an ethology-based catalogue of facial/vocal behaviour in infancy

Anim. Behav., 1977, 25, 95-107

AN ETHOLOGY-BASED CATALOGUE OF FACIAL/VOCAL BEHAVIOURIN INFANCY

BY GERALD YOUNG* & THERESE GOUIN DECARIEUniversity de Montreal

Abstract. The ethological approach is suggested as a fruitful research strategy in the study of howinfants express emotions . This approach led to the development of a large catalogue of facial/vocalbehaviour which was used in the systematic observation of 75 girl and boy infants, who in the lastquarter of the first year of life were placed in a series of standardized laboratory situations . Each of the42 facial expressions contained in the catalogue is precisely defined according to the expressive elementsof the brow, eyes, mouth and other facial regions . The vocalizations are also operationally defined .The possible ways that the facial expressions and vocalizations could be combined in the expressionof emotional behaviour in infants are discussed .

How? Which? What? When? Why? Theseare the five questions that can best summarizethe orientation of the research on emotions ininfancy. How do infants express emotions?Which emotions are basic or primary? Whatprovokes them? When in their development doinfants begin to express different emotions ;do emotions reach a peak with age and thendecline in intensity, or is there another trend?Why are emotions expressed in the way theyare, when they are, and why are they expressedat all?

The answer to the first question was sought inthe period of research on infant emotions up toapproximately 1945, but the question has beende-emphasized in the modern era . This is aserious deficit, since clear descriptions of distinctemotions would seem to be a necessary begin-ning toward establishing the validity of theoften doubted concept of emotions . Charlesworth& Kreutzer (1973) state that the descriptionsof infants' emotional expression have notqualitatively improved to any great extent sinceDarwin's monumental beginning 100 years ago(1872, 1877) . Recent opinion is that we do notknow enough to distinguish among the basicemotions in infancy (Sokoloff 1969 ; Ricciuti1970; Rheingold & Eckerman 1973 ; Shaffran &Gouin D6carie 1973).

The use of the ethological approach in thestudy of infant emotions seems to be a fruitfulresearch strategy that could serve to reduce ourignorance in this field by helping to clearlydifferentiate among expressions of basic emo-tions. Ethology requires the establishment of*Present address : Glendon College, York University,2275 Bayview Avenue, Toronto, Ontario, Canada M4N3M6 .

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ethograms or exhaustive lists of precise, opera-tionally-defined behaviour of each species innaturalistic situations and settings (Lorenz 1966 ;Hess 1970) ; and one of the basic assumptionsof ethology is that the establishment of suchcomplete lists is necessary for theorizing aboutbehaviour, especially with respect to its evolu-tionary origins (Blurton Jones 1972a) . Otherresearchers also have suggested the approachof ethology for the study of the human species(e.g . Chance 1967; Eibl-Eibesfeldt 1970), andethological studies of human adults (Hall 1966 ;Ekman, Friesen & Tomkins 1971 ; etc .), children(Grant 1969 ; Blurton Jones 1971 ; McGrew1972 ; etc .) and infants (Rheingold 1973 ; Young& Lewis 1975 ; Young & Wolff 1975 ; etc .)already have appeared . However, to ourknowledge, no researcher has evolved lengthychecklists of operationally-defined infant emo-tional behaviour or dealt with the expressionof infant emotions, per se, from an ethologicalperspective. The purpose of this report is todescribe the checklist of facial expressions andvocalizations (called facial/vocal behaviour)used in a study of emotions in infancy that isdescribed in detail elsewhere (Young 1973).

MethodsSubjects were observed in six standardizedsituations in a laboratory setting : (1) explorationof a novel room with the mother present, (2) playdirected by the mother, (3) toy removal andphysical restraint by the mother, (4) approachof a stranger with the mother present, (5)departure of the mother, and (6) reunion withthe mother. Six pre-test infants were video-taped in all six situations, and their behaviourwas relied on extensively in establishing the

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ANIMAL BEHAVIOUR, 25,

catalogue . The catalogue was further refined onabout thirty other pre-test infants and wasapplied to 40 experimental infants in thefollowing way. For each 5-s interval of each ofthe six situations, two sets of observers inseparate rooms independently coded the be-haviour of the infant being observed . One set ofthree naive observers judged the basic emotionbeing expressed (distress, anger, interest, fear orjoy), while two trained observers coded thefacial/vocal behaviour and body movements . Inanalysing the data, emotion judgments andethological observations were placed in parallel .No inter judge agreement percentages werecalculated for the ethological observations, inkeeping with some human ethologists who preferreplication to reliability in determining obser-vation quality (Blurton Jones 1972a ; Leach 1972) .

The final list of facial/vocal behaviour usedin the observations was chosen according to anumber of factors. (1) The facial/vocal behaviourmentioned in the many works performed in thepreceding 10 years, using one or more of thesix situations employed in the present obser-vations, was considered . However, many of thefacial expressions, in particular, that wereultimately included, were not found in theprevious literature. (2) Despite the value ofexamining just parts of the face independently,as Blurton Jones (1971), Grant (1969) andothers have undertaken, the various facialregions were described interdependently. Thisdescription was done for both practical con-siderations (the length of the checklist) andtheoretical ones . Although specific parts of theface can act independently of each other, theyusually are expressed in complexes, and even ifonly one part is moved (e.g. the eyes widen)it is still necessary to complement a descriptionof this movement by noting the regularity ofthe rest of the face, which thus functions as a`ground'. (3) The units of facial/vocal behaviourhad to be relevant to the nature of the obser-vations, the expression of emotions by infants inthe last quarter of the first year placed in sixparticular situations . Therefore, behaviour thatappeared in the subjects that had an apparentsocial, emotional or communicative function,and that concerned infants of the last quarterof the first year of life was included . Behaviourrelated only to older children and other emotions(e .g. a contemptuous sneer) were not included,nor was behaviour that the infants exhibitedwhich was not social, affective or communi-cative in nature (e .g. sneezing) .

