Ilan Shalif

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In this study we developed a new version of the evolutional- developmental theory of emotion. We tried to reconcile the contradictions of theory and empirical-results of studies, between the evolutional theories of emotion and the parsimonious and abstract cognitive theories and their models for the emotional domain.

From our theory we deducted two main hypotheses for empirical examination. The essence of the first one is that the main dimensions of discrimination among the emotions of daily life (moods, feelings, etc.) which are manifested through facial expressions, converge with the main basic emotions of the evolutional theories of emotion: happiness, surprise, interest, fear,anger, disgust, sadness.

The essence of the second is that the main dimensions of discrimination among the variety of words which express many different emotions, and are used to describe the introspected emotions of daily life, converge with the three abstract bi-polar dimensions of emotion (or the connotative meaning of Osgood, 1964) namely: evaluation, potency, activity.)

The first hypothesis was supported in the main. The theoretical implications of what was found to be in accord with this hypothesis and the implication of that which was in contradiction or neutral to it are enormous. The results enrich the empirical support of the evolutionary theories using data drawn from daily life. This was very much needed by these theories for the validation of claims about the role of basic emotions in man.

The second hypothesis was refuted. It was found that the dimensions of discrimination among the words also converge with the basic emotions and slightly so (if at all) with the abstract ones. Our effort to reconcile the two contending approaches failed. However, the efforts were not in vain.


This unexpected result gives greater support to the evolutional developmental approach to the emotional domain, it undermines the basis of the parsimonious-cognitive approach and its models. It suggests that the methodological domain is the basis for explanations for the contradictions between the empirical results of the two approaches. It seems that Ekman, et al. (1982) criticism of previous research of the facial expression of emotion is also relevant to that of the verbal research of emotion.

The inborn emotional structures that were detected

When theory or hypothesis predicts that the variables that are studied are relatively independent of each other; and a dimension of the mathematical multidimensional scaling (S.S.A.-I in our study) is correlated to a variable with an expected content - we can conclude that there is a certain convergence between them. If the variable is correlated at the same time with other dimensions of the analysis - a problem may result.

Though we can be relatively sure that the variable examined is related to the specific domain which is studied, it is not easy to trace the reason or the causes for the multiple correlations.

One possible reason can be that the axis-dimensions of the mathematical solution were rotated because of none systematic or irrelevant variance found in the data. Another reason can be that the correlated dimensions converge because of basic component(s) of the variables examined which are common to both, as variables may be compounds (and not pure or primary ones). A third reason can be that there is significant interaction between the variables studied despite the assumption that they are independent of one another.

The following paragraphs reveal the main indications found in our study for the convergence between the main dimensions of discriminations among the emotions of daily life and inborn structures of emotion. (Not according to the order of appearance in the empirical finding.)


The contentment-distress or happiness-sadness dimension

In both the words and facial expressions the first dimension is bi polar, and is the most prominent one. In both, the following dimensions have much smaller weight than the first dimension. There is a correspondence between the content of the first dimension of the two kinds of items.

The content of one pole of the first dimension converges with the content of the well known inborn structure sadness or its higher intensity level - distress. It was studied extensively as the Separation Distress (see Bowlby, 1969-81). The content of the second pole of the first dimension converges with the content of the well studied content of happiness-contentment that was thought to be another inborn structure.

The facial expressions that fit the two poles of this structure are the quiet and open smile for the positive side (and not the face of laughter that is somewhat associated with it because of the open mouth with uncovered teeth and positive content). The facial expression for the other pole is the `crying face'. It seems that each analyses of the central nervous system of date is monitored intensively by this inborn structure. Therefore it is easy to "abstract" the concrete content of this structure and to name it "the evaluation dimension".

The dimension of attention to the environment

The two kinds of items reveal two relatively independent aspects of attention. The second dimension of words seems to converge with the alertness of the widely studied vigilance (of signal detecting tasks) and the feelings of the period of the continuous mood of wariness (of the studies of strangers' anxiety of the first years of life). It seems that this basic emotion is part of the mixture of elevated emotions that is commonly found when the "conflict of fight or flight" is not settled yet.

This dimension has a significant correlation with the surprise dimension of the facial expressions. It seems that the core of the second dimension of words and at least part of that of the fifth dimension of the facial expression is concentrated attention on the environment.


The elevation in attention is common to many intentional behaviors and therefore it might be "abstracted" to be called 'the dimension of activity'.

The dimension of pride versus shame

One of the most important aspects of the environment and the stream of life in it - to be monitored, is the consequences of what happens to the status of the individual in the hierarchy of the group. The emotion of pride is converging with the direction of high status and shame with the lower status. The bipolarity of this dimension is the cause of the significant and negative correlation between the pride dimension of the words and the shame dimension of the facial expressions.

