COGNITION AND EMOTION, 1992,6 (3/4), 169-200

An Argument for Basic Emotions

Paul Ekman
University of California, San Francisco, U.S.A.

Emotions are viewed as having evolved through their adaptive value in

dealing with fundamental life-tasks. Each emotion has unique features:
signal, physiology, and antecedent events. Each emotion also has character-
istics in common with other emotions: rapid onset, short duration, unbidden
occurrence, automatic appraisal, and coherence among responses. These
shared and unique characteristics are the product of our evolution, and
distinguish emotions from other affective phenomena.

INTRODUCTION
In this article I reach beyond what is empirically known, t o consider what
the evidence suggests is likely t o be found. What I present is more of a
research agenda than a theory about emotion, although theory is involved.
I will indicate where I think the evidence is clear, where it is tentative,
where it is merely anecdotal but seems persuasive, and where I a m simply
extrapolating o r guessing.
The logic which underlies this effort is my attempt t o answer questions
which arose when I and others found evidence, more than 20 years ago,
that certain facial expressions of emotion appeared t o be universal (for a
recent review of that work see Ekman, 1989). These findings forced me t o
reject my previous beliefs 'that: (1) a pleasant-unpleasant scale was suf-
ficient t o capture the differences among emotions; and (2) the relationship
between a facial configuration and what it signified is socially learned and
culturally variable. I found in Darwin (187211965) and Tomkins (1962) a n

Requests for reprints should be sent to Paul Ekman, University of California - San
Francisco, 401 Parnassus, San Francisco, CA 94143-0984, U.S.A.
1 thank Richard Davidson, Phoebe Ellsworth, Wallace V. Friesen, Dacher Keltner,
Richard Lazarus, Robert Levenson, Harriet Oster, and Erika Rosenberg for their helpful
criticisms and suggestions on earlier versions of this paper. I also thank the Editors of this
Special Issue, Nancy Stein and Keith Oatley, for their encouragement and helpfulcriticisms.
Preparation was supported by a Research Scientist Award from the National Institute of
Mental Health (MH06091).

@ 1992 Lawrence Erlbaum Associates Limited

170 EKMAN BASIC EMOTIONS 171
alternative framework which better fit my data, although I do not accept in learning which will usually occur for all members of the species regardless
total what either said. of culture (cf. Allport, 1924). In this view, it is ontogeny not phylogeny
There are two key issues, which I use the adjective basic to convey about which is responsible for any commonalities in emotion, universals in
the position I have adopted and will explain here. (1) There are a number expression are due to what ethologists call conventionalisation not ritual-
of separate emotions which differ one from another in important ways. (2) isation (see Ekman, 1979, for a discussion of these distinctions as applied
Evolution played an important role in shaping both the unique and the to emotion).
common features which these emotions display as well as their current The second meaning of the adjective "basic" is to indicate instead the
function.' Let me explain each of these ideas in more detail. view that emotions evolved for their adaptive value in dealing with
A number of separate, discrete, emotional states, such as fear, anger, fundamental life-tasks. Innate factors play a role in accounting for the
and enjoyment, can be identified which differ not only in expression but characteristics they share, not species-constant or species-variable learn-
probably in other important aspects, such as appraisal, antecedent events, ing. There are a number of ways to describe these fundamental life-tasks.
probable behavioural response, physiology, etc. This basic emotions pers- Johnson-Laird and Oatley (this issue) say they are "universal human
pective is in contrast to those who treat emotions as fundamentally similar predicaments, such as achievements, losses, frustrations, etc. . . . [Elach
in most respects, differing only in terms of one or more dimensions, the emotion thus prompts us in a direction which in the course of evolution has
most common ones being arousal, pleasantness, and activity; or those who done better than other solutions in recurring circumstances that are
carve emotions into just a positive and a negative state.' relevant to goals". Lazarus talks of "common adaptational tasks as these
Those who describe separate emotions differ in terms of how many are appraised and configured into core relational themes" (1991, p. 202)
different basic emotions they recognise (although there is considerable and gives examples of facing an immediate danger, experiencing an irre-
overlap, far more than Ortony and Turner, 1990, acknowledge), and what vocable loss, progressing towards the realisation of a goal, etc. Stein and
specific characteristics they posit such emotions share. Most of my presen- Trabasso (this issue) say that in happiness a goal is attained or maintained,
tation will describe nine characteristics of the emotions of anger, fear, in sadness there is a failure to attain or maintain a goal, in anger an agent
sadness, enjoyment, disgust, and surprise. I will also raise the possibility causes a loss of a goal, and in fear there is an expectation of failure to
that contempt, shame, guilt, embarrassment, and awe may also be found to achieve a goal. Toobey and Cosmides tell us that emotions impose ". . . on
share these nine characteristics. the present world an interpretative landscape derived from the covariant
To identify separate discrete emotions does not necessarily require that structure of the past . . ." Emotions they say (1990, pp. 407-408) deal with
one also take an evolutionary view of emotions. A social constructionist recurrent ". . . adaptive situations[,] [flighting, falling in love, escaping
could allow for separate emotions without embracing the second meaning predators, confronting sexual infidelity, and so on, each [of which] recur-
of the adjective "basic". Even the discovery of universals in expression or red innumerable times in evolutionary history. . ." Toobey and Cosmides
in antecedent events does not require giving a major role to evolution. emphasise what I consider the crucial element which distinguishes the
Instead, one can attribute universals to species-constant learning-social emotions: Our appraisal of a current event is influenced by our ancestral
past.
These different descriptions are quite compatible, each emphasising
another aspect of the phenomenon. Common to all these views is the
'A third usage of the term "basic" is to postulate that other non-basic emotions are presumption that emotions are designed to deal with inter-organismic
combinations of the basic emotions, which may be called blends or mixed emotional states encounters, between people or between people and other animals. Never-
(Ekman & Friesen, 1975; Plutchik, 1962; Tomkins, 1963; Tomkins & McCarter, 1964). I will theless, it is important to note that emotions can and do occur when we are
not deal with this usage of the phrase basic emotions. Instead, my focus will be upon the first not in the presence of others, and are not imagining other people. We can
two meanings of basic emotions-that there are separate discrete emotions, which have have emotional reactions to thunder, music, loss of physical support, auto-
evolved to prepare us to deal with fundamental life-tasks. I am grateful to K. Oatley for
suggesting that I make clear these different ways in which the term basic has been used. erotic activity, etc. Yet I believe the primary function of emotion is to
'In earlier writings (Ekman, Friesen, & Ellsworth, 1972) we made this same distinction in mobilise the organism to deal quickly with important interpersonal
terms of those who studied the rewgnition of emotion from the face in terms of emotion encounters, prepared to do so in part, at least, by what types of activity
categories or emotion dimensions. have been adaptive in the past. The past refers in part to what has been
172 EKMAN BASIC EMOTIONS 173

