What the Face Reveals: Basic and Applied Studies of Spontaneous Expression Using the Facial Action Coding System (FACS), 2 e 2005

662 Pages·2005·3.65 MB·English

by  Erika L.

What the Face Reveals:
Basic and Applied Studies of
Spontaneous Expression
Using the Facial Action
Coding System (FACS),
Second Edition
Paul Ekman
Erika L. Rosenberg,
Editors
OXFORD UNIVERSITY PRESS
WHAT THE FACE REVEALS
SERIES IN AFFECTIVE SCIENCE
Series Editors
Richard J. Davidson
Paul Ekman
Klaus Scherer
The Nature of Emotion:Fundamental Emotion,Social Relationships,and Health
Questions Edited by Carol D. Ryff and
Edited by Paul Ekman and Burton Singer
Richard J. Davidson
Appraisal Processes in Emotion:Theory,
Boo! Culture,Experience,and
Methods,Research
the Startle Reflex
Edited by Klaus R. Scherer, Angela Schorr,
by Ronald Simons
and Tom Johnstone
Emotions in Psychopathology:Theory and
Research Music and Emotion:Theory and Research
Edited by William F. Flack Jr. and Edited by Patrik N. Juslin and
James D. Laird John A. Sloboda
What the Face Reveals:Basic and Applied Nonverbal Behavior in Clinical Settings
Studies of Spontaneous Expression Using the Edited by Pierre Philippot, Robert S.
Facial Action Coding System (FACS) Feldman, and Erik J. Coats
Edited by Paul Ekman and
Erika Rosenberg
Memory and Emotion
Edited by Daniel Reisberg and
Shame:Interpersonal Behavior,
Paula Hertel
Psychopathology,and Culture
Edited by Paul Gilbert and Bernice Andrews
Psychology of Gratitude
Affective Neuroscience:The Foundations of Edited by Robert A. Emmons and
Human and Animal Emotions Michael E. McCullough
by Jaak Panksepp
Thinking about Feeling:Contemporary
Extreme Fear,Shyness,and Social Phobia:
Philosophers on Emotions
Origins,Biological Mechanisms,and
Edited by Robert C. Solomon
Clinical Outcomes
Edited by Louis A. Schmidt and
Bodily Sensibility:Intelligent Action
Jay Schulkin
By Jay Schulkin
Cognitive Neuroscience of Emotion
Edited by Richard D. Lane and Lynne Nadel Who Needs Emotions? The Brain
Meets the Robot
The Neuropsychology of Emotion
Edited by Jean-Marc Fellous and
Edited by Joan C. Borod Michael A. Arbib
Anxiety,Depression,and Emotion
What the Face Reveals:Basic and Applied
Edited by Richard J. Davidson
Studies of Spontaneous Expression Using the
Persons,Situations,and Emotions: Facial Action Coding System (FACS),Second
An Ecological Approach Edition
Edited by Hermann Brandstätter and Edited by Paul Ekman and
Andrzej Eliasz Erika L. Rosenberg
WHAT THE FACE REVEALS
Basic and Applied Studies of
Spontaneous Expression Using the
Facial Action Coding System (FACS)
Second Edition
Edited by
Paul Ekman &
Erika L. Rosenberg
1
2005
3
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Library of Congress Cataloging-in-Publication Data
What the face reveals : basic and applied studies of spontaneous expression using the facial
action coding system (FACS) / edited by Paul Ekman & Erika L. Rosenberg.—2nd ed.
p. cm.—(Series in affective science)
Includes bibliographical references and index.
