Facial Action Coding System Paul Ekman, Ph.D. Wallace V. Friesen, Ph.D. Joseph
Facial Action Coding System Paul Ekman, Ph.D. Wallace V. Friesen, Ph.D. Joseph C. Hager, Ph.D. by Investigator’s Guide cover back Facial Action Coding System Investigator’s Guide by Paul Ekman, Ph.D., Wallace V. Friesen, Ph.D. Joseph C. Hager, Ph.D. © Copyright 1978, 2002 by Paul Ekman, Wallace V. Friesen, Joseph C. Hager. All Rights Reserved. This manual and its entire contents, including all graphics, images, software, and digital video, are furnished for the use of the reader under license and are protected by United States and International Copyright laws. No rights under the copyright law are transferred to the purchaser, and this product may be used or copied only under the terms of license. No part of the publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, recording, or otherwise, without the prior expressed written permission of the authors. These restrictions mean that the purchaser, reader, user, or anyone else cannot copy the files from the CD ROM to any computer storage mechanism, cannot permit access to the CD ROM via networked computers, cannot post, mail, or copy any portion of the contents of this manual on any type of computer for transmission to others, cannot make derivative images from the images provided, and cannot make duplicates of this CD ROM. No duplicate or facsimile of any printed portion of the text or images in the contents of this CD ROM can be made. The purchaser has permission to print one paper copy (hardcopy) of the Manual and the Investigator’s Guide (licenses for additional copies can be purchased), to print as many copies of the FACS score sheets as needed, and to copy and to run the software program on any computer. Published by Research Nexus, a subsidiary of Network Information Research Corporation, 545 East 4500 South E-160, Salt Lake City UT 84107 Made in the United States of America, 2002 ISBN 0-931835-01-1 1. Expression 2. Facial expression 3. Psychology, Physiological I. Title FACS Investigator’s Guide i Contents Acknowledgements Acknowledgements v Preface Preface vii Chapter 1: Background, Development, and Overview 1 Background of the Facial Action Coding System 2 Development of the Facial Action Coding System 4 An Example of Scoring Faces 10 Concluding Comments 12 Chapter 2: Reliability of the Facial Action Coding System 15 A. Reliability Issues 15 B. The Behavior Sample 16 C. The Coders 16 D. Procedure 17 E. Raw Data Matrix 17 F. An Index of Agreement 17 G. Overall Agreement 19 H. Did Scoring Head/Eye Position Inflate Reliability? 19 I. Does Arbitrating Differences Enhance Agreement? 19 J. Agreement About Intensity 21 K. Representativeness of the Behavior Sample 22 L. Errors in Scoring Particular Action Units 22 M. Reliability in Location of Facial Action 23 N. Another Look at Description Reliability 24 0. Summary and Discussion 25 FACS Investigator’s Guide ii Contents Chapter 3: Behavior Records Required for Using FACS 27 Chapter 4: Training Procedure 29 Chapter 5: Materials in the Facial Action Coding System 31 Chapter 6: FACS Score Checker Computer Program 35 Chapter 7: Correct Answers for Practice Scoring Items 41 Chapter 8: How Others Scored Practice Items 69 Chapter 9: FACS in Relation to Other Facial Measurement Systems 101 9.1. Introduction 101 9.2. The basis for deriving units 105 9.3. Comprehensiveness or selectivity 107 9.4. Depicting facial measurement units 112 9.5. Separating inference from description 113 9.6. Types of records and persons to which measurement has been applied 114 9.7. Reliability 115 9.8. Validity 118 9.9. Costs 121 9.10. Other techniques for facial measurement 122 9.11. Conclusions 124 Appendix. How the facial action brow raise is described in each of the 14 measurement techniques 125 References 128 Chapter 10: FACS Measurement Units Compared to Others 133 Visual Categorical Measurement 134 Scalar measurement 137 Method of Comparing Visual Categorical Units 138 Using the Appendixes 141 Summary 145 References 145 Chapter 11: Scoring the Separate Strands of AU 4: AUs 41, 42, and 44 163 Action Unit 41 – Glabella Lowerer 165 Action Unit 42 – Inner Eyebrow Lowerer 167 FACS Investigator’s Guide iii Contents Action Unit 44 – Eyebrow Gatherer 169 Video Examples for AUs 41, 42, and 44 172 Chapter 12: Suggestions About Using FACS 173 1. Translating AU Scores Into Emotion Terms 173 2. Options in Scoring Location of an AU in Time 175 3. Delineating Events 178 4. Scoring Head and Eye Movements 180 5. Scoring Movements in Relation to Speech 181 6. Short Cuts in Measuring Facial Movement 181 7. A Final Note 181 Chapter 13: Assessing Proficiency: The FACS Final Test 183 FACS Investigator’s Guide iv Contents FACS Investigator’s