adaptive in the past history of our species, and the past refers also to what evidence that the strength of the muscular contractions are related to
has been adaptive in our own life h i ~ t o r y . ~ intensity of a reported emotion (Ekman, Friesen, & Ancoli, 1980).
Before saying more about the characteristics which distinguish emotions Each emotion family can be considered to constitute a theme and
from other affective states, I must first explain the concept of emotion variations. The theme is composed of the characteristics unique to that
families, containing both a distinguishing theme and a number of variations family. The variations on that theme are the product of various influences:
around that theme. individual differences in biological constitution; different learning experi-
ences; and differences specific to and reflecting the nature of the particular
occasion in which an emotion occurs. Ohman's (1986) description of a
EMOTION FAMILIES multiple-level evolutionary perspective suggests that the themes may be
Each of the basic emotions is not a single affective state but a family of largely the product of our evolution and given genetically, while the
related states (Ekman & Friesen, 1975). In using the tenn family I do not variations reflect learning, both species constant and species variable
mean to imply the structure of a human family, but more generally to refer learning experiences. This learning, he maintains (p. 127) is ". . .con-
to "a group of things related by common characteristics" (Webster's ninth strained and shaped by evolution".
new collegiate dictionary, 1987). Each member of an emotion family shares There are some resemblances to the way I am using the term family, with
certain characteristics, for example, commonalities in expression, in phy- theme and variations and Rosch's (1973) discussion of categories and
siological activity, in nature of the antecedent events which call them forth, prototypes. I am proposing that the themes are not simply the most
and perhaps also in the appraisal processes. These shared characteristics common feature of a basic emotion category, but are the core elements,
within a family differ between emotion families, distinguishing one family the product of our evolution, to be found in all instances of an emotion.
from another. Also, I do not propose that the boundaries between basic emotion families
My use of the term "family" can be illustrated by Ekman and Friesen's are fuzzy.4
(1975, 1978) description of the family of anger expressions. They specified There is some evidence about which are the themes and which are the
not one anger expression but more than 60 anger expressions. Each of the variations in regards to facial expression, but it is far from conclusive.
anger expressions share certain configurational (muscular patterns) fea- Presumably, there should be greater cross-cultural consensus about theme
tures, by which they recognisably differ from the family of fear express- expressions than about the expressions which represent the variations
ions, disgust expressions, etc. For example, in all members of the anger within a family, but no one has yet done such research. One of the major
family the brows are lowered and drawn together, the upper eyelid is empirical tasks ahead is to isolate the theme and variations for each
raised and the muscle in the lips is tightened. Other muscular actions may emotion family, considering not just expression, but also physiology,
or may not be evident in anger expressions, such as a tightened lower subjective experience, appraisal, and other cognitive activities. (On identi-
eyelid, lips pressed together tightly or tightly open in a square shape, fication of the themes for cognitive appraisal see Johnson-Laird and
tightening of the lip corners, pushing the lower lip upwards, etc. Variations Oatley, this issue; Roseman, 1991; Stein and Trabasso, this issue.)
in the family of anger facial expressions are hypothesised to reflect whether The confusion which has plagued the field of emotion research about
or not the anger is controlled, whether the anger is simulated or sponta- what are the emotions, has been due, I believe to two problems. The first
neous, and the specifics of the event which provoked anger. There is also has been the failure to recognise that many of the emotion terms refer to
variations within a family. Shaver, Schwartz, Kirson, and O'Connor (1987,
p. 1072) analysing their subjects similarity rating of emotion words, came
to a similar conclusion although they did not utilise the term emotion
3Fridlund (1991) created a false dichotomy between those who consider facial express- family.
ions to have solely an interpersonal signalling function and those who consider such
expressions to be emotional responses linked to other aspects of emotional experience.
Obviously they are both, and in no way unrelated. Fridlund also claims that facial expressions
do not occur unless another person is present and dismisses any evidence to the contrary as
being due to one imagining another person to be present. Ekman and Friesen (1%9) took a 4I am grateful to the editors for urging that I make some mention of how this part of my
more complex position, proposing that the presence or absence of others can act to amplify or discussion relates to Rosch. Space does not allow a full discussion of how my use of family,
de-amplify expressions, depending upon the social context and their role relationships. basic, and theme differs from Rosch.
 BASIC EMOTIONS 175
174 EKMAN

It seems possible, given the results, that all of the terms in the emotion TABLE 1
Characteristics which Distinguish Basic Emotions from One Another
lexicon-at least the hundred or so that are most prototypical of the category and from Other Affective Phenomena
emotion-refer in one way or another to a mere handful of basic-level
emotions. Each term seems to specify either the intensity of the basic Basic with regard to:
emotion in question. . . o r the antecedent context in which the emotion
arises . ..' Distinctive
States
Biological
Contribution

Johnson-Laird and Oatley's (1989) analysis of emotion words supported 1. Distinctive universal signals
their contention that there are five basic emotions: happiness; sadness; 2. Presence in other primates
anger; fear; and disgust. Their list is exactly the same as the group of 3. Distinctive physiology
emotions which share the nine characteristics I will describe. The names we 4. Distinctive universals in antecedent events
5. Coherence among emotional response
use to refer to the basic emotions should attempt to denote the family 6. Quick onset
theme. There should be many other emotion names within a family for 7. Brief duration
lexically marked variations. But, there is no reason to expect that our usual 8. Automatic appraisal
use of language will perfectly represent this matter. 9. Unbidden occurrence
The confusion about what are the emotions has been due not just to a
failure, by some, to organise emotions into families, with themes and
variations, but also to a failure to distinguish emotions from other affective ity for learning has occurred. Izard (1977) disagrees and has reported
phenomena, such as moods, emotional traits and attitudes, and emotional evidence which he believes shows the early appearance of each emotion.
disorders. A t the conclusion of this paper I will briefly describe these other His position and evidence has been convincingly challenged by Camras
affective phenomena which differ from the emotions. (this issue) and also by Oster, Hegley, and Nagel (in press). When this
matter is settled, regularities in the first appearance of each emotion may
be useful in differentiating one emotion from another, and thus usefully
THE NINE CHARACTERISTICS WHICH
added to Table 1.
DISTINGUISH BASIC EMOTIONS
I expect that specific emotions regulate the way in which we think, and
Table 1 lists these characteristics which I will separately consider. Some that this will be evident in memories, imagery, and expectations. I suspect
distinguish one emotion from another (1,3, and 4). The other characteris- that the relationship between emotions and thoughts are not solely a
tics I propose are useful in distinguishing emotions from other affective function of social learning because of biological constraints put on the
states, such as moods, emotional traits, emotional attitudes, etc. I have not thought system as well as the emotion system. I have not included this in
included three characteristics which some might expect to be on such a my list of characteristics because it is not yet clear how thought processes
list-ontogeny, thought processes, and subjective experience. are related to other characteristics of emotional behaviour.
I acknowledge that the first appearance of each emotion is an important The subjective experience of emotion, how each emotion feels, is for
matter, and how emotion is socialised and changes over the life course is some at the centre of what an emotion is. This presumably includes
central to our understanding of emotion. But I do not maintain that if physical sensations, and other feelings which are the consequence of
biology has played an important role in emotion then emotions must feedback from the various response changes which occur uniquely for each
appear, fully differentiated, at birth or early in life before much opportun- emotion. Again this is excluded because too little is known about how
subjectivity maps on to other aspects of an emotional experience.
'Shaver et al.'s list of basic emotions and the emotion families listed at the beginning of this
paper only partially overlap, but that may be because Shaver considered only the lexicon, Distinctive Universal Signals
examined subjects who were not experiencing an emotion, and asked for abstract ratings of
words rather than how people talk about emotion. There is no reason to expect that the The strongest evidence for distinguishing one emotion from another comes
lexicon, particularly what emerges from rating scales, will map perfectly with what is found by from research on facial expressions. There is robust, consistent evidence of
analysing spontaneous emotional behaviour, focusing on expression, physiology, and actual a distinctive, universal facial expression for anger, fear, enjoyment, sad-
emotion talk.
176 EKMAN BAslC EMOTIONS 177

