The Duchenne Smile and Persuasion

We investigated persuasiveness as a social outcome of the ability to produce a deliberate Duchenne smile in a role-play task and of a participant’s use of a Duchenne smile while persuading someone in a live interaction. Participants were tasked with persuading an experimenter to drink a pleasant and unpleasant tasting juice as well as not drink a pleasant and unpleasant juice while being videotaped. Participants’ deliberate Duchenne smiling ability was measured by asking participants to smile while acting out “genuine happiness” and also to mask imagined negative affect with a smile. Smiles in the deliberate Duchenne smiling task and the persuasion task were coded for presence of the Duchenne marker, and naïve viewers of the persuasion task made ratings of how pleasant they thought the juice was. Results showed further evidence that a sizeable minority of people can deliberately produce a Duchenne smile and showed that those with this ability are more persuasive. When persuading to drink the pleasant tasting juice, the correlation between the ability to produce a deliberate Duchenne smile and persuasion was partially due to the use of the Duchenne smile while persuading, but this was not the case with the unpleasant tasting juice. When persuading to drink the unpleasant juice, participants who could deliberately put on the Duchenne smile were more persuasive but their persuasiveness was not the result of using a Duchenne smile during the persuasion task.     

Infant Smiling Dynamics and Perceived Positive Emotion

To better understand early positive emotional expression, automated software measurements of facial action were supplemented with anatomically based manual coding. These convergent measurements were used to describe the dynamics of infant smiling and predict perceived positive emotional intensity. Over the course of infant smiles, degree of smile strength varied with degree of eye constriction (cheek raising, the Duchenne marker), which varied with degree of mouth opening. In a series of three rating studies, automated measurements of smile strength and mouth opening predicted naïve (undergraduate) observers’ continuous ratings of video clips of smile sequences, as well as naïve and experienced (parent) ratings of positive emotion in still images from the sequences. An a priori measure of smile intensity combining anatomically based manual coding of both smile strength and mouth opening predicted positive emotion ratings of the still images. The findings indicate the potential of automated and fine-grained manual measurements of facial actions to describe the course of emotional expressions over time and to predict perceptions of emotional intensity.     

Gender-based expectancies and observer judgments of smiling

Beliefs about gender differences in smiling were measured by asking college students to rate how much they believed hypothetical women and men smile. Women were believed to smile more than men. Individual differences in this belief did not affect subsequent scoring of smiles, whether scored by counting the number of smiles exhibited by videotaped male and female targets or by rating the amount of smiling exhibited. An expectation about gender differences in smiling was experimentally induced, either that women smile more than men or that there is no gender difference in smiling. This expectation did not affect subsequent scoring of smiles, regardless of scoring method and regardless of whether the expectation was induced as a casual aside or in more formal instructions. In all conditions female targets were observed to smile more than male targets. Rating produced larger target gender effects than counting, but this could have been due to the nature of the rating process rather than observer bias.The authors gratefully acknowledge the assistance of Thomas Leahy and Joe Pieri in data collection, and of Cliff Brown and an anonymous reviewer for their comments on an earlier version of this paper. Miles Patterson served as Action Editor for this article.     

A New Perspective on Neonatal Smiling: Differences Between the Judgments of Expert Coders and Naive Observers

To better understand the form and recognizability of neonatal smiling, 32 newborns (14 girls; M = 25.6 hr) were videorecorded in the behavioral states of alertness, drowsiness, active sleep, and quiet sleep. Baby Facial Action Coding System coding of both lip corner raising (simple or non‐Duchenne) and lip corner raising with cheek raising (Duchenne smile) was followed by a smile recognition task using 48 naive observers. Both types of smiles were detected in all behavioral states. Lip corner raising with cheek raising (Duchenne smiling) tended to predominate in active (rapid eye movement) sleep, suggesting a potential tie to early constituents of emotion. A significant portion of the typically briefer lip corner raising distinguished by expert coders was not recognized as smiling by the naive observers. These briefer actions may represent a motor phenomenon idiosyncratic to the neonatal period.     

Facial Mimicry of Spontaneous and Deliberate Duchenne and Non-Duchenne Smiles

Increasing evidence suggests that Duchenne (D) smiles may not only occur as a sign of spontaneous enjoyment, but can also be deliberately posed. The aim of this paper was to investigate whether people mimic spontaneous and deliberate D and non-D smiles to a similar extent. Facial EMG responses were recorded while participants viewed short video-clips of each smile category which they had to judge with respect to valence, arousal, and genuineness. In line with previous research, valence and arousal ratings varied significantly as a function of smile type and elicitation condition. However, differences in facial reactions occurred only for smile type (i.e., D and non-D smiles). The findings have important implications for questions relating to the role of facial mimicry in expression understanding and suggest that mimicry may be essential in discriminating among various meanings of smiles.     

