CHAPTER III
SHOCK AND AWE
Many American politicians have taken pleasure in
gloating over the fact that Zacarias Moussaoui, the Frenchman
accused of involvement in the Twin Towers disaster, will certainly
go mad, held as he is in solitary confinement in the Colorado
‘Supermax’ prison. As the judge who passed sentence said: ‘You will
never get a chance to speak again . . . and will die with a
whimper.’
The eminent jurist was not quite justified in his
satisfaction at his captive’s fate, for many of the tens of
thousands kept in endless isolation in American prisons end their
lives not with a whimper, but a scream. Some do fall into insanity
in such places, but much as the religious right might celebrate
their mental decay, they would be dismayed to learn that Moussaoui
will lose his mind for Darwinian reasons. Guy the Gorilla, star of
London Zoo in the 1950s, was admired for his solemn disposition. In
fact, the animal was deeply depressed, kept as he was for years
alone in a small cage (although unlike his human equivalents he had
no opportunity for suicide). Homo sapiens is a social
primate and - like gorillas or chimpanzees - descends from an
ancestor with the same habits. Had our forefathers been solitary
beasts like the orang-utan, which spends most of the year alone,
the worst of all punishments would not be solitary confinement but
an endless dinner party. The constant exchange of subtle emotional
cues around the table would drive all those present to their wits’
end.
Science is often asked to explain what makes men
different from chimpanzees or orangs but in many ways that is not a
scientific issue at all. Such questions deal with the mind rather
than the body or the brain; a topic that most competent biologists
consider to be outside their expertise. Even so, as scientists
compare man’s anatomy and behaviour with that of his relatives,
biology does reveal a little about how humans became what they are.
We are, says all the evidence, creatures that crave society. To
satisfy that yearning we spend large parts of our time in silent
and sometimes subliminal conversation with each other.
Rousseau had a different view of the origin of
human nature. He saw man as in decline from a pure and animal state
and modern society as a corruption of what the world should be.
‘Savage man, left by Nature to bare instinct alone . . . will begin
with purely animal functions . . . His desires do not exceed his
physical needs: the only goods he knows in the Universe are food, a
female, and rest.’ The true life was near-solitude, on a remote
island best of all, with a bare minimum of interaction with others.
The French philosopher’s ideas were romantic, but wrong. Members of
all communities, human or otherwise, must negotiate to maintain
peace, to have sex and to reap the benefits of cooperation. They
use signals both self-evident and subtle to test the mental state
of their fellows and to advertise their own, and even the solitary
orang hoots now and again to impress its neighbours. Civilisation
is based on the ability to respond to another’s sentiments and to
express a mood of one’s own.
In 1879, at the Derby, Darwin’s cousin Francis
Galton noted that he could assess ‘the average tint of the
complexion of the British upper classes’ as he observed the crowd
through his opera-glass. Then the race started, and in a letter to
Nature entitled ‘The Average Flush of Excitement’, he
observed that it became ‘suffused with a strong pink tint, just as
though a sun-set glow had fallen upon it’. A shared hue was a
statement of a common passion and Galton could work out what it was
even when he could not tell individuals apart. In the same way,
someone exposed to an image of a group of people who bear a range
of expressions from happy to miserable can sense their general
state of mind far faster than he could by scanning each visage
separately. Our brain, it seems, has a filter that picks up not
just how many are in a crowd, but how, on average, they feel. The
ability has its down-side. Mass hysteria can spread through society
as shared sentiments feed on themselves; as Charles Mackay put it
in his 1841 book Extraordinary Popular Delusions and the Madness
of Crowds, in an account of the South Sea Bubble and other mass
fantasies, men ‘go mad in herds, while they only recover their
senses slowly, and one by one’.