Given these conditions, a catalogue of 42basic facial expressions and 10 basic vocaliza-tions was elaborated (see Table I) . This catalogueis a slightly expanded version of the one pres-ented in Young (1973) which consisted of 44basic units of behaviour. A major differencebetween the two catalogues is that in the presentone the facial expressions and vocalizations aredefined separately, whereas in Young (1973)they were grouped together . For example, cryface has been broken down into kidney-mouthface and square-mouth face, and the cry vocaliza-tion has been separated from the cry facialexpression and has been partitioned into softwail and wail. In keeping with these changes,the aggressive vocalization is now called harshwail. Eleven of the facial expressions and fiveof the vocalizations were judged positive inhedonic tone, the subjective (pleasure-unpleas-ure) aspect of emotional behaviour . Similarly,12 of the facial expressions and 3 of the vocal-izations can be evaluated negative in hedonictone. The remaining 19 facial expressions and 2vocalizations are neither clearly negative norpositive but are either neutral, undifferentiated,ambivalent or mixed. These facial behaviouralpatterns are called undifferentiated. Behaviourwas assigned hedonic tone-valences accordingto the approach to the study of emotions thatemphasizes dimensions of behaviour (Duffy1962 ; and especially with respect to infants,Ricciuti 1968) .

In seeking an approach to defining the facial/vocal behaviour ultimately chosen, the level ofcomplexity of the descriptions had to be neithertoo simple (general categories such as smile)nor too complex (e.g . electromyographic recor-dings of muscle movements) . Behaviour had to befully understood by one means of communicationin itself. Therefore, still photographs of facesand sonographs of vocalizations were consideredtoo static to capture the dynamism of behaviourexpressed over periods up to several seconds andthe variety of possibilities that any one writtendescription could allow. Blurton Jones (1971),Ekman et al . (1971), Grant (1969) and Thompson(1941) suggested the idea of dividing the faceinto its major regions (brow, eyes, mouth andother zones) ; we used them to organize the defini-tions of the various facial/vocal behaviour.Within each of the zones, the major expressiveelements (e.g. for the brow, the eyebrows andthe furrow between them) were delineated, wherenecessary, for each facial expression . Similarapproaches are found in the animal literature

FP 10 Slight open-mouthsmile

FP 11 Sparkle

Vocalizations (V)

VP I Babble

VP 2 Coo

VP 3 Laugh

VP 4 Positive vocalization

VP 5 Squeal

YOUNG & GOUIN D) CARIE : INFANT FACIAL/VOCAL BEHAVIOUR

(van Hooff 1967 ; Chevalier-Skolnikoff 1973 ;etc .) . These expressive elements were describedin terms of the forms, features, lines and shadowsthey create and not by their muscle movements .The ethological studies of the preschool child(Blurton Jones 1972b ; McGrew 1972 ; etc.)

Table I. The Catalogue of Facial/Vocal Behaviour

Hedonic tone

FU 10 Perplexed face

FU 11 Shy face

FU 12 Sigh

FU 13 Sober frown

FU 14 Sober stare

FU 15 Surprise face

FU 16 Tongue out

FU 17 Undifferentiated face

FU 18 Wide-eye stare

FU 19 Yawn

VU 1 Ambivalentvocalization

VU 2 Undifferentiatedvocalization

FN 10 Square-mouth face

FN 11 Tight-lip face

•

12 Tremble face

•

1 Harsh wail

•

2 Soft wail

•

3 Wail

presented good models of operationally-definedbehaviour. Darwin (1872, 1877), Wolff (1963,1966, 1969) and Ricciuti (1971) provided astarting point in research on infants . Theexpressive elements in each of the four majorregions of the face are now depicted .

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Postive (P) Undifferentiated (U) Negative (N)

Facial expressions (F)

FP I Brighten FU 1 Ambivalent face FN 1 Clenched-teeth face

FP 2 Close-mouth smile FU 2 Ambivalent smile FN 2 Disgust face

FP 3 Coy smile FU 3 Attentive face FN 3 Fear face

FP 4 O-mouth smile FU 4 Blink FN 4 Frown

FP 5 Open-mouth smile FU 5 Brow-raise stare FN 5 Grimace

FP 6 Play face FU 6 Detached face FN 6 Kidney-mouth face

FP 7 Positive face FU 7 Frozen Face FN 7 Negative face

FP 8 Semi-smile FU 8 Lip roll FN 8 Pout

FP 9 Shy smile FU 9 Normal face FN 9 Sad face

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ResultsBrowThere are essentially two basic movements

of the eyebrows . They can be raised to varyingdegrees, either wholly or only at the inward ends,an action which produces horizontal creases onthe forehead ; and they may be pulled towardeach other to various extents, an action thatcauses a vertical furrow between the eyes andon the lower part of the forehead . These move-ments can occur independently or together tovarying degrees so that a multitude of shapesof the eyebrows are possible. Movements ofthe brows can be mere flashes, especially theupward raising movement, or they can be heldin position for longer durations .Eyes