Guide v Acknowledgements Silvan S. Tomkins first interested us in the study of the face. His theory (Tomkins, 1962, 1963) provided the rationale for expecting that fine-grained measurement of the face was necessary and could provide useful information about the emo- tions. Viewing films together, Tomkins showed us how he interpreted facial movements. These demonstrations inspired our decision to attempt systematic measurement which could incorporate such wisdom. Silvan worked with us on our first attempt at facial measurement, the Facial Affect Scoring Technique (Ekman, Friesen, & Tomkins, 1971). While we have now abandoned that approach to facial measurement, much of our knowledge of how facial movement is related to emo- tion is based on that joint work. Wade Seaford encouraged us to overcome our reluctance about learning anatomy. He showed us gaps in the Facial Affect Scoring Technique which had been developed without regard for the anatomical basis of facial movement. Suzanne Chev- alier-Skolnikoff, during a post-doctoral research fellowship, gave us our first lessons in the neuroanatomy of facial behav- ior in the course of her own work on the evolution of the nervous system and parallel elaborations of the facial musculature (Chevalier— Skolnikoff, 1973). Harriet Oster, during the course of a post doctoral research fellow- ship, joined in helping us with the final revisions of the Facial Action Coding System. Based on the knowledge she acquired about developmental neuroanatomy of facial movement she made important contributions to the definition of certain Action Units. A number of students and colleagues helped at various stages in the development of the Facial Action Coding System. Jerry Boucher, Phoebe Ellsworth and Susan Milmoe worked with us ten years ago in our first attempts at facial measure- ment. Three years ago, Paul Gronnerud, Joe Hager, Randall Harrison, Nina Honbo, John Johnson, Maureen O'Sullivan, Harriet Oster and Gowan Roper learned FACS. They made many suggestions for how to clarify and revise our instruc- tions. A year ago, Sonia Ancoli, Charlotte Baker, Linda Camras, Rainer Krause, Verena Krause, Kathy Woodruff, and Blossom Young learned the version of FACS now published. Each of them provided help in numerous ways. Nina Honbo deserves special thanks for her years of careful help as a research assistant on this project. Norma Hyatt and Wanda Matsubayashi gave patience and care to the typing of the Manual. We are very grateful to the Clinical Research Branch of the National Institute of Mental Health for the many years they have supported our research (MH 11976). Without the long term support they provided we would not have been able to undertake the development of this facial measurement procedure which has extended over seven years. In particular, we thank Marty Katz, Hussain Tuma, and Jack Lasky for their help over many years in the administration of our grant. We are grateful also to Martin Orne, twice a site-visitor for NIMH, who gave very useful advise and criticism, and encouraged us to undertake the development of a fine-grained facial measurement system. Acknowledgements FACS Investigator’s Guide vi The Harry F. Guggenheim Foundation provided the support which gave us the time to format the Facial Action Coding System as a self-instructional package. Without their aid this measurement system would not now be available to other investigators. San Francisco December, 1977 Paul Ekman Wallace V. Friesen References Chevalier-Skolnikoff, S. Facial expression of emotion in non-human primates. In P. Ekman (Ed.) Darwin and Facial Expression, New York, Academic Press, 1973. Ekman, P., Friesen, WV., & Tomkins, S.S. Facial affect scoring technique, (FAST) a first validity study. Semiotica, 1971, 3(1), 37-38. Tomkins, S.S. Affect, Imagery. Consciousness, (Vol. 1). New York, Springer Publishing Co. 1962. Toukins, S.S. Affect, Imagery. Consciousness, (Vol. 2). New York, Springer Publishing Co. 1963. FACS Investigator’s Guide vii Preface This Guide for the Investigator was written separately from the FACS Manual for three reasons: (1) We have assumed that anyone using FACS will want to have at least one other person learn the system so that inter- coder reliability can be determined. Since the other person might be someone not trained in scientific methods, we have kept out of the Manual, but placed in this Guide, any technical information requiring sophistication on the part of the reader. (2) It would be ideal if the person coding facial actions did not think about the possible meaning of the behavior he scores, but focused only on describing appearance. Information uploads/Finance/ inv-guide.pdf
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