In 1872, in The Expression of the Emotions in
Man and Other Animals, Darwin discussed the role of signals in
the herds, packs, flocks, towns and cities in which social animals
come together. The book was a first attempt to understand our own
sentiments in scientific terms. He was interested in how mental
actions are manifest in the face and the body and realised how
closely the displays of inner feeling made by men and women
resemble those of animals. The book discusses instinct, learning
and reflexes in creatures as different as moths and apes. Its
author knew that elephants wept and hippopotami sweated with pain
and when he heard a cow grind her jaws in agony he was reminded of
the gnashing of teeth in hell. He saw that loneliness, fear or
anger and their outer signs have all - like limbs or eyes -
evolved. Kick a dog and it crouches and turns down the corners of
its mouth; torture an al-Qaeda suspect and he does the same. The
Expression of the Emotions makes a powerful case for the shared
mental descent of humans, primates, dogs and more.
Our own sentiments have long been compared to those
of other creatures. The seventeenth-century painter Charles Le
Brun, who is referred to in the Emotions book as a pioneer
in the study of human feelings, urged those who tried to portray
their subject’s mood to scrutinise beasts first. A few hours with
swine, lascivious, gluttonous and lazy as they were, would, he was
sure, help depict the inner life of a debauchee. Charles Darwin’s
friend George Romanes went further. He set out a scale with fifty
ranks. Worms and insects came in at step 18 as they could
experience surprise and fear; dogs and apes were equal at point 28
as each had ‘indefinite morality along with the capacity to
experience shame, remorse, deceit and the ludicrous’. Levels 29 to
50 were reserved for men or women of greater or lesser
virtue.
Psychology is still marked by such ideas.
Emotions’ central theme was, as ever, a world in which all
of life’s attributes, from anatomy to anguish, emerge from shared
descent. Science uses that logic on elephants, cows, apes, fruit
flies and bacteria in its attempts to build a shared narrative of
inner feelings. Those who transmit their sentiments expect a
response from those who receive them. That two-way commerce
involves a need to acknowledge, to copy and to respond to the moods
of others. People gasp in sympathy at a sad tale, gaze at where
another person’s eyes are directed or avoid food that someone else
has rejected. Such reflections of another individual’s mental state
are part of what makes us human.
Charles Darwin, a practical man, had little
interest in philosophy. Even so, he realised that the biology of
the mind was harder to interpret than was that of the body. He
wrestled with the issue in rather the same way as modern
psychologists try to come to grips with some of their own sometimes
murky ideas. Can our thoughts be explained just as the ‘direct
action of the excited nervous system on the body, independently of
the will’ and if so, what (if anything) does that mean? Shakespeare
speaks of Cardinal Wolsey when ‘Some strange commotion/ Is in his
brain; he bites his lip and starts;/ Stops on a sudden, looks upon
the ground . . .’ That, Darwin writes, came from the ‘undirected
overflow of nerve-force’ - but is that phrase just an attempt to
avoid deeper and less tractable questions? The task was made harder
by his quarrel with the anti-evolutionist Charles Bell, author of
the standard text on facial anatomy. Bell was convinced - and he
was wrong - that humans had unique muscles divinely designed to
express morality, spirituality or shame: a notion not of much help
to someone anxious to understand the smile or the blush, but an
early example of the preconceived truths that still plague many
attempts to understand the human mind.
After a long stumble through the Freudian fog, the
study of the mental universe has once again become a science, even
if the many claims to have found the neural foundations of society
do not yet deserve that status. Now, physicists and chemists busy
themselves with questions once raised only by intellectuals. In
institutes of psychiatry and neurology, cats, mice and dogs are
used to dissect human habits. Even bacteria behave in a rational
fashion when they settle down close to a source of food, or join
hands with their colleagues to form a sticky film over teeth or
wounds. Certain fruit-fly genes lead to homosexual behaviour and
others to loss of memory, which might one day help in the study of
illnesses such as Alzheimer’s disease. In mice and monkeys,
experiments on brains once done with a scalpel are now carried out
with machines of fantastic complexity. They are also used on people
with brains damaged by strokes or accidents, while drugs help
understand the mental universe of the normal, the reckless and the
insane. Many of the questions raised in The Expression of the
Emotions have a notably modern air and many remain
unanswered.