The eyes vary along several dimensions ofappearance: openness, glistening, wrinkling, etc .The eyes may vary in openness, depending on theposition of the eyelids . Varying with the size isthe amount of eyeball and white exposed. Ingeneral, four sizes are possible : large, regular,narrowed and closed. The eyes may possess aglistening quality due to lacrymal gland secretionwhich may be excessive and result in tearing .When associated with positive facial expressions,this glistening is called `sparkling' . When occur-ring with a negative expression, a `lacklustre'quality is noted . The corners of the eyes may bewrinkled with lines radiating outward. A pouchmay form under the eyes . These last two char-acteristics occur especially when the cheeksare raised and mouth-corners are retractedoutward and upward. The eyes may be fixedon a specific target, but this is rarely discussedin the definitions since almost all the expressionscan be accompanied by visual fixation. The eyesmay be purposefully held downward, sidewaysor upward. There may be an abnormal rate ofblinking. Either blinking is slower and spas-modically-opening eyes are observed, or it isfaster and rapid blinking is noted .Mouth

The mouth can be closed, partly open or fullyopen. It also can alternate among these possi-bilities so that a spasmodically open mouthcan be observed. It can take on a variety ofshapes, once open, and the tongue may protrudefrom the mouth once it is open, as well . Thelips may or may not touch the extended tongue,whose protrusion may be fleeting or prolonged .The tongue may dart about and change formonce extended. The lower teeth may be in their

normal position, clenched or jutted forward .When clenched, they may bite lips rolled intothe mouth. When the mouth is open the teethmay be exposed in varying amounts . The lipsmay be retracted laterally, partially or fully .They can also be raised or lowered at the mouthcorners. They can be rolled into the mouth overthe teeth, or conversely, they may be rolled out oreverted. The lips may also be pressed togetheror tremble. Together, these possibilities produceeither relaxed, partially tense or very tense lipsthat may or may not be pulled tight against theteeth. Finally, the mouth corners may tremble .Other Facial Regions

In the upper part of the face, the cheeks maybe bulged to varying degrees and they also maybe pulled upward or downward . Nasolabialfolds may form between the mouth cornersand the base of the nostrils . The nose may bewrinkled and the nostrils might be distended .In the lower part of the face, the chin might becrumpled or have a horizontal line or shadowrunning over it just under the mouth or showboth. The jaw may be dropped, jutted forward orclenched. Finally, the throat may have a bulge .In general, the head may assume various posi-tions such as being tilted to one side or downward .It also may be brought back . There may be ageneral muscle tenseness and facial reddeningor blanching.The expressive elements of the face are

evidently numerous . For further differentiationsthe reader can consult Grant (1969), BlurtonJones (1971), Brannigan & Humphries (1972),McGrew (1972), etc . In defining each of thefollowing 42 facial expressions, each of the just-mentioned expressive elements was considered .For any one definition, not all were needed,however .Vocalizations

As for vocalizations, they vary in pitch,intensity, duration and hedonic tone . Further-more, they can be described as smooth orirregular, soft or harsh, vowel-like, consonant-like, or both, and as derived from the back ofthe throat or not. The accompanying respirationcan vary as to inspiration involvement, expira-tion involvement, rate, depth, and role of pauses,if any .The Definitions of Facial/Vocal Behaviour

First for facial configurations and then forvocalizations, positive, negative, and undiffer-entiated behaviour is defined in alphabetical

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order. Definitions are frequently interdependent,as cross-references are made to facial expressionswhere particular expressive elements areepitomized .

FP 1 brightenBrow. The eyebrows are slightly raised and

pulled in toward the centre, giving them anarched appearance and causing a slight furrowbetween them, yet creating no evident hori-zontal forehead creases .

Eyes . The eyes are wide open and sparkle .Blinking may be slightly slower than usual .Mouth . The mouth is closed and there may be

a slight lateral and upward retraction, but thereis no lip biting, eversion or pressing together sothat the lips appear relaxed .

Other. As in play face (FP 6), except thejaw is not dropped .

FP 2 close-mouth smileBrow . As in normal face (FU 9) .Eyes. As in play face (FP 6) .Mouth . The mouth is kept closed while the

lips are retracted outward and upward, eitherfully or moderately . They are not rolled in oreverted out but are still slightly tensed .

Other. As in open-mouth smile (FP 5),except the jaw does not drop .

FP 3 coy smileBrow . The brows may be drawn slightly down

and in toward the centre, creating a slightfurrow between them .

Eyes. As in play face (FP 6), except thatnarrowing of the eyelids definitely occurs .Mouth. As in slight open-mouth smile (FP

10) .Other. As in open-mouth smile (FP 5),

except that a marked wrinkling of the bridgeof the nose occurs .

FP 4 0-mouth smileBrow. As in normal face (FU 9) .Eyes. As in play face (FP 6) .Mouth . The mouth is open but not as widely

as in play face . It has a round or `O' appearancewhich suggests that it might be a combinationof the play face and open-mouth smile . Onlypart of the upper teeth are visible. The lips areneither retracted outward, upward, downwardor pulled into the mouth or everted . Con-sequently, they are not tensed but relaxed .

Other. As in play face (FP 6), except the jawdrops, but not maximally, and the head is neverthrown back .

FP 5 open-mouth smileBrow. As in normal face (FU 9) .Eyes . As in play face (FP 6) .Mouth . The mouth is open but not as widely

as in play face. It has an oval shape along thehorizontal axis, unlike that in play face . Theteeth are almost fully visible and they are not inopposition, as can occur in ambivalent smile .The lips are fully retracted outward and upwardand are held tightly against the teeth . They arenot rolled in or out (everted) .