ness, and disgust. This evidence is based not just on high agreement across behaviour in two preliterate cultures (taken by Carleton Gajdusek in the
literate and preliterate cultures in the labelling of what these expressions 1960s), and saw no other expressions than the ones I have discussed. But
signal, but also from studies of the actual expression of emotions, both that is only an impression, and those who believe there are other universal
deliberate and spontaneous, and the association of expressions with social expressions should obtain the evidence.
interactive contexts (see Ekman, 1989, for a recent overview). I believe that emotional expressions provide information to conspecifics,
It should be noted, however, that for each emotion more than one as well as to other animals, about antecedent events, concomitant
universal expression has been identified, but their description here would responses, and probable next behaviour. For example, when you see a
take me further afield (see Ekman & Friesen, 1975, 1978). Although the person with a disgust expression, you know that the person is responding to
study has not been done in other cultures Etcoff's (1990) novel study of the something offensive to taste or smell, literally or metaphorically, that the
judgement of faces, which found few confusions exist at the boundaries person is likely to make sounds such as "yuck" rather than "yum", and is
between emotions, also provides strong evidence in support of the view likely to turn away from the source of stimulation. We still lack systematic
that there are a number of separate emotions. (See Johnson-Laird and cross-cultural data to support my claim about what an expression signals. It
Oatley, this issue, for a description of Etcoff's study.) requires obtaining open-ended responses from subjects who are shown
The evidence for a unique facial expression for surprise and contempt is expressions out of context and asked to describe what they can infer. Stein,
not as firm. Surprise expressions were recognised across literate cultures, Trabasso, and their colleagues have done some of that work with children,
and in the two studies of preliterate cultures (reported in Ekman, 1972) but to date on only some emotions, and only in our own culture.
surprise was distinguished from anger, disgust, and happiness, but the Emotional expressions are crucial to the development and regulation of
surprise faces were distinguished from fear faces in only one of the two interpersonal relationships. T o mention just three examples, facial
preliterate cultures studied. Etcoff and Magee (in press) found evidence expressions should be involved in the formation of attachments (in infancy
that surprise is perceived differently than other emotions, not defining an as well as in courtship), and in the regulation, acceleration, or deceleration
exclusive category. It would be important to know if her findings on of aggression. People I have studied who have congenital facial paralysis
surprise and on other emotions would replicate in other languages. (Mobius syndrome) report great difficulty in developing and maintaining
Contempt expressions were not included in preliterate culture studies, even causal relationships if there is no capability for facial e ~ ~ r e s s i v e n e s s
and the current evidence on literate cultures is contradictory (Ekman & Ross (1981) also found that stroke patients who can not properly identify
Friesen, 1986, 1988; Ekman & Heider, 1988; Izard & Haynes, 1988; the prosody that accompanies speech or who cannot generate the prosody
Russell, in press; Ricci-Bitti, Brighetti, Garotti, & Boggi-Cavallo, 1988). that accompanies emotion utterances have severe interpersonal difficulties.
There are a number of new studies again confirming that contempt Basic emotions can occur without any evident signal. This may be due to
expressions are recognised across cultures (Ekman, O'Sullivan, & Matsu- deliberate or habitual attempts to inhibit the appearance of a signal. Also,
moto, in press; Matsumoto & Kudoh, submitted). a threshold may need to be crossed to bring about an expressive signal, and
Izard (1971) reported cross-cultural evidence for an interest expression, that threshold may vary across individuals. If we could measure the brain
but it is not clear whether he isolated an expression which was different areas which send information to the facial nucleus during spontaneous
from simple visual attention. Also, in Izard's cross-cultural studies the emotional experience, I expect we would find that there is some distinctive
observers may have chosen interest by exclusion. There are similar prob- activity even in low threshold states or when an individual is attempting to
lems with the stimulus Izard used for shame in his cross-cultural studies, in inhibit emotion. This remains an empirical question.
which the person is looking away from the camera. Should we consider an affective state to be a basic emotion if there never
Facial muscle movement is only one form of expression. Tomkins (1962) is a distinctive signal? I will return to that question after describing the
postulated a distinct vocal expression for each of the emotions which have other eight characteristics of basic emotions.
distinctive facial expressions. Although there is as yet no empirical evi- The evidence of universality in expression is consistent with the view,
dence across Western and non-Western cultures to determine whether this espoused by Darwin (1872/1965), that these expressions, and the emotions
is so, I expect that when that work is done Tomkins will be proven correct. they signal, are the product of evolution. Ortony and Turner (1990) and
It is not possible to be certain that there are no other emotions which
have a universal facial expression, but none have been suggested. Friesen
and I inspected hundreds of hours of motion picture films of spontaneous %ee a report by a Mobius patient (Goldblatt & Williams, 1986).
178 EKMAN
BASIC EMOTIONS 179
Ellsworth (1991) have offered a different interpretation of this evi- Plutchik (1962) was the first to make this characteristic the organising
dence, proposing that it is the single muscle actions which have universal principle of his theory of emotion.
meaning, not their combination into full face emotional expressions. I There is some evidence for similar facial expressions in other primates
(Ekman, in press) have shown how their proposal is not supported by for fear and anger, possibly also for sadness and happiness (Chevalier-
much systematic research and contradicts known facts about the muscular Skolnikoff, 1973; Redican, 1982). Unfortunately, the work they cite is old,
basis of facial expressions.' and based on casual rather than systematic study of this question. No
The finding of universal facial expressions is consistent with an evolu- primatologist has specifically attempted to identify the universe of facial
tionary explanation of emotion, but does not rule out alternative explana- expressions in another species to compare them to what is known about
tions. Allport (1924) explained how learning experiences common to all human expressions. The techniques for measuring human expression in
humans wuld account for the origin of the disgust expression. All that is muscular terms (Ekman & Friesen, 1976, 1978; Izard, 1979), could be
innate is the muscle movements that are required to eject matter from the modified for use with other primates, allowing very precise comparisons of
oral cavity. All infants will make those movements when they regurgitate the muscular displays.
food which tastes or smells bad. Over time all members of the species will Although the more systematic primate studies have yet to be completed,
associate those facial muscle movements with anything which is metaphori- researchers have observed that other primates generate facial expressions
cally related, producing this disgust expression to social events which are similar to those observed in humans. These observations are also consis-
distasteful. I (Ekman, 1979) offered a similar explanation for the origin of tent with an evolutionary explanation of the origin of expression, and more
the raised brows in surprise. All biology contributes, from this viewpoint, generally with the position that biology plays an important role in these
is that raising the brows increases the superior visual field allowing more to emotions. There is no necessary reason why every emotion must appear in
be seen and more light to enter the retina. All members of the species other animals, some emotions might have emerged only in humans.
might learn to use this muscular action in expressions like surprise which Lazarus (1991) suggests this is so for pride, shame, and gratitude. I d o not
metaphorically involve taking in more or unexpected input. It is much know of convincing evidence that these states are not evident in other
harder to explain the smile in enjoyment, or the sad facial expression on animals. Furthermore, I do not believe that there has been sufficient study
the basis of species-constant learning. of these states mentioned by Lazarus to determine which of the nine
This explanation would be compelling if it were shown that congenitally characteristics found in basic emotions they share. So the issue remains an
blind children never raise the brow in surprise. Unfortunately there is no open one.
definitive data relevant to this or to any other crucial test of the species- If basic emotions evolved to deal with fundamental life-tasks, they
constant learning explanation of universal facial expressions. The evolu- should not only provide information through expressions to conspecifics
tionary explanation is strengthened by data, albeit not very strong or about what is occurring, but there should also be physiological changes
systematic, on the presence of some emotional expressions in other pri- preparing the organism to respond differently in different emotional states.
mates.