Emotions is in some ways a less satisfactory
work than are the plant, barnacle or earthworm books and an unusual
note of apology creeps in: ‘Our present subject is very obscure . .
. and it always is advisable to perceive clearly our ignorance’
(and there its author was franker than some of his successors).
Charles Darwin soon found that even what looked simple - the
objective description of the facial expression of a man or a dog,
for example - was hard, while to represent the sentiments behind it
was even harder. That problem, in spite of the wonders of
electronics, still baffles students of the nervous system. He was
suspicious of phrenology - the notion that particular segments of
the brain are associated with, for example, obstinacy, pride or
guile - even if an admirer had claimed that the naturalist’s own
head had ‘the bump of reverence developed enough for ten priests’.
He struggled long and hard with the question as to just where felt
experiences might be seated.
The student of the inner world looked first at the
animals and children of his own household. As a kind-hearted man,
he was careful not to disturb them too much, although his book does
contain images of frightened babies that would see him accused of
cruelty today. His sons, he noted, never pouted, although Francis’s
mouth assumed that expression when he played the flute. He did not
hesitate to play the animal himself. Francis remembered that his
father’s body was very hairy, and that the great man would growl
like a bear when his children put their hands inside his
shirt.
Even in play the Beagle’s naturalist was
serious, and he soon identified some general rules about human and
animal behaviour. Intimations of happiness or grief, of welcome or
rejection and of other opposed sentiments often came as mirror
images. Thus, a frown is the opposite of a smile and a look of
surprise the converse of a greeting. Some gestures emerged from
movements that once had a function of their own. To beg with open
hands is related to the posture taken when holding food and, in the
same way, a person who rejects an advance closes his eyes and looks
away, as if from an unpalatable meal. Animals seemed to follow
similar rules and the paterfamilias of Down House saw almost the
same downcast looks in his household pets as those adopted by his
infant son.
From such simple observations emerged the science
of comparative psychology. It began with dogs.
Pets gain their status because they seem, to their
owners at least, to be almost human. Darwin was no exception and
kept a dog - Sappho by name - even when he was a student. He saw no
problem in describing canine sentiments in the same terms as our
own. His pet when in ‘a humble and affectionate frame of mind’
acted in a way quite different from that of a hostile animal with
its bristling hair and stiff gait. The ‘principle of antithesis’
was hard at work, for opposed sets of muscles were set into action
to express contrasting emotions. The ‘piteous, hopeless dejection’
of his favourite hound when it discovered that it was not about to
go out for a walk but instead was to sit in on an experiment in the
greenhouse was manifest in a ‘hothouse face’, the ‘head drooping
much, the whole body sinking a little and remaining motionless; the
ears and tail falling suddenly down, the tail by no means wagged’.
That was quite different from its expression when happy and
excited, with the head raised, ears erect and tail aloft.
As well as such individual shifts of mood the proud
pet-owner noted marked differences in personality among breeds.
Descent with modification could, it appeared, change minds as
easily as it could bodies. Certain kinds, such as the terrier,
grinned when pleased while others did not. Spitz-dogs - huskies,
elkhounds and the like - barked while the greyhound was silent. The
canine universe encompasses a wide range of talents. Some varieties
herd sheep and cattle (and, in the case of the Portuguese Water
Dog, chivvy fish instead) while others guard, hunt, guide or annoy
the general public. The various breeds when taken together show a
wider range of behaviour than that found among all wild canines -
wolves, foxes, coyotes and jackals - across the world. Many of the
differences are innate, and The Origin tells of a cross with
a greyhound which gave a family of shepherd dogs a tendency to hunt
hares. So impressed was its author with the animals’ divergence in
habits that he suggested some of the household types had descended
from distinct wild ancestors (and there he was wrong).
