animation knowledge and practice.

References

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© Andrew Buchanan

Edited by Nichola Dobson

To download this article equally PDF, click here.

Rick Butler (Director), (2003). Making Nemo [Motion Picture]. United States: Pixar Blitheness Studios

Source: https://journal.animationstudies.org/andrew-buchanan-facial-expressions-for-empathic-communication-of-emotion-in-animated-characters/

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