Comparable Expressions in other Animals Emotion-specific physiology

Darwin considered such evidence crucial, for it was his interest in demon- There is evidence (Ekman, Levenson, & Friesen, 1983; Levenson, Ekman,
strating the power of evolutionary theory which led him to write The & Friesen, 1990) for distinctive patterns of autonomic nervous system
expression of emotion in man and animals (187211965). In modern times, (ANS) activity for anger, fear, and disgust, and it appears that there may
also be a distinctive pattern for sadness (Levenson, Carstensen, Friesen, &
'There is no evidence to support their claim that the four muscle actions they describe have
Ekman, 1991). These findings have now been replicated in four separate
universal signal value. Even if some elemental muscle movements were to be shown to have experiments, in two different age groups. Although there are some incon-
universal signal value, that would not prove that the meaning of the complex facial sistencies between the ANS patterns they found and the findings of other
expressions is derived from the meanings of the muscular elements. It might just as well be the investigators, we should not ignore the many consistencies with the results
reverse. Ortony and Turner's view also implies that all facial expressions of emotion are of Schwartz, Weinberger, and Singer (1981); Ax (1953); Roberts and
composed of more than one element, which is not the case for disgust.
Weerts (1982); and Graham (1962). Levenson (1988) has reviewed this and
180 EKMAN BASIC EMOTIONS 181

earlier work explaining why methodological problems in the latter may be specific ANS activity in this very different culture. This provides important
responsible for the some failures to find emotion-specific ANS activity. support consistent with an evolutionary view that these are basic emotions.
The only recent challenge to our findings was Stemmler's (1989) report Does the failure to find emotion-specific ANS activity for enjoyment and
that ANS patterning was specific to how the emotion was elicited. surprise mean that these are not basic emotions? Kemper (1978) would
However, this may be due to a number of methodological problems make that argument, for he views differentiated ANS activity as the sine
including measuring physiology a considerable period after the induction qua non for basic emotions. But consider why we expect emotion-specific
was over, and studying very low emotional intensities, and including a ANS activity in the first place. Our presumption is that these ANS patterns
substantial number of subjects who reported not experiencing the evolved because they subserve patterns of motor behaviour which were
e m ~ t i o n We
. ~ have preliminary evidence in two different studies (Leven- adaptive for each of these emotions, preparing the organism for quite
son et al., 1990; Ekman & Davidson, submitted) of the same emotion- different actions. For example, fighting might well have been the adaptive
specific pattern when emotion was elicited in very different ways. Clearly, action in anger, which is consistent with the finding that blood goes to the
the matter is far from settled. Noting that qualification, I will further hands in anger. Fleeing from a predator might well have been the adaptive
consider what the implications are if further research strengthens and action in fear, which is consistent with the finding that blood goes to large
supports our findings to date of emotion-specific physiology. skeletal muscles (see Levenson, Ekman, & Friesen, 1990, for a more
Such evidence would be a challenge to those who view emotion as a elaborate discussion of this reasoning).
social construction with no important biological contribution. A social Freezing in fear might seem to create a problem for this line of reason-
constructionist might dismiss our findings by claiming that these different ing, but not if freezing is interpreted as a fearful state in which the
patterns of ANS activity were socially learned not the product of evolution. organism is nevertheless still prepared, autonomically, for fast flight if the
Their argument would be that people are taught to engage in different freezing action does not provide concealment. Not every fearful experi-
types of behaviour when experiencing different emotions. Over time this ence involves a threat from which one can flee. A doctor's report that
will establish different patterns of ANS activity, subserving these different more tests are necessary to confirm whether the preliminary results are
action patterns. If people show the same emotion-specific ANS activity correct in indicating a terminal illness, arouse fear, but the event is not one
that may simply reflect common, culturally based, socialisation practices. the person can flee from. The ANS pattern of activity which subserves
Presumably those who advocate such a view should expect different flight might still occur in this example, if the evolved motor programme for
behavioural patterns to be taught for each emotion, and therefore different this emotion is flight. It is a question which awaits research.
patterns of ANS activity with each emotion, to be found in cultures which Ohman's (1986) analysis of fear is relevant to these complexities. H e
are known to differ in their attitudes about emotion. distinguishes fear of animals, fear of people, and fear of inanimate objects,
Simply put, the social constructionist emphasises the past history of the suggesting that the evolutionally given actions may be different for fear of a
individual, whereas the evolutionary theorist emphasises the past history of predator as compared to social fears. It is not clear whether he views
the species in explaining why there is emotion-specific ANS activity. If it is predator fear as including fear of other aggressive humans, or is it strictly
only ontogeny, than to the extent to which different people learn different limited to fear of other animals? Nor is it certain from his writings whether
ways of behaving when experiencing one or another emotion, there should he would consider the fear of the doctor's news about terminal illness to be
be different patterns of ANS activity observed for the emotions we have a predator or social fear.
studied. Levenson, Ekman, Heider, and Friesen (in press) recently If no specific pattern of motor activity had survival value for an emotion,
repeated their experiments in a non-Western culture. They studied the then there would be no reason to expect a specific pattern of ANS activity
Minangkabau of Western Sumatra, a fundamentalist Moslim, matrilineal to have been established for that emotion. That is why I think we have not
society. They replicated Ekman et al.3 (1983) original findings of emotion- found an emotion-specific pattern, a pattern which differs from each of the
other emotions, for either surprise or enjoyment.
Frijda (1986) should disagree for he has proposed an action readiness for
every emotion. I know of no observational data (examining what people
%ee Levenson, Ekman, and Friesen (1990) for a fuller discussion of the problems in
Stemmler's study. Tassinary, Cacioppo, and Geen (1989) report another failure to replicate actually do rather than how they answer questionnaires), which shows that
our findings, but they relegate this to a footnote and do not provide enough information to there is a universal action pattern for the emotions of sadness, amusement,
know what they actually did. relief, contentment, or the enjoyment which occurs when hearing music,
 BASIC EMOTIONS 183
182 EKMAN
these emotions not found in other mental activity. Here, I am reaching far
watching a sunset, or receiving strokes to the body or the ego. It is not that beyond the data, but not far beyond what the new techniques for measur-
actions never occur in any of these states, but it is not self-evident that ing brain activity may allow us to discover in this decade.
there is any uniform, universal tendency for one or another action in each My contention is consistent with the findings of those who have used
of these different positive emotions. (Stein and Trabasso, in this issue, EEG measures of regional brain activity to study emotion (see Davidson,
similarly question Frijda's view.) Further, it seems likely that when any of 1984, 1987, for reviews of this literature). Davidson et al.'s (1990) recent
the agreeable emotions are occurring, one's survival is not at stake, there is findings of different patterns of regional brain activity coincident with
no urgent need to act. A slightly different argument can be made for enjoyment and disgust facial expressions can be explained as reflecting
surprise. No motor action is required or relevant, but instead processing either differences in approach vs. withdrawal or positive vs. negative
and evaluation of the new unexpected information. emotions. More critical for my argument are new, not yet published
It is not just in regard to positive emotions where there is a lack of findings (Ekman & Davidson, submitted), which uncovered more differen-
observational data to demonstrate decisively an action tendency. There is tiated regional brain activity when subjects voluntarily made the facial
no such data for any emotion which shows a universal, uniform action configurations found with each of the six basic emotions. This evidence
tendency whenever that emotion occurs. Johnson-Laird and Oatley's (this must be regarded as tentative, as it is not yet replicated, but the evidence
issue) suggestion that there is an action plan rather than action readiness, was strong, and it is encouraging for this line of reasoning and research.
allows more flexibility, but again it is not clear what the action plan would
be for some emotions. Stein and Levine (1989) have found certain action
plans for certain emotions in children, but again they have not studied all Universal Antecedent Events
emotions, and their data are limited to one culture. If emotions are viewed as having evolved to deal with fundamental life-
Plans are important, but they are not actions. They are not a substitute tasks in ways which have been adaptive phylogenetically, then it is logically
for observational data on what actions people engage in, with any regular- consistent to expect that there will be some common elements in the
ity, during particular emotions in particular social contexts. In all likeli- contexts in which emotions are found to occur. This is not to presume that
hood there will be more variation in observed actions than in action plans, every social context which calls forth an emotion will be the same for all
but that remains to be determined. Furthermore, similarly there may be people within or across cultures. Clearly there must be major differences
more variation in action plans than in the evolved readiness to perform attributable to social learning experiences. Ohman (1986, pp. 128-129)
motor acts which our findings of emotion-specific ANS activity implies. describes well how both evolution and social learning contribute to the
I have no argument with Davidson's (this issue) belief that approaching establishment of those events which call forth one or another emotion.
vs. withdrawing is a fundamental issue in terms of the action plans which
may be associated with each basic emotion. However, there is no definitive [E]volutionary economy has left to environmental influences to inscribe the
evidence to show that all positive emotions always involve just approach. exact characteristics of dangerous predators.. . [Llearning is critically
Certainly, anger, fear, and disgust can involve approach or withdrawal. Is involved in selecting which stimuli activate the predatory defense system. But
Davidson arguing that for each emotion, evolution prepares us to either this learning is likely to be biologically primed or constrained in the sense
approach or avoid, and it is only social learning which may add the other that the responses are much more easily attached to some types of stimuli
action pattern? If that was so it might be possible to measure electromyo- than to others. In other words, it is appropriate to speak about biologically
graphically the beginning of that tendency even when the action taken is prepared learning. Thus it is likely to require only minimal input in terms of
training, and to result in very persistent responses that are not easily
different. For now, I propose we do not regard either an action readiness extinguished.
or emotion-specific ANS activity as the sine qua non for defining basic
emotions. Ohman cites research by Mineka, Davidson, Cook, and Keir (1984)
However, it is necessary to posit emotion-specificcentral nervous system showing that limited exposure is sufficient for establishing snake fears in
(CNS) activity in my account of basic emotions. The distinctive features of the monkey which are very difficult to extinguish. Lazarus (1991) cites this
each emotion, including the changes not just in expression but in memor- same study to argue his rather similar view. Although he emphasises what
ies, imagery, expectations, and other cognitive activities, could not occur he calls "meaning analysis", Lazarus also describes common antecedent
without CNS organisation and direction. There must be unique physiologi- events. Johnson-Laird and Oatley's (this issue) view is also similar.
cal patterns for each emotion, and these CNS patterns should be specific to
184 EKMAN BASIC EMOTIONS 185