Other. The cheeks bulge prominently and arepushed high up toward the pouch under theeyes. The nasolabial fold is highly evident . Ahorizontal line is produced under the mouthdue to stretching tissue. The jaw drops but notmaximally as in play face . It does not jutforward as can occur in ambivalent smile .

FP 6 play faceBrow . As in normal face (FU 9) .Eyes. There is generally a sparkling of the

eyes due to lacrymal gland secretion. The outercorners of the eyes may be wrinkled . The eye-lids may be narrowed. There may be a pouchunder each eye (Blurton Jones 1971, pp . 386to 387) .Mouth . The mouth is widely opened at a fast

rate, giving it an oval appearance along thevertical axis . The teeth are not visible or areonly partly visible. The lips are not retractedoutward or are just slightly retracted . They arenot pulled up or down but may be slightlyrolled into the mouth.

Other. There is a bulging of the cheeks andforming of the nasolabial fold, but both ofthese aspects are greatly attenuated comparedto other smiles . There is no horizontal linebetween the mouth and chin and no nosewrinkling. The jaw drops maximally and thehead may be thrown back.

FP 7 positive faceBrow. As in normal face (FU 9) .Eyes . As in play face (FP 6) .Mouth and other. Variable, but do not lend

themselves to negative judgments but ratherto neutral or positive ones . Category for anypositive facial expression not classifiable else-where .

FP 8 semi-smileBrow. As in normal face (FU 9) .Eyes . As in play face (FP 6), except for the

sparkling .

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Mouth. The mouth is either closed or slightlyopen. The lips are retracted outward quicklyand fleetingly and are rarely retracted upwardas in other smiles .

Other. As in close-mouth smile (FP 2) .

FP 9 shy smileBrow. As in normal face (FU 9) .Eyes. The eyes may be directed downward

and are otherwise as in normal face (FU 9) .Mouth . As in close-mouth smile (FP 2),

except lip retraction outward and upward is onlymoderate .

Other . There is a bulging of the cheeks andforming of the nasolabial fold, but both of theseaspects are greatly attenuated compared toother smiles . There is no horizontal line bet-ween the mouth and chin and no nose wrinkling .The head is kept down and may be held side-ways as well .

FP 10 slight open-mouth smileBrow . As in normal face (FU 9) .Eyes . As in play face (FP 6).Mouth . The mouth is slightly opened and

assumes a crescent appearance. The upperteeth are partly or greatly visible . The lips arefully retracted outward and upward but are notrolled in or everted out . They are tensed againstthe teeth.

Other . As in open-mouth smile (FP 5) .

FP 11 sparkleBrow. The eyebrows may be slightly raised,

but they are generally relaxed .Eyes . As in brighten (FP 1) .Mouth . As in normal face (FU 9) .Other. As in normal face (FU 9) .

FU 1 ambivalent faceAny facial expression (excluding ambivalent

smile, defined separately below) with bothpositive and negative elements . This may mani-fest as a facial expression which has the appear-ance of a positive or negative expression, butwhich has key elements attenuated, or an out-right mixture of positive and negative elements,either simultaneously or in quick alternation .

FU 2 ambivalent smileBrow . As in norml face (FU 9) .Eyes . As in normal face (FU 9) . There is

none of the sparkling, narrowing and eye-corner wrinkling that is present during smiling(Blurton Jones 1971, p. 283) .Mouth . The mouth is either closed or slightly

open. The shape is not a crescent (as it is for

slight-open mouth smile) when the mouth isslightly open, because there is only lip retractionlaterally and not upward (Blurton Jones 1971,p. 386).

Other . The cheeks are full . There is a markednasolabial fold. The teeth may be in oppositiondue to a slight jutting forward of the jaw(Grant 1969, p . 528) ; this does not occur inpositive smiling. The jaw drops slightly when themouth is slightly open . A horizontal line isproduced under the mouth due to stretchingtissue .

FU 3 attentive faceBrow. There is a slight vertical furrow between

the eyebrows, for they are slightly drawn towardthe centre. There is no raising of the eyebrowsso that no horizontal creases on the foreheadappear. The eyebrows seem to slant down to-ward the centre .

Eyes . The size of the eye is variable ; it maybe regular, slightly larger than regular or slightlysmaller; otherwise as in normal face (FU 9) .Mouth. As in normal face (FU 9), except

that the lips may exhibit a slight retraction orinward roll when closed .

Other . As in normal face (FU 9) .

FU 4 blinkBrow. As in normal face (FU 9) .Eyes. As in normal face (FU 9), except,

according to McGrew (1972, p . 42), there is`a rapid, successive lowering and raising of theeyelids . It may occur singly or in short, repeatedseries, usually fewer than five.'Mouth . As in normal face (FU 9).Other. As in normal face (FU 9).

FU 5 brow-raise stareBrow. The eyebrows are raised and held,

giving them a curved appearance and creatinghorizontal creases on the brow . There is noinward movement of the eyebrows and novertical furrow .

Eyes. The eyes may be held wide open, but nosparkling, wrinkling at the comers and formingof pouches occurs under the eyes . Blinking maybe decelerated, and the head is definitely heldin its regular forward position . Visual fixationon a specific target is characteristic of thisexpression.Mouth . As in normal face (FU 9) .Other. As in normal face (FU 9) .

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FU 6 detached faceBrow. As in normal face (FU 9), except the

eyebrows may be slightly raised and arched, butno horizontal forehead creases are evident.Eyes . The eyes are generally held wide open .

There is no increased sparkling or eye-cornerwrinkling . No pouch forms under the eyes .The gaze is generally fixed yet it gives the im-pression of going through the object of fixation .Mouth. As in normal face (FU 9) .Other . As in normal face (FU 9) .

