Title: The expression of emotion through the pupils of animated character

Statement: A research paper submitted in partial fulfillment of the requirements for the degree of Bachelor of Arts

Author: Sam Watterson

Qualification: Honours degree in Design for Interactive Media

School: UWIC School of Art and Design

College: University of Wales Institute Cardiff

Submission Date:12/05/05

Declaration:

I hereby declare that this research paper entitled, ‘The expression of emotion through the pupils of animated character’, is entirely of my own work and has never been submitted nor is it currently being submitted for any other degree.

Date:

Candidate:

Date:

Director of studies:

Abstract

The aim of this paper is to explore the concept of animating characters with realistic pupils. Meaning, pupils which change according to focus, light levels, level of concentration, like and dislike, along with touch and pain. Expressive pupils already exist in animation, through this research I attempt to extend upon the current level of pupil expression.

An analysis is carried out on existing animated characters, looking at character expression, and how the type of animation effects the level of realism and eye expression. To gather this information I used questionnaires aimed at viewers, character animators and also used animation guide books for reference. The main aim being to understand the current thinking and working practice of character animators in relation to character pupil expression, defining a point which I could extend upon.

The benefits and drawbacks of more expressive pupils within animation are considered, using insights gained from character animators along with knowledge gained from my research into what influences the size of our pupils, I was able to see that the realist nature of expressive pupils is particularly suited to computer generated animation (CGI).

My conclusion features a set of influences which effect pupil dilation and contraction, along with details of my future developments, these being to create animated characters using my research results .

Acknowledgments

Thank you Chris Glynn, Wendy Keay Bright, Andrew Offiler, Robert Brown and Nick Price, along with the other professionals who gave up valuable time and knowledge helping me understand the working practice of character animators.

Thank you also to, Stuart Neil, Simon Pope and all the other lecturers who provided valuable support throughout my research.

Thanks, last but not least to my fellow students for your continual feedback, encouragement and constructive criticism.

Table of Contents

Declaration - I

Abstract - II

Acknowledgments - III

Table of figures - V

1 Introduction - 1 1.1 Motivation - 1 1.2 Aim of research - 1 1.3 The approach used - 1 1.4 Assumptions on which the work is based - 2 1.4.1 Working practice - 2 1.4.2 Effect on the user - 2 1.4.3 Emotion and the pupils - 2 1.5 Paper overview - 4

2 Current thinking on animated character, pupil behavior - 4 2.1 Analysis of animations - 4 2.2 Feedback from animators - 6 2.3 Animation guide books - 6

3 Why animate expressive character pupils - 7 3.1 The argument against - 7 3.2 The argument for - 8

4 A guide for animating pupils - 10 4.1 Why our pupils behave in the way they do - 10

5 Conclusion - 12

Bibliography - 14

Appendix A - Animation questionnaire - 15
Appendix B - Animator questionnaire - 17
Appendix C - Comparison questionnaire - 18
Appendix Da to Dh - Completed Animation questionnaires - 20
Appendix Ea to Ej - Completed Animator questionnaires - 36
Appendix Fa to Fh - Completed Comparison questionnaires - 54
Table of Figures

fig Page
1. Title: Henry’s Cat, Published by: Kult Kidz, Year: 1982 3

2. Title: Antz, Published by: Dreamworks, Year: 2002 3

3. Title: Captain Future, Published by: Master Vision, Year: 1985 3

4. Title: Ren and Stimpy, Published by: Paramount Home Video, Year: 1995 3

5. Title: Who Framed Roger Rabbit, Publisher: Warner Brothers, Year: 1988 5

6. Title: Shrek 2, Publisher: Dreamworks, Year: 2004 5

7. Title: The Incredibles, Publisher: Disney and Pixar, Year: 2004 5

1 Introduction

1.1 Motivation
My reason for researching character pupil expression is to further my knowledge in animation, providing myself with an opportunity to speak with professional animators. My interest in this topic started after I visited the ‘SAND animation festival’ 2005, held in Swansea University, where I had the opportunity to hear Ed Hooks, (author of ‘Acting for Animators’ 2003) talk about pupil expression. I later discussed this with him, he felt that animators were not using expressive pupils, and that they should add that extra detail.

1.2 Aim of research
My research aims to:
• Define the current practice and thinking on character pupil behavior from the perspective of the animator and the viewer. This is an important initial factor as it will help me see the bearing of my project on existing animation practice.
• Identify if people notice the difference between, fixed and expressive pupils, also will more expressive pupils make the viewing experience more enjoyable?
• Identify how character animators feel about the subject of pupil expression, do they see this research as being useful for their own work.
• Clarify what effects the pupils, what causes them to contract and dilate, also how this is related to emotions and expression.