My view on this matter, which is in agreement with Ohman, Lazarus, although there will be large individual differences, some constitutional and
Johnson-Laird and Oatley, and Stein and her colleagues, developed in the some based on social learning. And, I am also positing connection rather
1970s when I learned of the findings of Boucher and Brant, which they did than disconnection between facial expressions of emotion and distinctive
not publish until some years later (1981). They found commonalities in patterns of CNS activity, and not limited just to the brain areas involved in
emotion antecedents in the many non-Western cultures they examined. It production of the facial expression. An important qualifier, is that such
was not in the specific details but on a more abstract level that universality connections between emotion-specific CNS activity and facial expressions
in antecedent events was found. The loss of a significant other, they found of emotion will only obtain when we distinguish actual, spontaneous
(Boucher, 1983, p. 407), is ". . . an antecedent to sadness in many, perhaps emotional expressions from more social or deliberate expressions (cf.
all cultures. But who a significant other is or can be will differ from culture Ekman, Davidson, & Friesen, 1990).
to culture". I have described five characteristics shared by each of the basic emotion
On the basis of Boucher and Brant's findings, Ekman and Friesen (1975) families: (1) distinctive universal signals; (2) presence in other primates;
formulated prototypic interpersonal events which would universally call (3) distinctive physiology; (4) universal, distinctive antecedent events; and
forth each of this set of emotions. For example, the antecedent event for (5) coherence among response systems. Let me now add four other
fear is physical or psychological harm. Lazarus (1991), has a similar but in characteristics which are more interpretative, but consistent, if not dicta-
some ways different account, describing what he calls the "core relational ted, with the evidence I have summarised and with other findings.
theme" unique to the appraisal of each emotion. Neither of us has
evidence, but what we each have proposed is consistent with Boucher and Quick Onset
Brant's findings, and with those of Scherer and his group (Scherer,
Summerfield, & Wallbott, 1983) in their study of the antecedents of It is in the nature of emotion, I believe, that emotions can begin so quickly
emotion in Western cultures. that they can happen before one is aware that they have started. Indeed,
Unfortunately, there is little ethological description of the commonali- quick onset is fundamental I believe to the adaptive value of emotions,
ties in the naturally occurring antecedent events for emotions within and mobilising us to respond to important events with little time required for
across cultures. There is questionnaire and also interview data in which consideration or preparation. There is some evidence from both expression
subjects are asked to describe emotional events. However, we do not yet and physiology to support the proposal that emotions can onset quickly.
know the extent to which such data resembles what actually occurs during Ekman and Friesen (1978) found that facial expressions can begin in a
emotion, how much idealisation, and stereotyping may occur when sub- matter of milliseconds after an emotion-provoking stimulus, although not
jects coldly describe what they think about their emotional experience. as quickly as we found the startle reactions begins, which I consider a reflex
(Ekman, Friesen, & Simons, 1985). Collaborations with Levenson on ANS
activity and with Davidson on CNS activity suggest that physiological
Coherence in Response Systems changes may also begin in fractions of a second.
There is an extensive literature reporting contradictory findings on whether Clearly, emotions do not always begin so quickly. There are occasions,
there is or is not coherence in expression and autonomic changes during when an emotion unfolds very slowly, taking a number of seconds or
emotion (see reviews by Buck, 1977; and by Fridlund, Ekman, & Oster, minutes for characteristically emotional responses to occur. I will return to
1987, pp. 195-199). It is not possible as yet to determine whether the this later when discussing appraisal.
dissociations between autonomic and expressive behaviour that have been
found are normative or instead reflect differences in personality, tempera- Brief Duration
ment, and/or differential attempts to inhibit activity. For now, I propose
that when we examine individuals who have not chronically or at the It is not only adaptive for emotions to be capable of mobilising the
moment tried to inhibit their feelings or expression, we will find that there organism very quickly (onset), but for the response changes so mobilised
is some coherence, some systematic relationship between these two not to last very long unless the emotion is evoked again. If one emotion-
response systems during emotional events (for those emotions which do arousing event typically produced a set of response changes which endured
have a distinctive ANS pattern). I am positing that the autonomic for hours regardless of what was occurring in the external world, emotions
responses and expressive changes are not, by nature, disconnected, would be less responsive than I think they are to rapidly changing circumst-
186 EKMAN BASIC EMOTIONS 187
ances. It may be that under exceptional circumstances a single emotion
and Trabasso have children enact emotions, and they find that the emotio-
endures for more than seconds or minutes, but I think it more likely that
nal responses last for seconds not minutes or hours.
close inspection would reveal that the same emotion is being repeatedly
Learning more about the duration of emotions requires, I believe,
evoked. All, however, that I need to commit myself to is that emotions
usually last only for seconds, not minutes, hours or days. actually examining the occurrence of emotions in the stream of behaviour,
not just asking people. Levenson and Gottman are measuring emotions
There is no agreement about how exactly long emotions last, and no
during the course of marital interaction and they (personal communica-
agreement about which aspect of emotion must be considered to empiri-
tion) report observing many emotional events which last seconds not
cally make that determination. Motor behaviour is probably a better index
of when emotions begin than when they are over. Some of the ANS minutes.
changes last longer than others, and both may last longer than people
subjectively believe they are experiencing the emotion, hence the observa- Automatic Appraisal Mechanism
tion after the near-miss car accident, "I am no longer afraid but I feel as if I
I (Ekman, 1977, pp. 58-59) proposed two appraisal mechanisms, one
am".
My proposal that emotions are typically a matter of seconds not minutes automatic and the other extended:
or hours, is supported by some preliminary evidence. Examining the
There must be an appraiser mechanism which selectively attends to those
duration of both expressive and physiological changes during spontaneous stimuli (external or internal) which are the occasion for. . . [one or another
emotional events suggests a short time span. When subjects have reported emotion]. Since the interval between stimulus and emotional response is
experiencing an emotion for 15 or 20 minutes, and I have had access to a sometimes extraordinarily short, the appraisal mechanism must be capable of
videotaped record of their preceding behaviour, I found that they showed operating with great speed. Often the appraisal is not only quick but it
multiple expressions of that emotion. My interpretation of such incidents is happens without awareness, so I must postulate that the appraisal mechanism
that people summate in their verbal report what was actually a series of is able to operate automatically. It must be constructed so that it quickly
repeated but discrete emotion episodes. Unfortunately, I did not have attends to some stimuli, determining not only that they pertain to emotion,
physiological data also in those cases, so I cannot be certain whether the but to which emotion. . . Appraisal is not always automatic. Sometimes the
physiological changes were as episodic as the expressions. evaluation of what is happening is slow, deliberate and conscious. With such
A final reason for proposing that emotions are brief in duration is to a more extended appraisal there may be some automatic arousal, but perhaps
distinguish emotions from moods, which last for hours or days. Although not of a kind which is differentiated. The person could be said to be aroused
or alerted, but no specific emotion is operative. Cognition plays the impor-
moods are highly saturated with one or another emotion-irritability with tant role in determining what will transpire. During such extended appraisal
anger, dysphoria with sadness, apprehensiveness with fear, euphoria with a the evaluation may match to the selective filters of the automatic
type of enjoyment-I have explained elsewhere (Ekman, 1984,1991) how appraiser. . . It need not be, however; the experience may be diffuse rather
moods differ from emotions not only in duration, but also in what brings than specific to one emotion.
them forth, and in their physiology.
Frijda, Mesquita, Sonnemans, and Van Goozen (in press) propose that Similar views have since been described by Zajonc (1985); Ohman
emotions last between 5 seconds and several hours. These figures are (1986); Leventhal and Scherer (1987); and Buck (1985). LeDoux's study
similar to those proposed by Scherer, Wallbott, and Summerfield (1986), (1991, p. 50) of the anatomy of emotion has led him also to take a view
probably because both Scherer et al. and Frijda relied upon what subjects nearly identical to what I propose.
who were not feeling an emotion reported about how long they think
emotions last. Frijda also distinguishes "acute" from not so acute emo- Emotional processing systems . . . tend to use the minimal stimulus represen-
tions, the former having expressive behaviour and distinct physiology. tation possible to activate emotional response control systems, which charac-
However, Frijda says he does not know how long acute emotions last. teristically involve relatively hard-wired, species-typical behaviors and phy-
Frijda and Scherer et al. do agree with Ekman and Friesen's (1975) siological reactions. Emotional reactions . . . need to be executed with speed,
proposal that some emotions are typically of shorter duration than others, and the use of the highest level of stimulus processing is maladaptive when a
and that moods last much longer than emotions. In work in progress, Stein lower level will do . . . However, not all emotional reactions can be mediated
by primitive sensory events and subcortical neural circuits.
188 EKMAN BASIC EMOTIONS 189