His favourite pet is back at the centre of the
emotional stage. The world has four hundred million dogs and the
efforts of their owners and the wonders of science have transformed
the creatures into a gigantic experiment on the biology of
sentiment. Even in the brief period since modern breeds began to
emerge in Victorian times dogs have undergone large - and inherited
- changes in temperament.
Men long ago began to use dogs in the hunt. They
soon learned to choose those with their own special abilities - to
track, to run, to squat into a ‘point’ position when prey is
spotted, or to bite and tear or recover corpses - as parents for
the next generation. Such remnants of the chase live on in the
behaviour of Bloodhounds, Pointers, Setters, Retrievers and Bull
Terriers. Herding dogs such as Border Collies stalk a sheep and do
not bite it, but those used to control larger animals - like the
Corgis once used with cattle - go further through the sequence and
snap at their charges. Pit Bulls complete the job and are vicious
creatures that will hold a bull by the nose and as a side-effect
sometimes kill their owners. Guard dogs such as Pyrenean Mountain
Dogs, whose job is to frighten off predators, have given up the
hunt sequence altogether. They play like huge puppies and show
little interest in their herds, but their conduct is odd enough to
persuade wolves to stay away. Such differences emerge from
inherited variation in behaviour within the common ancestors of
each breed, from new genetic errors as the generations succeed each
other, and from the accumulation of change by human choice.
One way to assess a dog’s personality is to startle
it with the appearance of a stranger. Does the animal play with the
visitor, back off, sniff him or chase him out of the room? Does a
sudden noise anger the beast, terrify it or leave it unmoved? Other
tests include the ability to sit still, to cope with solitude
without whining or panic, to run through a maze or to find hidden
food.
Cocker Spaniels are calm and obey orders, while
Basenjis are nervous and almost impossible to train. Crosses
between the two suggest that the difference in their nature is
inborn, for the offspring have a range of talents, intermediate
between each parent. A survey of ten thousand German Shepherds and
Rottweilers in Sweden showed, within each type, a shared
inheritance of excitability, a tendency to wag the tail and a need
to bark, while aggression appears to be under separate control. In
an echo of Expression’s principle that antithetical emotions
are expressed as mirror images, variation in all those capacities
depends on just how shy or how bold a particular breed might
be.
As the dog-fanciers’ tastes became more refined,
more and more specialised varieties emerged. Some began to develop
habits that perturbed their owners. Mating like with like exposed
rare and once-hidden genes, many of which had undesirable effects
on personality. Some have parallels in the mental lives of men and
women. In an echo of human obsessive-compulsive disorder, Bull
Terriers chase their own tails for hours until they collapse, while
Springer Spaniels may savage their masters as they fall into a
sudden attack of uncontrolled rage. Certain families of Bassett
Hounds suffer from a delusion reminiscent of paranoid schizophrenia
and cower at the slightest noise. Some Dobermans, in contrast, fall
into a heavy slumber after an unexpected snack. They have
narcolepsy, a distressing and sometimes dangerous condition also
found in people - and the dogs respond well to the drugs used to
treat human patients.
The double helix reveals why some breeds diverge so
much in personality. The first complete sequence came from a Boxer.
The animal had less DNA than we do, with about twenty thousand
genes altogether, several thousand fewer than ourselves. The hope
is to find canine matches to our own disorders, and some have
already emerged. The sleep problem in Dobermans involves damage to
a certain receptor protein on the surface of brain cells - and the
human equivalent is due to a fault in the same gene. No doubt our
companions will help track down many more of the inherited errors
behind our own mental illnesses, as they already have for
conditions such as blindness. Charles Darwin would be proud.
Dogs are anomalous animals for their habits have
been so subdivided by human effort that their mental universe is
far from typical of a wild creature. Darwin soon moved on in his
search for the roots of human emotion. He spent many hours in the
company of our relatives in London Zoo. He had particular fun with
the anatomy of amusement: ‘Young Orangs, when tickled, likewise
grin and make a chuckling sound . . . as soon as their laughter
ceases, an expression may be detected passing over their faces,
which, as Mr. Wallace remarked to me, may be called a smile . . . I
tickled the nose of a chimpanzee with a straw, and as it crumpled
up its face, slight vertical furrows appeared between the eyebrows.