1.3 The approach used
I started off investigating the current practice in character expression, my goal was initially to gain knowledge on animation in general, for this I took the opportunity to attend animation events, speak with animators in person, on the internet along with ‘making of’ features included on animation DVDs. I also read animation instruction books and used my practical project as an opportunity to produce an animation, further helping me to gain an understanding of how animators work.

My research into emotion, expression and the pupil has involved reading books, such as ‘The Tell Tale Eye’ by, Hess (1975), ‘Emotion in the Human Face’, Ekman, et al (1972), ‘The Expression of the Emotions in Man and Animals’, Darwin (1904) and ‘The Human Face’, Bates (2001). The knowledge gained has helped me understand how we express ourselves through a variety of physical actions, many of which are linked, but from my research it has been possible to identify how the pupils are different from the other ways in which we express ourselves.
My literature review under the heading, ‘4.2 How and why our pupils behave in the way they do’ (page 10) concentrates on pupil expression, but also explains how the pupils have their own set of rules which need to be looked at separately from emotion and general expression.

1.4 Assumptions on which the work is based
My expectations, before starting this research, had to be confirmed or replaced in order for me to continue and complete a research paper which is legitimate and reliable.

1.4.1 Working practice
My initial assumptions regarding the use of expressive pupils in animation was, they were not widely used by character animators, it was not always feasible, depending on style, resources, audience, technology and the knowledge of the animator, mainly in relation to the psychological and physical factors which effect pupil behavior. My knowledge of how animators work is limited, so as part of my research I needed to gain an understanding of this. My animator questionnaire (Appendix B, results: Ea to Ej) was designed to investigate how animators learned to animate, how they view character expression, mainly in relation to the pupils, along with looking at which animated sequences expressive pupils could be used in, and the benefits of using them.

1.4.2 Effect on the user
I expected to find that expressive pupils would improve the experience of the viewer. I designed two questionnaires, the first (Appendix A, results: Da to Dh) which analyzed a broad range of animation, looking at the type of production, expressiveness of the characters within, and also how realistic the animation was. The second questionnaire (Appendix C, results: Fa to Fh) was accompanied by a set of animated clips with varying degrees of pupil expression, ranging from the none existent pupil’s of, ‘Henry’s Cat’ (fig 1) to the continual contraction and dilation of ‘Ren and Stimpy’ (fig 4) allowing me to examine the viewer’s preferences in relation to animated character pupils.

1.4.3 Emotion and the pupils
I expected to find that emotion and pupil behavior were directly related, but my viewpoint changed. I came to realize that the pupil has a set of influencing criteria which cannot be restricted to expressions or emotions, I will go into more detail under the heading ‘4.1 Why our pupils behave in the way they do’ (page 10).

1.5 Paper overview
The paper starts off by identifying the state of pupil expression under the main heading ‘Current state of pupil expression in animated characters’, this section establishes the starting point of my research, using the insight of viewer’s, makers of and books on animation.

Next under the main heading, ‘Why animate expressive character pupils’ I discuss the reasons for and against expressive pupils, again using insights gained from the viewer, the professional and literature on eye behavior and animation techniques.

The main heading, ‘A Guide for animating pupils’ defines the causes of pupil dilation. With the animator in mind, a guide is produced which can be referred to when expressive pupils are needed.

In conclusion I discuss further research which could be made on the animation of character pupils.

2 Current thinking on animated character pupil behavior
The first step is to establish at what point animation is, in relation to character pupil expression. The three sources of information I have used are from animation itself, through the eyes of the viewer, professionals woring in the field of animation and animation guidebooks. The following paragraphs go into more detail.

2.1 Analysis of animations
Using the ‘Animation questionnaire’ (Appendix A) information was gathered from viewers on nine animation productions. These included traditional and computer generated. My aim was to get the unbiased view of the viewer.

The results show me that the level of eye expression in traditional animation has not changed much over the years. With a few films which featured expressive pupils, such as Roger Rabbit (1988) (fig5), but the technology available back then meant that far more resources were needed to produce that level of detail. Thanks to the advancements in technology, such as computer generated imagery (CGI), it is more practical for animators to make their characters more realistic.
Adding expressive eyes is more practical and the resources needed are reduced.
More and more CGI animations are being produced, leading to more realistic characters, as in ‘The Incredibles’ (2004) (fig 7) and ‘Shrek2’ (2004) (fig 6), both feature characters which look very alive, and use expressive eyes to bring an extra level of realism.