FU 7 frozen faceThis facial expression can occur in the context

of several others (e.g . normal face, wide-eyestare) but it generally has three extra elements(1) a general muscle tenseness, (2) an immobilefixed head, and (3) a visual fixation on a specifictarget .FU 8 lip rollBrow . As in normal face (FU 9) .Eyes . As in normal face (FU 9) .Mouth . The mouth may or may not be slightly

open. One or both lips may be rolled back intothe mouth over the teeth. They also may bemoderately retracted especially when the mouthis open. The lips are tense and the one(s) inthe mouth may be bitten by the teeth .

Other . The cheeks may bulge if the mouth isopened enough . Along with this, the naso-labial folds would manifest. The jaw may dropor jut forward or do both .FU 9 normal faceBrow . The muscles are relaxed. There are no

horizontal or vertical creases, as the brows arein their regular position .

Eyes . The eyes are open at their normal size,as the lids are in their regular position. There isno sparkling or lacklustre quality ; lacrymalgland secretion is normal . There is no wrinklingat the corners of the eyes, nor are pouchesformed under them . There is no intense visualfixation of a specific target, nor is blinking at anirregular pace . The direction of gaze is not heldfor long durations either downward, sidewaysor upward, but is forward most of the time.Mouth . The lips are generally together and

relaxed, as the mouth is closed ; however, itcan be slightly open . In this case, the teeth arenot visible and the lips are not retracted lateral-ly, upward or downward, nor are they pulledinto the mouth, everted outward, pressedtogether or pressed against the teeth . They seem

relaxed. There is no lip or mouth-cornertrembling.

Other. There is no evident bulging of thecheeks nor movement of them upward or down-ward. The nasolabial fold is just barely per-ceptible. The nose does not wrinkle nor do thenostrils flare. The chin does not crumple nordoes a marked horizontal line form above it.The jaw does not move. The throat does notbulge. The head is kept upright and does nottilt sideways, forward or backward . There isno general muscle tenseness nor facial reddeningor blanching.McGrew (1972, p . 46) aptly points out that

there is much individual variation amonginfants' normal faces, which are not always assmooth as the description given . For example,in one infant observed in the study describedabove, the eyebrows were slightly drawn in-ward for the whole 45-min period he was in thelaboratory .FU 10 perplexed faceBrow . There is a deep vertical furrow between

the eyebrows which are drawn fully inward .They are not raised and give the impression ofslanting down extensively toward the centre .There is no horizontal forehead creasing.Eyes. The eyelids are narrowed. There is a

wrinkling at the corners of the eyes ; otherwiseas in normal face (FU 9) .Mouth. As in normal face (FU 9).Other. As in normal face (FU 9) .

FU 11 shy faceBrow. As in normal face (FU 9) .Eyes. As in normal face (FU 9), except that

the eyes may be directed downward or side-ways, or in both directions .Mouth . As in normal face (FU 9), except

that the lips may be slightly retracted laterallyand pressed together.

Other . As in normal face (FU 9), except thatthe head may be kept down and held sideways .

FU 12 sighBrow . As in normal face (FU 9) .Eyes. As in normal face (FU 9).Mouth . As in normal face (FU 9), except

the mouth is partially open .Other. As in normal face (FU 9) .A deep inhalation and exhalation occurs

with no audible sound generally uttered,although a short, soft, smooth neutral sound,vowel-like in character, of moderate pitch andlow intensity can accompany sigh .

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FU 13 sober frownBrow . There is a pronounced vertical furrow

between the eyebrows which are drawn greatlyinward. The inner corners are generally slightlyraised upward, leaving some horizontal furrowson the forehead, which gives the eyebrow anarched appearance toward the outer end yet aslight curl upward at the inner end .

Eyes. As in normal face (FU 9) .Mouth . As in normal face (FU 9) .Other . As in normal face (FU 9) .

FU 14 sober stareBrow . There may be a slight vertical furrow

between the eyebrows which are drawn slightlyinward and upward at the inner ends, leavingthem slightly arched near the outer ends yetcurled up at the inner ends. No horizontalforehead creases are evident .

Eyes. The eyes are held wide open but areotherwise as in normal face (FU 9).Mouth. As in normal face (FU 9) .Other. As in normal face (FU 9) .

FU 15 surprise faceBrow . There may be a quick raising and

lowering of the eyebrows resulting in horizontalcreases on the forehead, but these flashes arehard to see because of their speed and the thinor absent hair of the eyebrows. There is noinward movement of the brows and no verticalfurrowing. The eyebrow during a flash movementis arched .

Eyes. As in normal face (FU 9), except theeyelids may be held wide open.Mouth. As in normal face (FU 9), except

that the mouth may be opened wider than usual .Other . As in normal face (FU 9), except

that the jaw may be lowered if the mouthopens wider than usual. The general muscletonus may also be rigid, producing an 'im-mobile' (Charlesworth & Kreutzer 1973, p . 132)appearance.

The surprise face is not distinguished froma startle. There is no one aspect definitelycharacterizing the former, and therefore it ishard to reliably observe. There may be a suddenand quick inspiration accompanying it which isfollowed by a pause in breathing or a slowexpiration .FU 16 tongue out

Brow. As in normal face (FU 9) .Eyes. As in °normal face (FU 9) .Mouth . The mouth is slightly, moderately or

fully open . The lips may or may not be laterally

retracted at the corners, and one or both may ormay not be pulled back into the mouth . Thetongue is protruded between the lips . Only thetip may project, or the tongue may be maxi-mally protruded. There may or may not becontact between the lips and tongue. The tonguemay dart about or move in and out of the mouth .