I have never seen a frown on the forehead of the orang.’ He was
particularly taken by the attempts of a monkey to court its own
image in a mirror and by the antics of Jenny the orang-utan, who
when teased with an apple on the wrong side of the bars ‘threw
herself on her back, kicked and cried, precisely like a naughty
child’.
Primates, like people, reveal their feelings on
their faces. Someone who has never before seen a macaque can at
once identify its mood as sad, happy or enraged, when shown the
appropriate photograph. Many chimpanzee expressions have been
named. They include the closed-mouth smile, its bared-teeth
equivalent (which descends from an ancestor shared with our own
smile), the bozo smile and the play face (a relative of human
laughter), together with subtler statements of mood such as the
stretched pout-whimper. Bonobos have an amused expression - and
noise - which is uncannily like a guffaw. A German expert has
identified an Orgasmusgesicht or ‘orgasm countenance’ in
that species, although its existence in humans remains to be
demonstrated. Gorillas are more impassive for they grin and make
bozo faces but otherwise keep their thoughts to themselves unless
they are simply furious.
Apes and monkeys can interpret their fellows’ moods
to a considerable degree. Electronic avatars of chimps can have
their looks manipulated to simulate pout-whimpers and the rest.
When real animals are presented with their artificial comrades,
they pick out different expressions at once, screaming faces best
of all. They also show some insight into another’s emotions. If one
animal sees another grimace in fear when it hears a sound it had
learned to associate with an electrical shock, the observer will
flinch when the buzzer goes off, even if it has never itself
experienced the shock.
Humans are even better at sensing the moods of
others. We are so aware of facial features that we often see them
when they are not there (which explains the sad ape-like
countenance in NASA’s pictures of the mountains on Mars). Two
scrunched-up newspapers look much the same although their shapes
are quite different, while two faces are seen as quite distinct
although their shapes are almost the same. A simple bar code, the
position of six stripes of dark and light - hair, forehead,
eyebrows, nose, lips and chin - stores most of the data. Most
people can recognise thousands of individuals and sense dozens of
emotional states. Faces are important even to infants. Darwin noted
that, when they were very small, his children spent long periods
gazing at their mother. Now we know that a baby responds to a human
countenance - even in a photograph - within minutes of birth.
Men, like apes, speak with their faces and use more
or less the same language to do so. Angry people and angry gorillas
bare their teeth and a frightened chimpanzee looks rather like a
frightened person. For humans, as for apes, some expressions are
ambiguous. Men and apes bare their teeth when amused but do the
same when filled with terror. Emotions has a picture of a
Sulawesi macaque as it grins in pleasure when stroked - but in
other macaques the same gesture marks submission to a threat. Not
all our grimaces are shared with our relatives, for apes never
signal disgust and their noses, which are more sensitive than our
own, remain unwrinkled even to a repulsive smell. A wide-open mouth
is a threat in many primates but conveys no more than mild surprise
for humans and while elephants weep, our closest kin do not.
Monkeys and apes reflect their moods in their
postures as well as their expressions, and gorillas really do slap
their chests in rage. Men, orangs, chimps and gorillas share the
Italianate habit of waving their hands. Bonobos flap their wrists
in irritation, point at themselves when they need a hug and stick
out their palms when food is on offer. In a further nod at our
common heritage, they prefer to signal with the right hand.
Our faces are more eloquent than are those of any
other primate. Many pages of The Expression of the Emotions
are devoted to the way they reflect their owners’ inner state. Some
read rather quaintly nowadays: ‘the breach of the laws of
etiquette, that is, any impoliteness or gaucherie, any
impropriety, or an inappropriate remark, though quite accidental,
will cause the most intense blushing of which a man is capable.