2.2 Feedback from animators
The nine professionals who completed my animator questionnaire (Appendix B, results: Ea to Ej) helped me see that, expression is the main concern when animating a character, some dismissed the idea of expressive pupils. When asked, ‘Do you think more expressive pupils would enhance the experience of the viewer?’ Richard Villeneuve, a freelance animator replied, ‘No, in animation the majority of good expressive animation is in the body’, and, Paul Sinclair of the University of lincoln emphasizes that, ‘All character animation is expressions!’. After reading their feedback I have become aware that we express ourselves through everything we do, if we are sad we move in a sad way. After all, character animation is a reflection of life, and needs to be believable, no matter how strange a character may look. All the animators agreed that pupils are an important part of a character, as Chris Glynn of Dogo Cymry LTD, points out, the ‘Size of pupils can indicate the emotional involvement of the character in their situation’, and Bucky Benson of Bebart adds, ‘expressive pupils definitely add to the moment. Drawn at different sizes and locations within the eye they can add more to the moment’.

It seems from the animator’s perspective, eyes are important and something which the audience looks at first, even the animation of the pupils is something worthwhile, but the resources required and the current working practice, especially within traditional animation, means that the detail of expressive eyes is limited to scenes which will benefited by this detail, and this is something I agree with.

2.3 Animation guide books
My ‘Animator questionnaire’ (Appendix B) also asked animators, ‘How did you learn to animate?’ One book which was suggested to me was, ‘The Illusion of life’, by Frank Thomas and Ollie Johnson. This book focuses on the representing of life in traditional 2D animation. Under the heading, ‘Tips for staging expressions’ page 443, are some key points which match up with the viewpoints of the animators questioned. Firstly, ‘Resist the temptation to tell too much in one drawing’, ‘it is the idea that is important’ the priority being to tell the story. The second point made was, ‘Do not let the expression conflict with the dialogue’, in other words the character expressions should support what the character is saying.

Thirdly, ‘The expression must be captured throughout the whole body as well as the face’, with so much expression being shown through a character animated in this way, maybe pupil expression is not needed, but perhaps if the character’s head alone is on the screen, then expressive pupils would be more applicable, making up for the lack of body expression.

Through my research into the current thinking on the animation pupil expression, I have found that it is not always appropriate, feasible or worth while applying the detail of expressive pupils to a character. Pupil expression is not a new concept, both traditional and CGI animation feature this, though it is not so common in traditional animation. Because of the resources needed, and also viewers of traditional animation enjoying it the way it is, that is, not being realist, but with exaggeration of movement, doing the impossible, being believable and yet simple, why change it? CGI on the other hand generally focuses on realism, merging the real with the unreal, therefore the concept of expressive pupils is more applicable, with the many automated processes and reduced resources needed, the boundaries of animation are being pushed.

3 Why animate expressive character pupils

It is important to consider the negative and positive aspects of character pupil expression, the extra resources and research needed to implement it require that the when and why it can be used, or not, is discussed

3.1 The argument against
What are the drawbacks of expressive pupils? when asked, ‘Do you think expressive pupils would enhance the experience of the viewer?’ Richard Villeneuve a freelance animator answered, ‘No, in animation the majority of good expressive animation is in the body. Quite often, if the animation works without ANY eyes then it is excellent animation’.
Most traditional animation, involves using materials which cannot be reused, the work is carried out manually, for realism there is a much larger cost on time and materials.

There are many animated films which are not based on realism which have done very well, people enjoy them, they achieve their purpose. There are many factors involved in an animation, such as, the story, the overall movement, the general character expression, perhaps eye expression is a small element, a extra detail which may not be needed.
If something works why change it. Sometimes too much detail takes something away from the story. I believe the main drawbacks with pupil expression concerns traditional animation. The two key factors being the extra cost and the expectations of the audience.

3.2 The argument for
The animators I questioned were definite about the importance of the eyes. When I asked them, ‘Do you think expressive pupils would enhance the experience of the viewer?’ (Appendix B) the answers I received were,

Yes, expressive pupils definitely add to the moment. Drawn at different sizes and locations within the eye they can add more to the moment. [Bucky Benson, Bebart]

Yes in a close-up particularly. Subtle variations in position can make a huge difference, showing where the character’s mind is, the speed of their thinking, etc. Size of pupil can indicate the emotional involvement of the character in their situation, and draw in or distance the audience, so if it’s visible it can play an important subliminal role.
Powerful examples – Bugs and Daffy. [Chris Glynn, Dogo Cymru LTD]

Pupils really are a limited source of expression. The area around the eye is where all of the communication occurs. Pupils (and iris) obviously are part of indicating where the character is looking, and to a degree, the size of the pupil (in relation to the iris) indicates either a reaction to a bright light or darkness, or because the pupil dilates because of sexual attractiveness, larger pupils are used to heighten such feelings between characters. Other manifestations are possible exaggerated pupils either denoting cuteness (very large) or insanity (very small). [Paul Sinclair, University of lincoln].