ISBN-13 978-0-19-517964-4
ISBN 0-19-517964-1
1. Facial expression. 2. Body language. I. Ekman, Paul. II. Rosenberg, Erika L.
III. Series.
BF592.F33W43 2005
153.6′9—dc22 2004018698
9 8 7 6 5 4 3 2 1
Printed in the United States of America
on acid-free paper
Foreword
m. brewster smith
What the Face Revealsis strong evidence for the fruitfulness of the systematic
analysis of facial expression initiated by Paul Ekman and Wallace V. Friesen in 1976
and 1978; it will also become a valuable, even obligatory resource for all investigators
who wish to use or understand the Facial Action Coding System (FACS), as Ekman and
Friesen’s approach is called. This book should also be of interest to a broader con-
stituency than students of the face and of emotion: facial expression carries information
about a wide range of phenomena, and findings reported here bear on significant issues
in personality, psychopathology, and early development. As an outsider to the tradition
in which Ekman works, I have been impressed by the important part he and his col-
leagues have played in restoring affect and emotion to an appropriately central place in
human psychology.
Erika Rosenberg recounts the story in her introductory chapter: how behaviorism
not only denigrated the inner experience of emotion but canonized bad data on the
supposed cultural arbitrariness of emotional expression. After midcentury, Silvan
Tomkins’s ideas about the basic affects and their linkage to distinctive facial expression
pointed the way, but his presentation and advocacy of these ideas were so idiosyncratic
and difficult to penetrate that they became generally known only after Paul Ekman and
Carroll Izard had undertaken groundbreaking research under his influence. For the last
two decades, Ekman’s group has been the principal contributor to this complement
and sequel to the “cognitive revolution,” bringing affect back into the formulations of
general psychology.
The detailed, laborious work with FACS reported in this book is also a substantial
part of that contribution. It represents a real breakthrough in the study of facial expres-
sion. Virtually all previous research focused on the inferences observers draw from de-
picted or enacted facial expressions; it did not really examine what was going on in the
face itself. This book is the first to bring together research that examines facial behavior
directly. It bears strong witness to the fruitfulness of Ekman’s approach to the study of
spontaneous facial expression.
The articles reprinted in this volume date from 1982 to 1995, with the majority (15
vi Foreword
of 22) coming from the 1990s. They include an early paper by Ekman, Matsumoto, and
Friesen that had not been previously published because it was editorially rejected. The
authors have good grounds by now for their assurance that this was an editorial mis-
take. The reprinted articles appeared in 13 different journals—as Ekman and Rosen-
berg note, a range beyond the probable ken of the contributors themselves. They in-
volve principal authors from Europe and Canada, as well as the United States. The
enterprise has become worldwide, no longer centered on Ekman’s active Human Inter-
action Laboratory at the University of California, San Francisco.
Assembling as it does major reports of basic research on emotional expression and
applied research on a variety of topics ranging from schizophrenia, depression, and sui-
cide to therapeutic interaction and Type Abehavior, all approached via FACS or its de-
rivatives, the book provides solid evidence for the value of employing this standardized
method for the analysis of facial expression. Afurther feature, which makes for fas-
cinating reading, is the informal “afterwords” contributed by the authors of each re-
printed article in which the authors describe their subsequent work on the topic of their
papers, bringing the treatment fully up to date and often speculating more freely about
the significant issues than the journal format of their original presentations allowed. In
the same vein is the concluding chapter by Ekman, “What We Have Learned by Mea-
suring the Face.” This chapter, together with the various afterwords, very effectively
brings the reader abreast of the current state of the art. Ekman and Rosenberg obviously
intend the book to attract more psychologists to their method. Dozens of researchable
problems are identified along the way. Several minor revisions of FACS scoring are
also specified: prospective users need to consult the book.
This is a book for reference and selective reading. From my outsider’s vantage
point, I note that although FACS is a richly fruitful device that enables cumulative re-
search on facial expression, it is no magical “open sesame.” It is inherently laborious
and expensive and requires thorough training. And the phenomena that it deals with are
complex, not reducible to simplistic formulas. Adramatically distinctive finding such
as the discovery of the Duchenne felt smile stands out, but not surprisingly, the in-
terconnections of facial expression with the rest of human psychology are mostly com-
plicated and hard to elucidate. But this book records very significant progress. It is
encouraging that more than a century after Darwin opened the topic of emotional
expression, with good observation and inspired prescience, the research enabled by
FACS is finally dealing with it in a careful, empirical way very much in the Darwinian
tradition.