Even the recollection of such an act, after an interval of many
years, will make the whole body to tingle. So strong, also, is the
power of sympathy that a sensitive person, as a lady has assured
me, will sometimes blush at a flagrant breach of etiquette by a
perfect stranger, though the act may in no way concern her.’ In the
interests of science, modesty gave way to the search for truth:
‘Moreau gives a detailed account of the blushing of a Madagascar
negress-slave when forced by her brutal master to exhibit her naked
bosom’ and the sexual nature of that expression means that
‘Circassian women who are capable of blushing, invariably fetch a
higher price in the seraglio of the Sultan.’ Mark Twain, himself an
ardent evolutionist, put it well: ‘Man is the Animal that Blushes.
He is the only one that does it—or has occasion to.’
Darwin was keen to discover whether signals such as
the blush were the same in every human culture, or whether, like
skin colour, they changed from place to place. He rejected the
popular notion that different races had evolved from higher or
lower forms of primate and that their mental lives and expressions
of mood reflected this. Soon he began to accumulate a mass of
anecdotes that made the case for the universal nature of facial
cues. People also wrote to him about their dogs frowning in
concentration or showing moral courage when their teeth were
pulled. His correspondents included William Ewart Gladstone, who
commented on statements about the Greek visage found in Homer, but
also ‘Captain Speedy who long resided with the Abyssinians; Mr
Bridges, a catechist residing with the Fuegians and Mr Archibald O.
Lang of Coranderik, Victoria, a teacher at a school where
aborigines, old and young, are collected from all parts of the
colony’. One letter told of a Bengali boy with ‘a thoroughly canine
snarl’. Its recipient fired off a series of questions to those
servants of the Queen, sometimes to ludicrous effect (‘Mr B.F.
Hartshorne . . . states in the most positive manner that the Weddas
of Ceylon never laugh. Every conceivable incitive to laughter was
used in vain. When asked whether they ever laughed, they replied:
“No, what is there to laugh at?”’).
In spite of the Weddas, Darwin became certain that
such signs were more or less universal across the globe: ‘The young
and the old of widely different races, both with man and animals,
express the same state of mind by the same movements.’ Hard as it
is to believe, that observation was forgotten and for many years
students of humankind assumed that expressions were determined by
culture and were not coded into DNA (even if nobody found a place
where people laughed in pain or screamed in welcome). Looks of
anger, disgust, contempt, fear, joy, sadness and surprise all are
universal. One tribe in New Guinea cannot separate expressions of
fear from those of surprise - but in that society any intruder is a
threat. People from different cultures do find it harder to
identify each other’s guilty or shamefaced looks than they do a
smile or an expression of terror, so that such subtle statements of
mood may in part be learned. Even smiles are equivocal, for the
beam, grin, smirk, snigger, simper and leer each convey a different
message while people who smile too often come across as nervous
rather than contented. Darwin, too, saw some ambiguities. The
expression in a photograph of a man almost in tears was recognised
by some as a ‘cunning leer’, a ‘jocund’ frame of mind or even as
someone ‘looking at a distant object’.
Once he had established that most such signs were
common to all mankind, Darwin set out to describe them.
Measurement, he knew, is the first step in science (a lesson still
ignored on the wilder shores of psychology) and he tried hard to
give an impartial description of human features (‘The contraction
of this muscle draws downwards and outwards the corners of the
mouth, including the outer part of the upper lip . . . the
commissure or line of junction of the two lips forms a curved line
with the concavity downwards and the lips themselves are generally
somewhat protruded’).
In today’s world of fraud, terrorism and identity
cards such attempts to put facts on to faces have become an
industry. Remarkable claims are made about the ability to identify
people and to sense their states of mind. Some enthusiasts
recognise thirty indications of anger and eight of sadness, with
additional criteria based on how the subject holds his head. George
W. Bush’s countenance was more or less blank whatever message he
tried to put across, but his Department of Homeland Security has
spent millions on machines that claim to detect when a terrorist is
about to attack by the look on his countenance. Nobody denies that
the expression of a Scotsman with a grievance is easy to
distinguish from a ray of sunshine but such claims go too
far.