In a major shift in his own position to incorporate the evidence on basic appraisal process which operates with consciousness and deliberation.
emotions Lazarus (1991, Ch.5, p. 3) recently adopted my position on this Then the person is quite aware of what Lazarus calls the "meaning
issue: "I distinguish between two modes of appraisal: one automatic, analysis" which occurs. Here is another entry place for social learning to
unreflective, and unconscious or preconscious, the other deliberate and generate large differences between cultural groups, and major individual
conscious." Lazarus succinctly described what he called a "psychobiologi- differences within a culture.
cal principle", which he said (pp. 191-192) "provides for universals in the A number of theorists (see reviews by Ellsworth, 1991; Scherer, 1991)
emotion process. Once the appraisals have been made, the emotional have developed models of how appraisal processes may operate. Reading
response is a foregone conclusion, a consequence of biology". Here, their descriptions and considering most of their data sources it appears that
Lazarus goes further than I do, as I believe that the responses reflect not they are considering only extended appraisal, but I think that they believe
just biology but social learning as well. Stein and Trabasso's (this issue) their models to characterise automatic appraisal as well. Their models are
analysis of appraisal, although based on very different data, is very similar, not contradictory with a basic emotions position, but they apparently do
as they point out, to Lazarus's position. see a contradiction. Lazarus, I believe, is the only appraisal theorist who
It is not known exactly how a biological contribution to appraisal also incorporates basic emotions in his framework. Lazarus differs from
operates, what it is that is given, which is then operated on automatically. the other appraisal theorists in not offering a model of how the appraisal
It seems reasonable to presume that that which is biologically given must process works. Instead he more abstractly describes the relevant principle
be related to the universal antecedents of emotion described above. How and the prototypic events (core relational themes) for each emotion.
does this occur, by what mechanism?
Automatic appraisal does not simply and solely operate on what is given
biologically, dealing only with stimulus events that exactly fit what is given.
In all likelihood, not enough is given for automatic appraisal to ever Unbidden Occurrence
operate without considerable amplification and detailing through social Because emotions can occur with rapid onset, through automatic appraisal,
learning. (See especially Ohman, 1986, on this point.) An exception might with little awareness, and with involuntary response changes in expression
be the appraisal which occurs to a sudden loss of support or when an object and physiology, we often experience emotions as happening to, not chosen
is perceived to be moving very quickly directly into one's visual field. But by us. One can not simply elect when to have which emotion. Psychother-
such examples are probably rare. Perhaps they act as metaphors for many apists would have less business if that was so. When emotions are the
other events to become associated through experience with emotion. product of extended appraisal and the onset is more gradual it is more
Automatic appraisal operates also on a variety of stimulus events that we possible to interfere with or influence what emotion one is beginning to
have repeatedly encountered or with events which although rare were experience. But when the emotion is a result of automatic appraisal the
extraordinarily intense. Lazarus notes how differences in our experience person must struggle with forces within to control what is happening.
allows for enormous variations in the specifics of what calls forth emotions "[Aln automatic involuntary aspect is present in the experience of all
which are attributable to personality, family, and culture. And yet it is not emotion" (Stein and Trabasso, this issue).
totally malleable. There are some commonalities in what calls forth an It is easier to control the skeletal muscular set than the facial expression,
emotion for anyone (Toobey & Cosmides, 1990, pp. 418-419). easier to inhibit or control the facial expressions, than the sound of the
The ancestrally recurrent structured situation that the organism categorizes voice, and probably easier to change the voice than some of the autonomic
itself as being in is the 'meaning' of the situation for that organism. It changes (see Ekman, 1985). The robustness and quickness of emotional
'sees', i.e. is organized to respond to, previous fitness contingencies, not response are likely areas of individual difference, and hence differences
present ones . . . Emotions . . . lead organisms to act as if certain things were also in the extent to which emotion is experienced as unbidden.
true about the present circumstances whether or not they are because they People do choose to put themselves in situations in which an emotion is
were true of past circumstances. . . In this lies their strength and their likely to occur, arranging circumstances known to be likely to bring on thc
weakness. . . [The automatic appraisal] cannot detect when the invariances emotion, but that does not contradict the claim that emotions are unbid-
that held true ancestrally no longer obtain. den. It is the fact that we cannot choose the emotions which we have which
Often in civilised life, our emotions occur in response to words not allows people to account for and explain their behaviour by noting they
actions, to events which are complex and indirect, and it is an extended were in the grip of an emotion when the behaviour occurred.
 BASIC EMOTIONS 191
190 EKMAN
the physiology of these positive states, a common theme albeit with
THE PROBLEM OF POSITIVE EMOTIONS variations, and a common theme in the antecedent events.
Friesen and I (Ekman & Friesen, 1975) described a number of different
positive emotions. I have used the term enjoyment as a gloss to cover Are there Other Basic Emotions which have these
amusement, relief, sensory pleasure, pride in achievement, the thrill of Nine Characteristics?
excitement, satisfaction, and contentment. (I do not claim this is an
exhaustive list of the positive emotions.) The problem is that each of these The evidence is far from complete for anger, fear, disgust, and sadness,
and I have indicated more uncertainty about the positive emotions (except
positive emotions does not have a distinctive signal (Ekman & Friesen,
1982), although each of the basic negative emotions does have such a in their differences from the negative emotions), and about interest,
distinctive signal. Instead, all of the positive emotions share what I have contempt, surprise, guilt, and shame. I do not think there are other
emotions which share all nine characteristics, but that is an empirical
called the Duchenne smile (Ekman, 1989; Ekman et al., 1990), which is
marked by not only the smiling lips (produced by the zygomaticur major matter. Let me briefly describe three more affective states about which
muscle), but also by the pulling inwards of the skin surrounding the eyes even less is known, which are candidates to be considered as basic
(produced by the orbiculari. oculi, pars lateralis muscle). Now, it may be emotions.
that when the voice is studied carefully, each of these positive emotions
will be found to have its own distinctive vocal signature. But suppose that is Embarrassmenr. Most researchers have tried to diminish its impact
not so, why might it be that emotions which differ as much as relief and the upon the emotional state they are trying to evoke rather than focus upon
thrill of excitement, might not have their own distinctive signal? embarrassment itself. A number of theorists consider embarrassment to be
Perhaps it has not been relevant to survival to know which positive part of the shame or guilt family. Although arguing that embarrassment is
emotion was occurring, only that it was a positive emotion rather than a form of shame Izard (1977) does not explain why people do not typically
anger, fear, disgust, or sadness. Such an idea is implied by Darwin in his blush in shame.
principle of antithesis. Ellsworth (personal communication, May 1991) I expect that when the research is completed, embarrassment will be
questioned whether it would not matter in sexual selection whether one found to have all of the characteristics I have described, but with an
was being seduced or laughed at, but the little work done on signs of unusual signal-the blush. I do not know if the blushing in embarrassment
flirtation andlor sexual interest, Eibl-Eibesfeldt (1972) suggests this looks is very evident in dark skinned persons, and if it is not, that would make for
nothing like laughter. I do acknowledge that people are not always certain a signal which is much more apparent in some races than in others. In
whether another is amused with them, or whether they are the object of embarrassment, people often want to hide, and that is consistent with a less
another's amusement, but that underlines the problem it does not provide explicit signal than what occurs in the other basic emotions. Miller and
an answer. Lazarus (personal communication, June '1991) disagrees with Fahey (1991) suggests that blushing can only occur in the presence of
me, believing that it is important and necessary to know, for example, another person, not when one is alone. If this is so, it would be a second
whether one's partner or lover is happy or satisfied. We (Frank, Ekman, & way in which embarrassment differs from the other basic emotions because
Friesen, in press) have recently found that people can distinguish the they can occur when alone, although they typically occur in response to the
enjoyment, or Duchenne smile, from a more social, fabricated smile. actual or remembered actions of others. Recent work by Keltner (personal
Perhaps differences in the timing and in accompanying vocalisation allow communication, October 1991) suggests that the embarrassment signal
the other types of enjoyment to be readily distinguished from one another. involves a sequence of facial and head movements, rather than one set of
One solution to the problem of there being but one facial signal for these co-ordinated muscle movements which occur simultaneously. Keltner also
different positive emotions would be if they are all considered to be has evidence that observers can distinguish between embarrassment and
members of the enjoyment emotion family. The thrill of excitement, relief, amusement.
contentment, might all be different variations on a common theme, just as
annoyance, fury, resentment, and outrage are all members of the anger Awe. Unlike embarrassment, it is not easy to provoke awe in a
family. But this is not a decision to be made theoretically in order to deal
laboratory. It is rare, but I think there is a reasonable chance that it will
with an inconsistency in one's theory. If these positive states are to be also be found to share all nine characteristics.
considered members of one family, research should find a commonality in
192 EKMAN BASIC EMOTIONS 193