In primate groups, one of the most common signs for submission is a ritual of pseudu-sexual-receptivity - individuals of both sexes demonstrate this to any threatening dominant figure in order to prevent an expected attack. This relation between the two is the cause of blushing that is a pseudo-sign for sexual arousal. This phenomenon is in essence the reason for the similarity between shame, and shyness-coyness it simulate.

The dimension of fear

The content of the third dimension of the facial expressions is fear. This content has no clear parallel among the dimensions of the words. As the collection of words include in it this emotion and as the subjects used it in their discrimination among the faces, the only logical explanation is that subjects were reluctant to reveal in a consistent and frank manner their feelings of fear.

The difference between the words and the facial expressions seems to be an equivalent to the differences between tests with an obvious content and projective tests. The inborn structure of fear which is one of the four whose brain structure is already clear (see Fonberg, 1986), monitors the expected damaging factors of the environment.


The dimension of anger versus patience

The content of this dimension was found clearly in the facial expressions and less so in the words, seemingly, for the same reasons as those of fear. The content of this dimension converges mainly with the activity of the structure that monitors the frustrating aspects of the environment and the success of the efforts for overcoming them.

It seems that the consistency of this mood is not independent of other emotions: The intensity of patience - the eighth dimension of the words is negatively correlated to anger. On the other end, the highest positive correlation of the anger (versus patience) dimension of the words is with the pride (versus shame and embarrassment) dimension of the words. The higher is one in the social hierarchy the more he can afford to feel anger.

The surprise dimension

The content of this dimension is that of the structure that monitors the unexpected. This structure monitors the input information for the amount of unexpected changes or the discrepancy between the expected and the observed (and the amount of attention needed for the examination of that discrepancy).

It seems that the items of surprised faces used in this study and those used by others are not really "clean" from the outcome of the unexpected. There is a difference whether the outcome is of positive or of neutral or is of negative value. It is also different when the assimilation of the unexpected is swift or slow. It seems that the expression of the elevation of alertness in the items that are faces of surprise is the cause of the correlation between the two dimensions.

The facial dimension of surprise is also correlated with the "longing stupefaction": r=-0.16, p<.022. (Stupefaction is mainly with the same content as surprise but of higher intensity.) It is also negatively correlated with the seventh dimension of the words, that contain in it the regularity aspect. It seems that the "startled face" is the most suitable for the expression of the high intensity of this structure.


The dimension of altruistic feelings (interest and patronage)

The core of this emotional dimension is the monitoring of the need to treat the needy ones of the group - immature young and all those who suffer. In lower animals it seems to work as IRM mechanisms (Inborn Releasing Mechanism) that are mostly activated by the distress signals of young ones of the species. In human, the equivalence is observed in the "Altruistic Emotions" (see Frijda, 1986 p355; on the unselfish emotions). This content converges with that of the fifth dimension of the words - the "pity dimension" and with the altruistic aspects of the second dimension of the facial expression - interest in others. stressing this point are the words leniency, patience, concern, generosity, tenderness - that are significantly correlated with both.

The dimension of preoccupation: longing and guilt versus lightness

The content of this dimension seems to be the preoccupation with unfinished business: frustrations, guilt, longing for family members (and the embitterment of the ninth dimension of the words) etc. The "guilt" direction of the facial expressions (which is highly correlated to the longing direction of the words) is in the opposite direction to that of relief and humorous, astonishment and even suspiciousness that distract the focus of attention from unfinished business to the outside world. This content with the most known representative - guilt was theorized about by a wide spectrum of researchers.

The significant correlation between the facial dimension and the verbal alertness dimension is mainly due to the nature of unfinished business. There is not ample clear evidence for the existence of a unique expression of it and for the specific dynamics of this basic emotion. However, Darwin (1872) was sure of its existence and brings evidence to support it. Tomkins (1982) claims that guilt is emotionally identical to shame. Our findings are in accord with Darwin's.

The disgust and revulsion dimension

The main content of this inborn monitoring structure is the inborn patterns of defense against bad food. During socialization it adds the content of certain body functions and odors and even behaviors that are against the mores of the group.


The contempt dimension

This basic emotion was supposed to be represented in this study as a control subgroup of facial expressions. Those items were found to be with low content-validity. However, the verbal items included in them the content of this emotion - contempt, mockery, scorn and disqualification. The highest correlations of the word contempt is with the eighth and ninth dimensions of the faces. It is also one of the edge words of the ninth dimension of words that seem to be about the introjection and extrojection of contempt.