Other. The cheeks may bulge and the naso-labial fold may form . The horizontal line underthe mouth may be evident. The jaw dropsslightly.FU 17 undifferentiated face

Brow, eyes, mouth and other facial regionsare variable but do not lend themselves topositive or negative judgments . Any undiffer-entiated facial expression not classifiable else-where .

FU 18 wide-eye stareBrow. As in normal face (FU 9) .Eyes . The eyelids are held wide apart, ex-

posing a greater area of the eye ; otherwise as inbrow-raise stare (FU 5) .Mouth. As in normal face (FU 9) .Other. As in normal face (FU 9) .

FU 19 yawnBrow . The eyebrows are slightly drawn

toward the centre, causing a vertical furrowbetween them .Eyes . The eyes may be partially or fully

closed, and they may water, resulting immedi-ately in twinkling (McGrew 1972, p. 68) .Wrinkles form at the corners .Mouth . The mouth opens widely and slowly,

assumes a rounded or oval shape and thencloses swiftly . While open. the teeth and tonguemay be visible. The lips are not retracted lateral-ly, downward or upward and are not everted,rolled into the mouth or pressed against theteeth. Nevertheless, they are stretched tense bythe wide open mouth.

Other. The cheeks are pulled down. The jawis dropped . A swelling of the throat may bevisible during the vocalization and respiration,typical of yawning. The head may tilt back .There is a general muscle tenseness .

There is a slow high-volume inhalation andfast exhalation which begins with the openingof the mouth . A short, moderately-pitched, low-intensity characteristic sound may accompanythis exhalation . It is soft and vowel-like innature .

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FN 1 clenched-teeth faceBrow. As in perplexed face (FU 10), except

the eyebrows appear to be drawn downwardas well as inward .Eyes . As in frown (FN 4) .Mouth . The mouth is open and assumes a

squared appearance due to a squaring of theupper lip . The teeth are wholly visible and aretightly clenched . The lips are fully retractedlaterally but are not lowered or raised . Theyare not rolled in or out and appear moderatelytensed . There is no lip or mouth corner trembling .

Other . There are moderate cheek bulges andnasolabial folds . The nose may be wrinkledand the nostrils may be flared . The chin iscrumpled and the line just above it is greatlyaccentuated . The jaw is jutted forward. Theremay be general muscle tenseness and facialreddening.

FN 2 disgust faceBrow. As in tremble face (FN 12) .Eyes . The eyes are extremely narrowed or

closed. If in the latter position, they may openspasmodically. Their corners are extremelywrinkled. There is a marked pouch under them .There may be rapid blinking. The skin aroundthe eyes has an overall impression of beingespecially tensed .Mouth. As in grimace (FN 5) .Other. As in grimace (FN 5), except that

wrinkling at the bridge of the nose definitelyoccurs .FN 3 fear faceBrow. As in sober frown (FU 13) .Eyes . The eyes are held wide open but are

otherwise as in normal face (FU 9) .Mouth. The mouth is opened and assumes a

squared appearance due to a squaring of theupper lip. There is moderate lateral lip re-traction, and a slight downward pull of themouth corners may occur. The lips are not rolledin or out, are not pressed together or against theteeth and do not tremble . The teeth may bepartially visible.

Other . As in frown (FN 4), except the jawdefinitely drops a bit .FN 4 frownBrow. As in perplexed face (FU 10) .Eyes . The eyelids are narrowed . Wrinkling

at the corners occurs. Pouches under the eyesmay be evident .Mouth . The lips are partially retracted but not

raised or lowered at their corners . They are not

rolled in or out nor pressed together. The mouthis closed or partially open, exposing part of theteeth. There is no lip or mouth corner trembling .

Other . The cheeks are partially bulged. Thenasolabial fold appears slightly . The horizontalline below the mouth is evident. The jaw maydrop a bit if the mouth opens . There may begeneral muscle tenseness and facial reddening .

FN 5 grimaceBrow. As in normal face (FU 9) .Eyes. As in frown (FN 4) .Mouth. As in frown (FN 4), except lip re-

traction laterally is maximal, and the teeth maybe opposed .

Other. The cheeks have prominent bulges .The nasolabial fold is marked . The nose may bewrinkled. The horizontal line under the mouthclearly forms. The jaw is dropped and may jutforward if teeth-opposition occurs. There maybe general muscle tenseness and facial reddening .

FN 6 kidney-mouth faceBrow. As in sad face (FN 9).Eyes . The eyes are generally closed but open

spasmodically . There are generally tears, but ifthey are not present and the eyes are open, theeyes have a lacklustre appearance . The cornersof the eyes are wrinkled. There are definitepouches formed under them.Mouth . The mouth is generally open but it

may transiently close. When the mouth opensthe teeth are visible and the shape is kidney-like. The mouth corners are pulled out anddownward, as the lips are retracted laterally anddownward. The lower lip may be slightly evertedand the lips appear tense . Lower lip and mouthcorner trembling may occur.

Other . As in clenched-teeth face (FN 1),except the cheeks are pulled downward and thejaw is not jutted forward .

FN 7 negative faceBrow, eyes, mouth and other facial regions

are variable, but they cannot be judged positiveand at least one seems negative . A generalcategory for any negative facial expression notlisted elsewhere.

FN 8 poutBrow. As in attentive face (FU 3) .Eyes. As in normal face (FU 9), except the

eyes may be smaller than usual .Mouth . The lower lip or both lips protrude

forward, since the lower lip is pushed up andout. This is also accompanied by pressing the

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lips together, slight lip retraction and a down-ward pull at the mouth corners . The mouthremains closed .