Felt,false, and miserable smiles

Theoretically based distinctions linked to measurable differences in appearance are described for three smiles: felt smiles (spontaneous expressions of positive emotion); false smiles (deliberate attempts to appear as if positive emotion is felt when it isn't); and, miserable smiles (acknowledgements of feeling miserable but not intending to do much about it). Preliminary evidence supports some of the hypotheses about how these three kinds of smile differ.This research was supported by a grant (MH 11976) and a Research Scientist Award (MH 06092) from the National Institute of Mental Health. We are grateful to Maureen O'Sullivan for her suggestions on this report.     

Movement Differences between Deliberate and Spontaneous Facial Expressions: Zygomaticus Major Action in Smiling

Previous research suggests differences in lip movement between deliberate and spontaneous facial expressions. We investigated within participant differences between deliberately posed and spontaneously occurring smiles during a directed facial action task. Using automated facial image analysis, we quantified lip corner movement during periods of visible Zygomaticus major activity. Onset and offset speed, amplitude of movement, and offset duration were greater in deliberate smiles. In contrast to previous results, however, lip corner movement asymmetry was not greater in deliberate smiles. Observed characteristics of deliberate and spontaneous smiling may be related to differences in the typical context and purpose of the facial signal. Karen L. Schmidt, Zara Ambadar, Jeffrey F. Cohn, and L. Ian Reed are affiliated with the University of Pittsburgh, Pittsburgh, PA 15260, USA. Jeffrey F. Cohn is also affiliated with the Carnegie Mellon University, Pittsburgh, PA 15260, USA. This research was supported by NIMH Grants MH15279 and 167376 to Karen L. Schmidt, and NIMH Grant MH 51435 to Jeffrey F. Cohn. We gratefully acknowledge the assistance of Adena Zlochower in digitizing videotape used in this analysis and Rachel Levenstein in the analysis of data described in this paper. Address correspondence to Karen L. Schmidt, University of Pittsburgh, 121 University Pl, Pittsburgh, PA 15260, USA; E-mail: kschmidt@pitt.edu     

The Development of Anticipatory Smiling

When do infants begin to communicate positive affect about physical objects to their social partners? We examined developmental changes in the timing of smiles during episodes of initiating joint attention that involved an infant gazing between an object and a social partner. Twenty‐six typically developing infants were observed at 8, 10, and 12 months during the Early Social‐Communication Scales, a semistructured assessment for eliciting initiating joint attention and related behaviors. The proportion of infant smiling during initiating joint attention episodes did not change with age, but there was a change in the timing of the smiles. The likelihood of infants smiling at an object and then gazing at the experimenter while smiling (anticipatory smiling) increased between 8 and 10 months and remained stable between 10 and 12 months. The increase in the number of infants who smiled at an object and then made eye contact suggests a developing ability to communicate positive affect about an object.     

Children’s Nonverbal Displays of Winning and Losing: Effects of Social and Cultural Contexts on Smiles

We examined the effects of social and cultural contexts on smiles displayed by children during gameplay. Eight-year-old Dutch and Chinese children either played a game alone or teamed up to play in pairs. Activation and intensity of facial muscles corresponding to Action Unit (AU) 6 and AU 12 were coded according to Facial Action Coding System. Co-occurrence of activation of AU 6 and AU 12, suggesting the presence of a Duchenne smile, was more frequent among children who teamed up than among children who played alone. Analyses of the intensity of smiles revealed an interaction between social and cultural contexts. Whereas smiles, both Duchenne and non-Duchenne, displayed by Chinese children who teamed up were more intense than those displayed by Chinese children who played alone, the effect of sociality on smile intensity was not observed for Dutch children. These findings suggest that the production of smiles by children in a competitive context is susceptible to both social and cultural factors.     

Automated measurement of infant and mother Duchenne facial expressions in the Face-to-Face/Still-Face

Although still-face effects are well-studied, little is known about the degree to which the Face-to-Face/Still-Face (FFSF) is associated with the production of intense affective displays. Duchenne smiling expresses more intense positive affect than non-Duchenne smiling, while Duchenne cry-faces express more intense negative affect than non-Duchenne cry-faces. Forty 4-month-old infants and their mothers completed the FFSF, and key affect-indexing facial Action Units (AUs) were coded by expert Facial Action Coding System coders for the first 30 s of each FFSF episode. Computer vision software, automated facial affect recognition (AFAR), identified AUs for the entire 2-min episodes. Expert coding and AFAR produced similar infant and mother Duchenne and non-Duchenne FFSF effects, highlighting the convergent validity of automated measurement. Substantive AFAR analyses indicated that both infant Duchenne and non-Duchenne smiling declined from the FF to the SF, but only Duchenne smiling increased from the SF to the RE. In similar fashion, the magnitude of mother Duchenne smiling changes over the FFSF were 2–4 times greater than non-Duchenne smiling changes. Duchenne expressions appear to be a sensitive index of intense infant and mother affective valence that are accessible to automated measurement and may be a target for future FFSF research.     