Excitement. Tomkins (1962) said excitement is intense, extreme individual past experience will also influence how we deal with these
interest, a position adopted subsequently by Izard (1971). I suspect that fundamental life-tasks, but that is not what is unique to emotions. It is our
excitement is a separate emotion, no more related to interest than it is to past as a species in dealing with fundamental life-tasks and how that
enjoyment or fear. Again, there has been little research on excitement organises and at least initially influences how we appraise and respond to a
itself. current event which marks the emotions.
This is not much help for empiricists who want to know when we can
GENERAL CONSIDERATIONS tell-as observers-if an emotion is occurring. "An observer can infer that
an emotion is likely to be occurring when:
Must a Basic Emotion have all Nine
Characteristics7 the response system changes are complex, when it is not just facial, or
skeletal, or vocal, or [physiological], . . . but a combination;
Those who ask this question usually are specifically questioning the neces- the changes are organised, in the sense of being inter-related and
sity of two of the characteristics: a unique, universal signal, and presence in distinctive . . .;
other animals. I see no reason to argue that the unique signal must be the changes happen quickly;
facial. Vocalisation would be just as good, or a patterned, distinctive set of some of the response system changes are ones common to all people;
body or head movements with or without the face. The more difficult and
question is what if there is no signal of any kind? I have no way of knowing some of the responses are not unique to homo sapiens.
how to answer such a question other than by trying to discover whether
there are actually such signal-less affective states in nature which have all This is not the only time emotion occurs, but when an observer's estimate is
of the other eight characteristics. That research has not been done. The most likely to be safe" (Ekman, 1977, p. 62).
value of the basic emotion approach is to focus our attention on such gaps
in our knowledge. Our task must be to describe nature, to find out what is,
not to prescribe on some a priori basis.
It would certainly be important if emotions which have the other eight How to Deal with all the Other Emotions, such as
characteristics but no distinct signal were discovered. Such emotions would Smugness, Hope, Grief, Jealousy, etc.
have very different social consequences, privately experienced with no Although the emotions I propose to be basic include those most often
notification to conspecifics. I think it unlikely that there are such emotions, considered by other theorists, certainly some affective states remain which
and if they are found we should be interested in how different they may I have not so far considered. I have nine answers to the question of what to
function in our social life. do with these other emotion-related phenomena.
I also think it is unlikely that we will find an emotion that is not evident First, the concept of emotion families, which I introduced at the begin-
in any other animal yet has all of the other characteristics I have described. ning of this paper, allows the inclusion within a family of many variations
Again, this is a question to settle by research not by argument. I do not around a common theme. Thus, many different emotion terms will be
reject the possibility of emotions emerging in humans which are not shown found within each family.
by other animals, I just think it is improbable. Second, it is worth noting that the list of basic emotions and possible
basic emotions is not a short one. It includes (in alphabetical order) anger,
Does any One Characteristic Distinguish the Basic awe, contempt, disgust, embarrassment, excitement, fear, guilt, interest,
Emotions? sadness, shame, and surprise. And also enjoyment, which is comprised of
at least amusement, contentment, relief, enjoyment from sensory sources,
I do not think any of the nine characteristics should be regarded as the sine and enjoyment based on accomplishment. The exact number of emotions
qua non for emotions, the hallmark which distinguishes emotions from is not germane to the basic emotions approach, but it is one of the values of
other affective phenomena. What is unique is that when an emotion occurs that approach to focus attention on trying to discover which affective
we are dealing with current fundamental life-tasks in ways which were phenomena share the nine characteristics I described and therefore should
adaptive in our evolutionary past. This is not to deny that our own be designated basic emotions.
194 EKMAN BASIC EMOTIONS 195