Other. The jaw may be pushed forward . Thechin acquires a crumpled appearance. Thehorizontal line under the mouth is accentuated .

FN 9 sad faceBrow . The forehead is creased horizontally

as the inner ends of the eyebrows are raised .At the same time a vertical furrow appearsbetween the eyebrows, since they are retractedinward. The eyebrows seem to slope from theinner ends down toward the outer ends . Oftenthere is just a vertical furrow and inward re-traction of the eyebrows .

Eyes . The eyes vary in size but remain open .They may lack lustre or be covered in a film oftears. There may be wrinkling at the comers ofthe eyes. A pouch does not form under eacheye. Blinking is normal.

Mouth. The mouth may be closed or slightlyopen and, in either case, has an inverted crescentappearance. The teeth are not visible . The lipsare not retracted laterally but are retracteddownward. The lower lip may be slightly evertedand conspicuous . The lips are not pressedtogether nor do they appear too tense . There isno mouth corner or lip trembling . Blurton Jones(1971, p . 387) adds that

`the mouth corners are lower than the lip,or if the mouth is open they are nearer to thelower lip than the upper lip. Often, this isaccompanied by a shadow running diagonallyoutwards and down from near the mouthcorner and a bulge beside it .'Other. The chin may acquire a crumpled

appearance and have a horizontal line just over it .The jaw may be slightly lowered if the mouth isslightly open. There may be general muscletenseness and facial reddening .

FN 10 square-mouth faceBrow . As in sad face (FN 9) .Eyes. As in kidney-mouth face (FN 6) .Mouth . The mouth is generally open, but it

may transiently close. When open, the teeth arevisible and the shape is square due to a squaringof the upper lip . The lips are retracted laterallyto a great extent and perhaps slightly downwardas well. They are not rolled in or everted . Theyare pulled against the teeth and appear tense .

Other . As in grimace (FN 5), except that thenostrils may flare and the jaw does not jutforward .


FN 11 tight-lip faceBrow . As in clenched-teeth face (FN 1) .Eyes . As in frown (FN 4) .Mouth . The mouth is closed and the lips are

tightly pressed together . They may be slightlyretracted laterally but not upward or downward .They may be slightly curled in toward the mouthbut not into it. They are not everted nor do theytremble .

Other. The line above the chin may beaccentuated. The nose may wrinkle and thenostrils may flare . There may be general muscletenseness and facial reddening .

FN 12 tremble faceBrow . There is a vertical furrow between the

eyebrows due to a moderate inward retractionthey make No horizontal forehead creasesor raising of the brows occur . The eyebrowsappear as straight lines except for the downwardcurl of the outer ends .Eyes. As in sad face (FN 9) .Mouth. As in sad face (FN 9), except there is

lip and mouth corner trembling and perhaps agreater lip eversion at times .

Other . As in sad face (FN 9) .

VP 1 babbleThe vocalization is a low intensity, moderately

pitched soft-sounding sequence of consonant-vowel combinations (e.g . ba-ba, da-da) which isgenerally pleasurable to hear . The sounds areproduced during a prolonged expiration and inquick sequence .

VP 2 cooA sustained moderate- to high-pitched positive

vowel sound of low to moderate intensitycharacterizes a coo . It has a smooth onset, canbe described as soft and pleasurable to hear,and is produced during a prolonged expiration .

VP 3 laughThere is usually a rapid repetition of short

expirations accompanied by positive sounds,vowel-like in nature (e .g. ha-ha-ha). A longinspiration often follows . This positive soundcan vary (e.g . ha-ah) but is consistently moderatein pitch, harshness, and intensity and so ispleasurable to hear. The sound derives fromdeep in the throat .

VP 4 positive vocalizationAny vocalization that seems positive and

cannot be classified elsewhere .


1 05

VP 5 squealAn extremely high-pitched moderately intense

sound of variable duration, which is soft andpositive, typifies a squeal. It can be vowel-consonant in character but is usually onlyvowel-like. It is produced during an extendedexpiration .VU 1 ambivalent vocalization

Any vocalization that has both positive andnegative elements either blended or in quickalternation .VU 2 undifferentiated vocalization

Any vocalization that seems neither clearlypositive nor negative . For example, a babblecan be undifferentiated .VN 1 harsh wail

The vocalization may begin with the holdingof the breath. There is a sudden onset of arhythmic piercing sound of a definite negativequality, irritating and sometimes painful tohear. It is both loud in intensity and extremelyhigh and discordant in pitch (more so than inwail). The sound is generally a vowel sound(e.g. short a) . It is emitted during a long expira-tion. After the cry there is an inspiration . Veryshort pauses occur before and after each in-spiration separating the inspirations from theexpirations. The crying sound is repeated afterthe pause following each inspiration . The crymay come from very deep in the throat andappear stuttered. The air is forced through thevocal chords at a faster rate than in wail creatinga turbulence which is at the source of its harshnature (Wolff 1969, p. 84) .

VN 2 soft wailThe vocalization may begin with the holding

of the breath . A rhythmical wailing sound of anegative but soft quality suddenly begins . It ismoderate in intensity and pitch and is a vowelsound (e.g. short a). It is produced during along expiration . Very short pauses occur beforeand after each inspiration, separating the in-spirations from the expirations . The sound isrepeated after the pause following each in-spiration .VN 3 wail

The vocalization may begin with the holdingof the breath. There is a sudden onset of arhythmical wailing sound of a definite negativequality, sometimes painful to hear . It is loudin intensity, and high and discordant in pitchalthough it is not excessively harsh . It is generally

a vowel sound (e.g . short a, cu-ah, Bridges1932 ; long a, short e, Leach 1972). The cryoccurs during a long expiration. After the cry,there is an inspiration which may be interferedwith by breathy noises . Very short pauses occurbefore and after each inspiration separatingthe inspirations from the expirations . The cryingsound repeats after the pause following eachinspiration . The vocalization given owes muchto the accounts of Bridges (1932), Rheingold(1969), Wolff (1969), and Leach (1972) .