Differential Reliance on the Duchenne Marker During Smile Evaluations and Person Judgments

When evaluating the smiles of other people (regarding amusement, authenticity, spontaneity, or intensity), perceivers typically rely on Orbicularis oculi activity that causes wrinkles around a target’s eyes. But does this so-called Duchenne marker also impact more generalized judgments of person characteristics (e.g., regarding a target’s attractiveness, intelligence, dominance, and trustworthiness)? To address this issue, the current study asked participants to provide the above smile evaluations and person judgments for a series of Duchenne and non-Duchenne smiles. The results showed that smile evaluations uniformly increased during Duchenne marker presence. The marker’s effect on person judgments, in contrast, was judgment dependent. While attractiveness, dominance and intelligence ratings showed the expected enhancement, trustworthiness ratings remained unaffected by the facial cue of interest. The findings suggest that the Duchenne marker’s role as a cue of social relevance during target perception depends on the type of person inference under consideration.     

Adult Perceptions of Positive and Negative Infant Emotional Expressions

Adults' perceptions provide information about the emotional meaning of infant facial expressions. This study asks whether similar facial movements influence adult perceptions of emotional intensity in both infant positive (smile) and negative (cry face) facial expressions. Ninety‐five college students rated a series of naturally occurring and digitally edited images of infant facial expressions. Naturally occurring smiles and cry faces involving the co‐occurrence of greater lip movement, mouth opening, and eye constriction, were rated as expressing stronger positive and negative emotion, respectively, than expressions without these 3 features. Ratings of digitally edited expressions indicated that eye constriction contributed to higher ratings of positive emotion in smiles (i.e., in Duchenne smiles) and greater eye constriction contributed to higher ratings of negative emotion in cry faces. Stronger mouth opening contributed to higher ratings of arousal in both smiles and cry faces. These findings indicate a set of similar facial movements are linked to perceptions of greater emotional intensity, whether the movements occur in positive or negative infant emotional expressions. This proposal is discussed with reference to discrete, componential, and dynamic systems theories of emotion.     

How the Experience of Emotion is Modulated by Facial Feedback

The facial feedback hypothesis states that facial actions modulate subjective experiences of emotion. Using the voluntary facial action technique, in which the participants react with instruction induced smiles and frowns when exposed to positive and negative emotional pictures and then rate the pleasantness of these stimuli, four questions were addressed in the present study. The results in Experiment 1 demonstrated a feedback effect because participants experienced the stimuli as more pleasant during smiling as compared to when frowning. However, this effect was present only during the critical actions of smiling and frowning, with no remaining effects after 5 min or after 1 day. In Experiment 2, feedback effects were found only when the facial action (smile/frown) was incongruent with the presented emotion (positive/negative), demonstrating attenuating but not enhancing modulation. Finally, no difference in the intensity of produced feedback effect was found between smiling and frowning, and no difference in feedback effect was found between positive and negative emotions. In conclusion, facial feedback appears to occur mainly during actual facial actions, and primarily attenuate ongoing emotional states.     

Onset of Voluntary Communication: Smiling Looks to Mother

Playing infants often direct smiling looks toward social partners. In some cases the smile begins before the look, so it cannot be a response to the sight or behavior of the social partner. In this study we asked whether smiles that anticipate social contact are used by 8‐ to 12‐month‐old infants as voluntary social signals. Eighty infants—20 at each of 8, 9, 10, and 12 months of age—completed 5 tasks. The tasks assessed anticipatory smiling during toy play, means‐end understanding (2 tasks), intentional communication via gesture and vocalizations, and memory for mother's location. Across all ages, anticipatory smiling was strongly predicted by intentional gestural and vocal communication and by means‐end understanding. The findings are discussed in terms of the nature and origins of infants' voluntary communications.     

