WHAT IS FACS?
● Objective and reliable coding system for facial
behavior.
● Differentiates facial movements on a muscular
basis: Observable units are called ACTION
UNITS (AUs).
● They are assigned to numbers.
0
HISTORY OF FACS
Institute of Psychology
University of Innsbruck
● Developed by Ekman & Friesen (1978): Human
Interaction Laboratory in San Francisco (USA).
● Aim: Fundamental research on emotions
● Main question: Are there universal expressions
of emotions?
 Tribes in Papua New Guinea in terms of facial
expression recognition
HISTORY OF THE FACS
MANUAL
Institute of Psychology
University of Innsbruck
● First version: FAST (Facial Affect Scoring
Technique, 1971): measurement of facial
movements for emotion prediction
● 1978: FACS – measurement of all visible
muscular movements independent of their
meaning
● Revised version: Ekman, Friesen & Hager
(2002).
SPLIT-SCREEN VIDEO-RECORDINGS
3
EXAMPLES OF FACS AUs
AU Nr.
FACS-Terminology
Muscular Basis
1
Inner brow raiser
Frontalis, pars medialis
2
Outer brow raiser
Frontalis, pars lateralis
4
Brow lowerer
Depressor glabellae,
depressor supercilii,
corrugator
6
Cheek raiser
Orbicularis oculi, pars
orbitalis
12
Lip corner puller
Zygomaticus major
15
Lip corner depressor
Triangularis
4
AU 1 + 2
5
AU 4
6
AU 6
7
AU 12
8
AU 15
9
FACS-CODING: SEPARATING
DESCRIPTION AND INTERPRETATION
AU 1+2+5C+
20C+25
Fear
PROTOTYPICAL EXPRESSIONS
● Neutral
● Anger:
AU4+AU5+AU17+AU
23
11
PROTOTYPICAL EXPRESSIONS
● Neutral
● Contempt:
AUR10C
12
PROTOTYPICAL EXPRESSIONS
● Neutral
● Fear:
AUs 1+2+5C+20D+25+26
13
PROTOTYPICAL EXPRESSIONS
● Neutral
● Disgust:
AU 9
14
PROTOTYPICAL EXPRESSIONS
● Neutral
● Sadness:
AUs 1 + 15D
15
PROTOTYPICAL EXPRESSIONS
● Neutral
● Surprise:
AUs 1+2+5C+25+27
16
PROTOTYPICAL EXPRESSIONS
● Neutral
● Joy:
AUs 6+7+12E
17
DIFFERENTIATING SMILES: AN
EXAMPLE FOR FACS RESEARCH
● Most frequent and most important facial
signal in interpersonal relationships
● May signal many positive emotions such as
enjoyment, physical or sensory pleasure,
contentment, and amusement (Ekman, 1985)
● Smiling also occurs when we feel angry or
embarrassed.
18
FUNCTIONS OF SMILING
● Smiling is contagious and is used to establish
positive affective resonance:
● Both interacting partners are in a positive affective
state.
● This experience strengthens the emotional bond
between two individuals.
● Smiling also has effects on the behavior level:
By smiling, a baby may elicit joy in his or her
parents rewarding themselves for all their
efforts.
19
20
SMILING HAS SEVERAL FUNCTIONS
AT THE SAME TIME
● Interface between intrapsychic and
interactive regulation:
● Expression of an internal state.
● Message on the relationship level.
● Specific evaluation of the actual situation
and specific relationship wish.
21
SMILING HAS DIFFERENT FUNCTIONS
22
DIFFERENT TYPES OF
SMILES
● Using FACS, 15 different types of smiles
have been identified (e.g., Ekman, 1982;
Bänninger-Huber & Rauber-Kaiser, 1989)
● differing in their appearance and
● differing in their function regarding affective
regulation.
23
AU 12: MUSCULAR BASIS
24
ZYGOMATICUS MAJOR
INNERVATION: AU12
25
FALSE SMILE AND FELT SMILE
● Phoney smile: AU12
● May misleadingly
indicate positive
emotions although
nothing or little is felt
● Felt smile: AU6+12
● Spontanous and
involuntary expression
of positive emotions
26
DIFFERENT TYPES OF MASKING
SMILES
● AU7+9+10+12
● Hides, controls and
dampens negative
emotions
● AU10+12
● Hides, controls and
dampens negative
emotions
27
DIFFERENT TYPES OF SMILES
● Dampened Smile:
AU6+12+17+24
● Dampens the
expression of positive
emotions
● Coordination smile:
AU12 asymmetric
● Signalizes agreement,
understanding, or
acknowledgement
28
DIFFERENT TYPES OF SMILES
● Contempt smile:
AU12+14
● Expresses contempt
● Puzzled smile:
AU4+12+25
● Communicates a
cognitive processes
such as lack of
understanding
29
CONCLUSION
● By differentiating important social signals such
as smiling FACS helps to better understand the
functions of nonverbal behaviors.
● This again is the basis of understanding
processes of emotion regulation in social
interactions in everyday situations as well as in
the clinical context.
30