Preface to Second Edition
PAULEKMAN
Research with FACS continues to thrive, and interest in this facial measure-
ment system is sufficient for the first edition of What the Face Revealsto have sold out.
In this second edition we have six new contributions, each providing information of a
type that is new to the literature based on facial measurement.
Chapter 15 by Messinger, Fogel, and Dickson is an exciting presentation of how
expressions change over the course of early development.
Chapter 16 by Schmidt, Cohn, and Tian reports on the time course of facial ex-
pressions, using new methods for measuring facial movement, described in detail in
chapter 17.
Chapter 17 by Cohn, Zlochower, Lien, and Kanade reports new developments in
their approach to automating aspects of facial measurement.
Chapter 18 by Bartlett, Movellan, Littlewort, Braathen, Frank, and Sejnowski
presents a very different approach to automating facial measurement, and a very useful
review of the differences among various approaches in addition to theirs, and that of
Cohn et al.
Chapter 27 by Rosenberg, Ekman, Jiang, Babyak, Coleman, Hanson, O’Connor,
Waugh, and Blumenthal provides findings relevant to basic issues about expression and
physiology interrelationships and applied questions about the role of emotion in physi-
cal health.
Chapter 28 by Sayette, Wertz, Martin, Cohn, Perrott, and Hobel shows how analy-
sis of facial behavior provides new insights into craving.
I have commented on each of these new chapters in my concluding chapter, “What
We Have Learned by Measuring Facial Behavior.” I also have drawn attention to a
major change in how smiling is scored by FACS in order to more clearly distinguish
between 6 + 12 and 12 alone, a distinction many investigations are finding it very use-
ful to make.
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Acknowledgments
Ekman, P., Friesen, W., and Simons, R. (1985). Is the startle reaction an emotion? Jour-
nal of Personality and Social Psychology, 49, 1416–1426. Copyright 1985 by the
American Psychological Association. Reprinted with permission.
Hager, J., & Ekman, P. (1985). The asymmetry of facial actions is inconsistent with
models of hemispheric specialization. Psychophysiology,22, 307–318. Copyright 1985
by Cambridge University Press. Reprinted with the permission of the publisher.
Rosenberg, E., & Ekman, P. (1994). Coherence between expressive and experiential
systems in emotion. Cognition & Emotion, 8, 201–229. Copyright 1994 by Erlbaum
(UK) Taylor & Francis. Reprinted with the permission of the publisher.
Ruch, W. (1995). Will the real relationship between facial expression and affective ex-
perience please stand up: The case of exhilaration. Cognition & Emotion, 9, 33–58.
Copyright 1995 by Lawrence Erlbaum Associates Limited. Reprinted with the permis-
sion of the publisher.
Ruch, W. (1993). Extraversion, alcohol, and enjoyment. Personality and Individual
Differences,16, 89–102. Copyright 1993 Pergamon Press Ltd. Reprinted with kind per-
mission from Elsevier Science Ltd., The Boulevard, Langford Lane, Kidlington OX5
1GB, UK.
Keltner, D. (1995). Signs of appeasement: Evidence for the distinct displays of embar-
rassment, amusement, and shame. Journal of Personality and Social Psychology, 68,
441–454. Copyright 1995 by the American Psychological Association. Reprinted with
permission.
Craig, K., Hyde, S., & Patrick, C. (1991). Genuine, suppressed, and faked facial behav-
ior during exacerbation of chronic low back pain. Pain, 46, 161–171. Copyright 1991
Elsevier Science Publishers. Reprinted with kind permission from Elsevier Science
Ltd.
Prkachin, K. (1992). The consistency of facial expressions of pain: A comparison
across modalities. Pain, 51, 297–306. Copyright 1992 Elsevier Science Publishers.
Reprinted with kind permission from Elsevier Science Ltd.