The bi-polar continoum of love and hate

Darwin (1872) was skeptical about the detectability of the emotion of tender love in a unique facial expression. The pair of words - love and hate were found to correlate with the ninth dimension of the faces (r=+0.15 and r=-0.15: p<.05). Hate (but not love) is highly correlated with the tenth dimension of the words (p<.02).

Excitement versus indifference or the play center

The fourth dimension of the words is mainly of the contradiction of excitement versus boredom and indifference. Excitement behavior is - according to Frijda (1986, p36-39) an equivalent to that of joy. This content converges with that of the `play face' (ibid) and laughter and with a specific inborn brain structure (see Panksepp, 1981, 1986).

In conclusion:

The above findings about twelve concrete and discrete emotional contents are a firm support to the modern evolutional theories of emotion. They are a significant blow to the "thrifty-parsimonious-cognitive" approach and to our theoretical effort to reconcile between the two contradicting schools of theories of emotion. It seems that the following methodological approach will be more suitable for the solution of this contradiction.


On the methodology of the research of the primary variables of emotions

There are many aspects of the emotional life of the human being and it is irrational to expect that one and the same methodology is suitable for all of them. The core of the emotional domain is the brain structures of the basic emotions and their ongoing activities. While the neurological and neuro-psychological approaches have their own new methodologies and results, the psychological approach is mainly using outdated methodologies. Those methodologies do not make use of the fast developing computer resources.

Few obstacles can be overcome with the methodology used in this study:

The first one is the about the choice of a suitable research strategy. This study enable now the recognition that the discovering of new categories of emotion that have their own facial expressions and the ability to discriminate among them is not fit for studying the entire inventar of the primary variables of the emotional domain.

In spite of the fact that the primary variables of this domain act in relatively independent of each other, only multivriate and especially multidimensional paradigms are fit for the study of it. And this so, because these variables are active in parallel all the time.

Izard's (1971) claim that the multidimensional methodologies do not fit to deal with this domain is unfounded. It is the only methodology that can tackle so easily with a domain which has so many primary variables which are relatively independent of one another but active simultaneously.

However, even when one uses multidimensional approach one can be trapped by ignorance about the problematic flaws of the specific techniques of this approach. The first and the most important is the relation between the data collecting stage of the study and the interpretation of the results.


The best example for this problem is the puzzling contradiction of two dimensional results when the items are the relatively pure facial expressions of basic emotions. Usually in those studies the variance of each basic emotion in the items is slight dew to the effort to build pure items. In these cases, only "non parsimonious analysis" with a large number of dimensions (or factors) equal (or larger than) the number of the basic variables can extract the factors or dimensions of the first order. Otherwise, the extracted factor or dimensions are of the smaller number of the second order - as can nearly always be extracted from those of the first order.

The proponents of the "parsimonious-cognitive" approach get their two or three- dimensional results, at least partly, due to the above problem.

The second main problem of previous studies is that of the task of the subjects. As demonstrated by Hirschberg (1980) subjects can use different sets of variables when doing their task - even during the same session and while they work with the same items. When one studies the primary variables of a domain which requires being analyzed by multidimensional (or factor) analyses, one cannot rely on the old methodologies of pre multidimensional scaling.

The "new" approach of Guttman (1957, 1968) culminated in the methodology of the "facet analyses" and the mapping sentence, stress the need (in certain cases) for a scale with a common direction for all the items intended for an analysis. This common scale is also the best way to overcome the problem of finding a collection of representative scales, the problem of research bias in the collection or building of scales.

It is the only logical way to solve the logical contradiction of the need to know the main results in advance in order to include in a study all the relevant items and scales. Guttman's solution for that problem culminated in this study in the scale of "how much the emotion expressed in ... [and here comes the specific item] is similar to your present mood or feelings". The above scale allows the subjects to use all the dimensions of discrimination that are relevant to them. (Those that are common to a significant number of subjects, are reconstructed by the multidimensional analysis.)


The most problematic stage of multidimensional research is that of the interpretation of the meaning of the mathematical solutions of the computer. The elegant solution of this problem has already been available for at least twenty years. Guttman and Lingoes series of multidimensional technics (Lingoes, 1973 - S.S.A.P-I) contain it, and also Takane, at al. (1977 - INDSCAL) and Shalif et al. (1981 - a simplified version of the S.S.A.P.-I).

The essence of those techniques is the computation of subjects' dimensional scores (equivalent in a way to subjects' factor scores). Those subjects score can be correlated or used in other statistical tests and analysis to yield a meaningful and objective interpretation of the mathematical multidimensional solutions.