Yes, as the eyes are the windows to the soul, they are what the audience focuses on first, they must be very expressive. [Robert Brown, Freelance Animator]

Eyes are very important for believability of the character.
[Roger Rosa, Cumbria Institute of the Arts]

Yeah, defiantly. Fine detail can easily go unnoticed but can make an animation so much better. Look at things like “Shrek2” & “The Incredibles” the fine detail makes those the best animated films around. The eyes are the main focal point for a character; you naturally look into someone’s eyes first when talking / listening to them so as much detail as possible will always be a bonus. [Tim Willmott, Sounds Commercial]
Yes, eyes are drawn to eyes, you communicate with your eyes.
[Wendy Keay Bright, Siriol (producer), Rolf's Cartoon Club]

As can be seen from these responses, it is agreed that expressive pupils are important in character animation, as Chris Glynn states, ‘particularly in close ups’ and Roger Rosa points out that, ‘eyes are very important for believability of a character’, along with Wendy’s comment, ‘eyes are drawn to eyes’.

To find out the viewer’s preference, concerning expressive versus non expressive eyes I asked eight people to watch four animated clips, each featuring different degrees of pupil expression, they were then asked to complete the ‘Comparison questionnaire (Appendix C, results: Fa to Fh)’. The least expressive clip was, ‘Henry’s Cat’ (fig 1), the next least being, ‘Captain Future’ (fig 3), ‘Antz’ (fig 2) featured expressive pupils but not to the extent of clip four, ‘Ren and Stimpy’ (fig 4). Those tested easily recognized which clips featured the most expressive eyes, the most expressive, ‘Ren and Stimpy’ (fig 4), was not always rated as being the most realistic, ‘Antz’ (fig 2) was rated as the most realistic and also featured expressive pupils.

The response to the Comparison questionnaire showed me that,

• When asked, ‘Do you enjoy animations with more, or less expressive eyes?’ the majority gave a positive answer.
• Six out of eight of those asked, selected the most realistic clips and these were also rated as having the most expressive eyes.
• The favorite animation style of those questioned was equaly divided between 3D computer and 2D traditional.

From the feedback, I can see that viewers are mainly concerned about the type of animation, and the story. For those that enjoy realistic animation, pupil expression is important because they expect the characters to be realistic. When expressive pupils are featured in 2D traditional animations such as ‘Ren and Stimpy’ this is more noticeable, because it contrasts with the simple style of animation.

The argument for and against characters with expressive pupils shows that it is not always possible or necessary, to add this realism to a character, the type of animation, the audience’s expectations and the resources available, all need to be taken into consideration.
4 A guide for animating pupils

A major portion of animated productions we see today, involve characters. It goes without saying that characters communicate with each other and sometimes with the viewer using verbal, and nonverbal language, such as facial expressions, including the eyes and possibly the pupils.

My research into pupil behavior has extended towards, facial expression and emotion, through this I have discovered that pupils are effected by more than our emotions, and the expressions we make. Infact it is not possible to categorize what effects pupils under facial expressions or emotions, one reason for this is as, Hess (1916) points out, ‘pupillary size changes are beyond direct voluntary control’, unlike facial expressions which we can control, they are effected by a variety of factors, including, physical effort, mental activity along with light levels and focus. All these pupil activities take place no matter what expression or emotion we are going through.

4.1 Why our pupils behave in the way they do

The purpose of this literature review is to gain an understanding of what causes the pupil to contract and dilate. The following paragraphs discusses how we communicate with our eyes, what our eyes tell other people about us, and what influences pupil dilation and contraction.
A book by, Eckhard, H (1975) called, ‘The Tell Tale Eye’ will be discussed over the next few paragraphs.

• Eye communication
When we communicate, eye contact is made in short periods. Long periods of staring makes the communicators feel nervous, and is either a sign of love or aggression. When we converse we often blink to acknowledge, to show that we understand. Whilst concentrating we blink less and when relaxing we blink more.

You can tell much about a person from their eyes, how they are feeling and the truth behind what they are saying. Many descriptions have been attributed to the eyes, as Eckhard (1975) describes, ‘soft, hard, beady, tiny, large, saucer-like, hateful, sly, doe-like, shifty, crafty, wide, narrow, cold, warm, passionate, fiery, loving, listless, lively, shining, dull, sparkling, curious’,
The eyes provide information, which a person could only speak of or may not even realize him self.