Third, a number of emotion terms can be considered as moods, e.g. blend of enjoyment and disgust. Although I think there is lexical evidence
apprehension, dysphoria, euphoria, irritation. Although each of these for blend terms (e.g. Plutchik, 1962), the evidence for the existence of
moods is highly saturated with one or another emotion, I have argued blends in terms of physiology and expression is meagre. It is equally
elsewhere (Ekman, 1984, in press) that they differ from emotions in what possible that blend terms are used to designate a rapid sequence of two
calls them forth, their time course, the appraisals involved, and the basic emotions. Johnson-Laird and Oatley (this issue) talk of mixed
physiological substrate. emotions, and perhaps this would be a better term, allowing for both
Fourth, a number of emotion terms can be considered as emotional blends and rapidly sequential emotions. This too is an area much in need of
attitudes, for example, love or hatred. They are more sustained, and research.
typically involve more than one emotion. Ninth, is the possibility that there are more emotional words than there
Fifth, a number of terms can be considered as designating emotional are basic emotions, terms which refer not only to the emotion but features
traits (e.g. hostile, melancholic, timorous, Pollyannaish), and sixth, still of the eliciting situation, of differential responses to that situation, etc.
other terms designate emotional disorders (e.g. major depression, anxiety Oatley and Johnson-Laird (1987) and Stein and Trabasso (this issue)
disorder, mania, pathological violence). Both the traits and disorders elaborate how this occurs, and how such variations in emotion terms can be
involve emotions, typically more than one, but they differ from each other dealt with from a basic emotions viewpoint.
and from the emotions themselves, in terms of their time course, and in
other ways as well (see Ekman, 1984, in press). THE VALUE OF THE BASIC EMOTIONS POSITION
Seventh, a number of what others consider to be emotions I think are The basic emotions position which I have described does not dismiss the
more complex, involving settings and stories in which emotions occur.9 I variety of affective phenomena, it attempts to organise those phenomena,
have called these emotional plots. Grief, jealousy, and infatuation are such highlighting possible differences between basic emotions and other affec-
emotional plots which specify (Ekman, 1984, p. 329) tive phenomena, which can only be determined by further research. It
should be clear by now that I do not allow for "non-basic" emotions. All
. . . the particular context within which specific emotions will be felt by the emotions which share the nine characteristics I have described are
specific persons, casting the actors and what has or is about to transpire.
[Grief, for example,] . . . specifies two actors, the deceased and the survivor,
basic. Further research will show, I believe, that they each have unique
something about their past relationship, the survivor was attached to the features (signal, physiology, and antecedent events). Each emotion also
deceased, the pivotal event, one of the actors died. The survivor is likely to has features in common with other emotions-rapid onset, short duration,
feel distress, sadness, and perhaps fear and anger. unbidden occurrence, automatic appraisal, and coherence among
responses-which allow us to begin to deal with fundamental life-tasks
Grief is much more specific than sadness. We know that in grief a death has quickly without much elaborated planning, in ways that have been adap-
occurred, in sadness we only know that the person has suffered an tive in our past.
important loss, but not what kind of loss. Jealousy is another example of an If all emotions are basic, what then is the value of using that term. It
emotional plot. It tells us the cast of three, their roles, something about the underlines the differences between this and other viewpoints and
past history, and the emotions each cast member is likely to feel. Anger approaches to emotion which do not consider emotions to be separate from
may be felt by the spurned one, but sadness and fear may also be felt. We one another, and/or do not take an evolutionary viewpoint. It captures
also know something about the feelings of the rival and the object of what is unique about emotion, and what emotions have in common which
mutual attention. An emotional plot contains much more specific informa- distinguish them from other phenomena. The basic emotions framework
tion, than do any of the basic emotions. Oatley and Johnson-Laird (1987) makes sense of the nine characteristics I have described which distinguish
had a similar concept for what they called "complex emotions". emotions from other affective phenomena.10 This framework serves us
Eighth, is the possibility of blends, terms which describe the co-
occurrence of two quite different emotions, as for example, scorn being a ''Adopting a basic emotions viewpoint does not, however, require a commitment to one or
another position about how emotional behaviour is organised and regulated. In earlier
writings (Ekman, 1972, 1W7) I elaborated on Tomkins' (1962) concept of an "affect
Tomkins (1962) should be credited for emphasising that emotions have generality rather program", which has been criticised by Camras (this issue), Davidson (this issue), and
than containing specific information, although he made this distinction to differentiate Lazarus (1991). I am currently evaluating the advantages and disadvantages of that concept am
emotions from pain, not from what I am calling emotional plots. w~nparedto a neural network.
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