The above technique enables one to use items that are natural mixtures of the basic variables of the study as one does not need to know their meaning in advance in order to interpret the meaning of the dimensions or the directions of the domain.

Though, even while using this technique there is some subjective influence in the interpretation of the results, it is usually restricted by the availability of a lot of objective data that can be open to the critical reader.

The rotation of the axis (dimensions) of the mathematical solutions in a systematic way is not easy to obtain or control yet. Therefore, part of the systematic variance is "lost" and it is difficult to test the measure of the relative independence of directions in the mathematical solutions. However, any primary variable of an examined domain, which is relatively independent of the others, and is represented in the data by a systematic variance, will have its special impact on the results. That impact can always be traced - at list partially.


One of the serious obstacles in the study of emotion is the response sets of the subjects, and the usual use of facial expressions as the preferred means to overcome it. This solution has its draw backs as well, as it is still practically impossible to acquire spontaneous expressions with the needed component(s) and to ensure that they are of the precisely needed content.

Ekman et al. (1982) conclude that all previous studies failed in their treatment of this problem. As found in this study, even Ekman and Friesen's (1975) technique did not solve the problem. It seems that the best solution of this problem is the use of emotions induced by hypnosis in relatively young models whose faces do not have significant chronic expressions of emotion.

Another error usually done in the study of the emotional domain as a whole is the reliance on a too small number of items and variables. The number of the main items of this study is 253 and even this seems to be too small. When one studies a domain with so many basic variables and dimensions one cannot be "parsimonious".

In this study, about 14 basic emotions were encountered and those are (according to few theorists) are only the most prominent ones. In research of phenomena of this kind, all the studies which used only a few dozen items each, did not have a chance of finding the full collection of basic emotions. In these studies, even the finding of all the main ones has only a small chance.



This study used the new multidimensional methodology for the study of the contradicting theories and findings in research of the primary variables of emotion. We tested in it hypothesis derived from a cognitive evolutional theory that was advanced to reconcile the contradiction between the simple evolutional theories, and the parsimonious cognitive approaches (of two and three abstract emotional dimensions). Our theoretical claims as to the essence and the source of this contradiction was disconfirmed. It was found that even the words of emotion are a legitimate and most relevant input for the basic emotions of the adult.

The main contributions of this study is the identification of problems in the methodological domain as the source of the above contradiction. By doing so we also obtained a most significant support for the evolutional groups of theories.

This study clarifies and enrich our knowledge of the dynamics of emotional daily life and especially with regard to the moods and feelings of mild intensities.

This study can be a prototype for the development of a new convenient technique for the measurement of human emotions.



The list of 148 words of materials: 2 and their subgroups,

"C" Words that have the letter "C" to their left, are words of emotion that were included for control and are not part of the basic list of 96.
"*" Words that have the asterisk "*" to their left, are names of dimensions and variables that were found in previous studies and are not emotions.
"R" Words that have the letter "R" to their left, are included in the basic list of 96 and were taken from Russell (1980) - 25 out of his 28 words.

  activity          decisiveness        haughtiness       restrained
  adoration       R delighted           helplessness    * restraint
  alarm           * dependence          hope              right(ness)
  alertness       R depression          humiliation     * rigor
R anger             desire              indifference      routine
  animosity         despair             inferiority     R sadness
R annoyance       * dimness           * initiative      R satisfaction
R anxiety           disappointment    * intensity       R satisfied
* appetite          disgust             interest          scepticism
* approval        * disqualification  * intricacy         scorn
* artificiality     disregard           involvement     R serenity
  astonishment      disrespect          joy               servility
R at ease         R distress            leniency          shame
  attraction      C droopy              loneliness      * sharpness
* balanced          embarrassment       longing         C shyness
  belonging         embitterment      C love            * simplicity
C bitterness        enjoyment         * meditative      * sincerity
R bliss           C envy              C mirth           * sleepy
* blur            * exaggeration      R misery          * slumber
  boldness        R excitement        C mockery           sorrow
R boredom         R fatigue           * naturalness     * stability
R calmness        R fear                nervousness       stubbornness
  caution           firmness            pain              suffering
* clearness       * frankness           panic           C superiority
  compassion        fondness          * passiveness       surprise
* complexity      C friendly            patience          suspiciousness
C concern         R frustration         pity              sympathy
  conciliated     C gaiety            R pleasure          tenderness
  confidence      C generosity        * posing          R tension
* constraint      C gloom               pride             tolerance
* confusion         grateful            quiscence       R tranquillity
  contempt        C greediness          regret          C uneasiness
R contentment       grievance         R relaxed         * unstable
  courage           guilt               relief          * vigilance
C craving         R happiness           repulsion       * weakness
* criticism       * haste             C respect           wory
  curiosity         hate              C restlesness       yearning


The source of the 57 items of materials: 1/a, 1/b AND 1/c, the item numbers in the free grading task and their placement on plates for the Q-sort

Materials 1a - The 48 items of Szondi test were arranged according to their original numerical order in the free grading, and according to the standard of the test in the Q-sort.