Within certain professions it is common practice to use the pupil size, as a way of checking a person’s physical health, doctors for instance. Also the eyes are used as a selling tool. Sales people sometimes use a prospective customer’s pupils to identify the amount of interest they have in a certain object, aiding them in making a sale.

• Focus and the amount of light
It is generally known that high amounts of light causes the pupils to contract and low amounts cause it to dilate. When focusing on a near object the pupil will get smaller and alternatively get larger when focusing on a distant object. The pupils are effected by multiple factors at the same time, for example when focusing on a picture you like in low light levels, your pupil will be effected by all three influences at once.

• Like and dislike
Often a person’s pupils will enlarge when they see something they like, as an experiment by Polt and Eckhard (1975) shows. For this experiment they used five photographs, the subjects being, a baby, mother and a baby, a nude male and a nude female. The test results showed that the heterosexual male’s pupils enlarged when viewing the naked female compared to the other pictures, when a heterosexual female looked at the same pictures her pupils enlarged when looking at the nude male. When viewing the baby photograph the female’s pupils dilated much more than the male’s. The male’s pupils dilated more when a mother and baby photo was shown, but in this case the male’s focus was on the mother, rather than the baby.
The key is, pupils are effected by what is going on inside the mind, this is often imagined or triggered by something we see.

• Words
When looking at words, all our eyes see is the abstract form which makes up the letters and resulting words, our minds translate this into meanings. If the word represents something we like, such as the name of a loved one, then this will cause our pupils to enlarge.

• Touch
The pupils respond to touch, the greater the pressure the larger the pupil becomes.
Westphal, A, (1907) explains that physical exertion causes the pupils to contract, the more the effort the larger the pupils become.

• Following a musical beat
Another test which shows how the pupils respond to mental activity was the counting of a music beat, Bumke (1911), tested this and found that the subject’s pupils would dilate in time with the beat.

Our eyes provide a major insight into a our state of mind, Guillaume (1544) calls them, ‘windows of the soul’. To further define the importance of the pupils, Bumke points out,

every active intellectual process, every psychical effort, every exertion of attention, every active mental image, regardless of content, particularly every affect just as truly produces pupil enlargement as does every sensory stimulus. (Bumke, O, 1911)

I would like to point out that the eyes and pupils work in unison with other parts of the body and face. The main difference between the pupils and our other expressive features is that we have no direct control over our pupils and are generally unaware of what they are doing, but even so, as I have tried to show, they play a major part when we communicate.

5 Conclusion

Firstly to conclude I will summarize the results of my research into the influences on pupils

• Concentration
The harder you concentrate the larger the pupils.

• Like and Dislike
The more you like what you see or think about, the larger your pupils.

• Physical excertion
The bigger the physical excertion the larger the pupils become.

• Touch and pain
Touch, increasing to pain, increases the size of the pupils.

• Focus
The further away an object is the larger your pupils become, letting in more light.

• Light level
The lower the light level the larger the pupil, once again letting in more light.

I am sure these results will prove useful to animators who wish to add another level of realism to a character. I would suggest that those who are interested would also take time to research further into pupil behavior, as the subject area is extensive, and they will find information which I have not.

I invite criticism on my results and methodology. I hope that this paper encourages or supports others who are interested in or are already working with expressive pupils.

I do not believe that the level of pupil expression I have discussed should be used for all animation, only if it will improve the experience of the viewer.

I plan to develop animated characters both 2D and 3D using traditional and computer generated imagery (CGI), these will then be used as examples of the pupil expression which I have discussed within this paper.

Bibliography

Bates, B. Cleese, J. 2001 The Human Face BBC Worldwide LTD. London.

Bumke, O. 1911 De Pupillenstörungen, Bei Geistes und Nerven-krank-heiten (Physiologie und Pathologie der Irisbewegungen) Jena, Fischer.

Darwin, C. 1904 The Expression of emotions in Man and Animals London. Hazell, Watson and Viney, LTD.

Eckhard H, Hess. 1975 The Tell-Tale Eye New York. Van Nostrand Reinhold Ltd.

Ekman, P et al. 1972 Emotion in the human face Press INC. Oxford.

Westphal, A. 1907 Uber ein im katatonischen stupor beobachtetes Pupillenphänomen sowie Bemerkungen über die Pupillenstarre bei Hysterie Deutche medizinische, Wochenschrift.

Thomas, F. Johnson, O. 1981 The Illusion of Life - Disney Animation New York, Walt Disney Productions.