DiscussionThese 42 facial expressions and 10 vocalizationsare hypothesized to combine in numerous waysin the expression of emotional behaviour ininfants. For positive facial/vocal behaviour,laugh primarily occurs in conjunction with playface but can also be manifested with open-mouthsmile, 0-mouth smile and slight open-mouthsmile. Babble, coo, squeal and positive vocaliza-tion can occur with either open-mouth smile,slight open-mouth smile, brighten, sparkle,coy smile or positive face . Positive facial/vocalbehaviour can either be continual, staccatoor single. As for undifferentiated facial/vocalbehaviour, ambivalent vocalization can occureither with normal face, ambivalent smile,ambivalent face or undifferentiated face, whileundifferentiated vocalization can manifest withthe first and last of these options. Any undiffer-entiated facial/vocal behaviour can be eithercontinual, staccato or single.

The case for negative facial/vocal behaviouris somewhat more complex . Sad face, trembleface, frown, grimace, pout and fear face can beaccompanied by either soft wails or wails, butonly as single sounds. Disgust face, clenched-teeth face and tight-lip face can manifest witheither wails or harsh wails but again only assingle sounds . Kidney-mouth face, square-mouthface and negative face can occur with any ofthe three wails and at five different levels : high,medium and low intensity continual vocaliza-tions, and staccato and single sounds. All ofthese possible combinations sum to 163 . Whetherthe infant actually uses all of them, and theconditions in which they manifest, can be subjectto future research . The answers to these questionswould help us to better understand the rela-tionship between facial expression and vocaliza-tion. Is the latter an extension of affect, a re-dundant or uncertainty-reducing signal, aseparate system, or is it related to facial expres-sion in all these or in different ways?

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The catalogue of facial/vocal behaviour listedhere probably includes the most salient ininfancy; however, it is limited in comparisonto the richness of emotional expression thatinfants possess . For example, the catalogueconcerns units of behaviour ; it considers be-haviour individually. Behaviour occurs in pat-terns (sequences and combinations) of unitsand any description of infant behaviour mustcome to appreciate the role of these patterns .Evidence for their importance can be foundin Young (1973) and in Young & Gouin D6carie(1974) who described the results of the studyoutlined above in which the catalogue of thepresent report was used .

During judgments of distress in the departureof the mother situation, infants manifested avariety of body movements and facial/vocalbehaviour. For what concerns us here, thefacial/vocal behaviour, kidney- or square-mouthed faces accompanied by wails or , softwails (i.e. what we call crying or whimpering)was the most predominant behaviour, and kidney-or square-mouth faces without any wailing(the cry face) or with harsh wails (harsh crying)also occurred frequently . Finally, the sad facewas also expressed often for distress . However,none of this behaviour in itself characterizeddistress, when distress was compared to angerevoked during the frustration by the mothersituation . All distress behaviour was observedto some extent during judgments of anger aswell, yet various sequences involving it wereassociated solely with either one emotion or theother. Distress, for example, was characterizedby the following two types of sequence : (1) oneof the cry faces preceding a cry, and (2) a crychanging to a harsh cry. In general, the studyshowed that patterns (sequences and combina-tions) of behaviour units, more so than theircomponent units, served to differentiate theexpression of distress and anger . The nature ofthese results on some infant emotions suggeststhat the ethological method, with the detail itgives to expressive elements, can help elucidatebasic emotions phenomenologically and, conse-quently, ethology can help lead to a clearerconceptual grasp of this often confusing areaof research .

This article is also limited in its failure toanswer the question `why?' . Why does thehuman infant express this behaviour? Tinbergen(1951) argued that such a question really hasfour components: (1) the why of causation,(2) the why of ontogenesis, (3) the why of


function, and (4) the why of evolution . Abeginning along this line for the first two com-ponents of the question has been begun byYoung (1973) but only in the limited contextof the study described above . However, thesecond two aspects have not been considered,although Blurton Jones (1972c), Grant (1969),McGrew (1972) and others have begun to do sofor older children . Despite these deficits, thedescribed catalogue of facial/vocal behaviourin infancy can be applied with modification andextension to observations of infants or oldersubjects when social, affective and/or communi-cative behaviour is being studied .

AcknowledgmentsThis article is based on a doctoral dissertationby Gerald Young, presented to the Departmentof Psychology at Universite de Montreal inpartial fulfilment of requirements for the Ph .D .degree. He would like to express his thanks tomembers of his dissertation committee : DrDavid Belanger, Dr Gert Morgenstern and DrMireille Mathieu . The research was supportedby a National Research Council of CanadaBursary to Gerald Young and Canada CouncilGrant No. S-71-0680 to Therese Gouin Decarie .The authors wish to thank Dr Ruth SolomonShaffran, Dr Michael Lewis and Dr JeanetteHaviland for their help in revising earlier draftsof the manuscript, and Mrs Helene Novak-Lamirande for having ably served as a researchassistant .

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(Received 3 February 1975 ; revised 17 October 1975 ;MS. number: A1668)

an ethology-based catalogue of facial/vocal behaviour in infancy

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