Materials 1b and 1c - The 57 artificial basic emotions and combinations were arranged in the Q-sort, in two to three row on a plates according to the number of items on a plate.

The plates: I - VI are of the Szondi Test (1a); VII - X are of the 33 items of basic emotions (1b), XI and XII are of the 24 artificial mixtures of emotion taken from Ekman & Friesen (1975) (1c).

The table of abbreviations

 An Anger     Ha  Happiness Cn Control      D Down   No. Number
Co Contempt  In  Interest  Sc Scepticism   U Up       p Page
Dg Disgust   Sa  Sadness   Qu Questioning  L Left    71 Izard(1971)
Dt Distress  Sh  Shame     Ne Neutral      M Middle  77 Izard (1977)
Fe Fear      Su  Surprise  Mx Mixed        R  Right  75 Ekman & Friesen (1975)
      VII(11)            VIII                 IX                X
1.Ha 75 p112 L   | 8.In 77  p85 No.5 |17.Ha 75 p112 R   |22.In 71 p329 R
2.Su 75 p42  L   | 9.Ha 71 p236 No.2 |18.Su 75 p45  L   |23.Ha 71 p328 M
3.Fe 75 p181 R U |10.Su 71 p236 No.3 |19.Fe 75 p62  R   |26.Su 71 p328 L
4.An 75 p185 L D |11.Dt 71 p236 No.4 |20.An 75 p42  R   |27.Sa 75 p127 R(12)
5.Dg 75 p30  R   |12.An 71 p237 No.6 |21.Dg 75 p30  L   |28.An 77 p88  No.9
6.Sa 75 p193 L D |13.Sh 71 p237 No.7 |22.Sa 75 p127 L   |29.Sh 71 p329 L
7.Co 75 p183 L D |14.Fe 71 p330 L    |23.Co 75 p25  R U |30.Dt 75 p122 R
                 |15.Dg 71 p328 R    |                  |31.Fe 77 p91  No.1
                 |16.Ha 71 p237 No.9 |                  |32.Dg 71 p237 No.5
                                                        |33.Co 71 p330 M
              XI                                    XII
1.Ne    p38 L  | 7.An+Fe p96  R || 13.Su+Qu p177 R D | 19. Mx    p86  R D
2.Su+Fe p59 R D| 8.An+Cn p97  L || 14.Ne    p51  L   | 20.Ha+Su  p197 L U
3.Su+Dg p73 D  | 9.Ha+Su p108 L || 15.Co+An p185 R U | 21.Ha+Su  p197 R U
4.Sc+D  p74 L  |10.Ha+An p110 L || 16.Co+Dg p72  R D | 22. Ha+Co p109 D
5.Mx    p86 L U|11.Sa+Fe p122 L || 17.Sc+Dg p74  R   | 23.Sa+Dg  p125 L
6.An+Dg p93 D  |12.Sa+An p123 D || 18.Fe+Dg p75  D   | 24.Sa+Ha  p126 L
(11) The Roman numerals indicate the plates. The Arabic numerals indicate
the items in their respective group - a\II and a\III
(12) This item is of Distress according to Izard (1977). But he took it
from Ekman & Friesen (1975) who made it represent Sadness.

Appendices No.3: Table of Contents of the final draft of the disertation

Abstract - Hebrew                                                       a
Introduction                                                            1
Theoretical background                                                  4
   Types of variables discovered                                        5
   The two main approaches                                              7
   The main problems of previous research                              13
   What is emotion                                                     17
   What is the universe of emotional phenomena                         28
   What is the subjective experiance of emotion                        32
   The main discriminatios among the emotions                          34
   On the methology of the research in field of emotion                64
The theory of this study                                               83
The hypothesis                                                         94
The method                                                             97
   The subjects                                                        97
   The tools                                                           98
   The procedure                                                      102
   The computation of the dimensional scores for the subjects         110
Results                                                               113
   The subjects                                                       113
   The items and their scores                                         114
   Directions of the space of discriminations among facial expression 136
   The content of the ten dimensions of the 48 mixed emotions' space  163
   The dimrensions of discrimination ammong the 96 words of emotion   172
   The relations between the words' dimensions and the facials'ones   183
Discussion                                                            188
Appendices                                                            231
References                                                            234
Abstract - English                                                     I


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