Automated Measurement of Facial Expression in Infant–Mother Interaction: A Pilot Study

Automated facial measurement using computer vision has the potential to objectively document continuous changes in behavior. To examine emotional expression and communication, we used automated measurements to quantify smile strength, eye constriction, and mouth opening in two 6‐month‐old infant‐mother dyads who each engaged in a face‐to‐face interaction. Automated measurements showed high associations with anatomically based manual coding (concurrent validity); measurements of smiling showed high associations with mean ratings of positive emotion made by naive observers (construct validity). For both infants and mothers, smile strength and eye constriction (the Duchenne marker) were correlated over time, creating a continuous index of smile intensity. Infant and mother smile activity exhibited changing (nonstationary) local patterns of association, suggesting the dyadic repair and dissolution of states of affective synchrony. The study provides insights into the potential and limitations of automated measurement of facial action.     

Detecting Happiness: Perceiver Sensitivity to Enjoyment and Non-Enjoyment Smiles

The physiognomic distinctions between spontaneous enjoyment smiles and deliberate non-enjoyment smiles provide the social perceiver with a functional, accessible source of information to help regulate social interaction. Two experiments were performed to investigate whether perceivers were sensitive to this information in a contextually meaningful manner. In Experiment 1, participants were asked to judge whether a target individual was happy or not. The results revealed that participants were indeed sensitive to the differences between enjoyment and non-enjoyment smiles. In Experiment 2, participants performed a priming task without any specific instruction to judge emotional state. Neutral expressions, non-enjoyment smiles and enjoyment smiles were employed as primes in a word valence identification task. The results demonstrated a clear trend indicative of perceiver sensitivity. When compared to a the baseline condition of a neutral expression prime, enjoyment but not non-enjoyment smiles facilitated identification of positive words.

Sex Differences in Self-awareness of Smiling During a Mock Job Interview

The present study examined sex differences in awareness of smiling behavior during a job interview, along with intended outcomes of false smiling. Male and female participants were assigned to the interviewee role of a mock job interview and were videotaped. Results indicate that women were more self-aware of false, but not genuine, smiling. In addition, women reported using false smiles to mask negative emotion and to appear enthusiastic more than did men. Naïve judges rated women who smiled in an attempt to mask negative emotion more harshly than men who smiled for this reason. Implications of these findings for the understanding of sex differences in smiling are discussed.     

Weather and Smiling Contagion: A Quasi Experiment with the Smiling Sunshine

Studies have shown that pleasant weather conditions (namely, sunshine) favor positive social relationships and improve moods. However, the effect of sunshine on one nonverbal expression that facilitates social relationships (namely, smiling) has never been studied. In a field experiment, men and women walking alone in the street were passed by a male or a female confederate who displayed a smile to the passersby. The contagion effect of smiling was measured. The study was carried out on days that were evaluated as being either sunny or cloudy, but precaution was taken to control the temperature and not to solicit participants when it rained. It was found that the display of a smile results in a smile more often on sunny days. The positive mood induced by the sun may explain such results.     

Effects of Dynamic Attributes of Smiles in Human and Synthetic Faces: A Simulated Job Interview Setting

We examined the effects of the temporal quality of smile displays on impressions and decisions made in a simulated job interview. We also investigated whether similar judgments were made in response to synthetic (Study 1) and human facial stimuli (Study 2). Participants viewed short video excerpts of female interviewees exhibiting dynamic authentic smiles, dynamic fake smiles, or neutral expressions, and rated them with respect to a number of attributes. In both studies, perceivers’ judgments and employment decisions were significantly shaped by the temporal quality of smiles, with dynamic authentic smiles generally leading to more favorable job, person, and expression ratings than dynamic fake smiles or neutral expressions. Furthermore, authentically smiling interviewees were judged to be more suitable and were more likely to be short-listed and selected for the job. The findings show a high degree of correspondence in the effects created by synthetic and human facial stimuli, suggesting that temporal features of smiles similarly influence perceivers’ judgments and decisions across the two types of stimulus.

The quantification of smiling using a microcomputer-based approach

This study examines the relationship between the ratings made of a set of smiling and neutral expressions and the facial features which influence these ratings. Judges were shown forty real face photographs of smile and neutral expressions and forty line drawings derived from these photographs and were asked to rate the degree of smiling behavior of each expression. The line drawings of the face were generated by a microcomputer which utilizes a mathematical model to quantify facial expression. Twelve facial measures were generated by the computer. Significant differences were found between the ratings of smile and neutral expressions. The Mode of Presentation did not contribute significantly to the ratings. Using the facial measures as separate covariates, five mouth measures and one eye measure were found to discriminate significantly between the ratings made on smile and neutral expressions. When entered as simultaneous covariates, only four mouth measures contributed to the differences found in the expression ratings. Future research projects which may utilise the computer model are discussedThe research reported in this paper was conducted in the Department of Psychology, University of Adelaide. The authors would like to thank Ulana Sudomlak for her assistance in the gathering and recording of the data for this project, and the reviewers for their helpful comments on an earlier version of this paper.