The face says a lot about how we feel, but - as in
apes - the body adds information to the stream of emotional cues: a
man with raised fists is not about to make a visitor welcome.
Psychologists tend, for practical reasons, to use pictures of faces
alone. That can be a mistake. An image of a man with a disgusted
expression taken from a modern catalogue of facial poses is
interpreted as manifesting revulsion when superimposed on to a body
holding a pair of dirty underpants - but as a look of anger when
added to a torso with fists raised, or of triumph when stuck on to
the beefy frame of a body-builder. The same photograph shown
against the background of a cemetery is interpreted in a different
way than when seen against a neutral surface. For students of the
emotions, the assumption of simplicity can confuse results taken
from the most complicated machines.
The face is a real mirror to the soul. Even a brief
glimpse reveals the presence of another person, identifies who it
might be and gives a strong hint as to what its bearer will do
next. Most westerners interpret a set of features with a quick
triangular scan of both eyes and the mouth, each of which say a lot
about identity and state of mind - but the Chinese tend to
concentrate their attentions instead in a fixed look at the nose
and pick up the general expression of the whole visage in the
background. Scans show that when someone flashes into view, the
brain first notes his or her presence, then identifies who it might
be and last of all of tests their mood: this is a face, it belongs
to Fred, Fred is furious. It processes a portrait twice as fast as
a picture of other objects. A certain part lights up about a tenth
of a second after a face is first seen, notes its identity about a
fifteenth of a second later and takes even longer to interpret what
humour the person might be in.
Some expressions are easier to identify than are
others. The smile is coded deep within the skull and everyone has
an inborn ability to assume it. As Darwin noted, babies born blind
smile without difficulty and (as he did not) blind athletes raise
their arms in the air in a chimp-like gesture of triumph when they
win. Children find it easier to pick out expressions of good cheer
than they do those of fear or disgust. Women smile more at
strangers than do men, while men are worse at working out mood from
a slight movement of the lips. A lopsided grin to the right is seen
by most of us as more joyful than is its equivalent on the left.
Even sheep, when given a choice of a smirking or a sombre shepherd
from whom to take food, prefer the cheery individual. We smile or
raise our arms not to reassure ourselves that we are happy or
proud, but to tell others how we feel. Context is all; when Chelsea
score, fans respond with roars of triumph rather than smiles of
delight, but gold medal winners as they stand on the Olympic podium
have wider grins than do those who have gained bronze.
Signs of delight or terror seem simple enough, but
there are real differences in the ability to decode them. I have a
talent that illustrates that fact, for I can waggle my eyebrows. It
began in school when I was rebuked for glowering. I then tried dumb
insolence with a one-brow grimace rather than the full two-brow
scowl and in time it became easy to alternate. It is still my
occasional habit to amuse small children with the trick - and
almost always they smile back. Unfortunately, an occasional infant
screams instead. The signal is clear but the response
uncertain.
Both steps can go wrong. Some people cannot tell
individuals apart from their faces and use clues from voice or
clothes instead. In one instance, a litigant wandered into court
and discussed his case with a barrister - not his own, but his
opponent’s. The context was right; a lawyer, with a gown, in a
courtroom. The face alone did not fit. Needless to say, he lost.
Face-blindness may be caused by a stroke, but a certain form runs
in families with perhaps just a single gene involved.
Other unfortunates lose the ability to broadcast
their emotions. For some reason - injury, infection, cancer or
brain haemorrhage - the facial nerve no longer works and the
patients cannot express their feelings. They find it hard to assume
looks of happiness, fear or surprise, and their wives, husbands and
friends soon notice the problem. The condition might appear to be
trivial, but in fact causes real distress and sometimes even
suicide, most of all when an attempt to smile emerges as a grimace
or a leer because the eyebrows - usually lifted at a happy moment -
refuse to obey instructions. Some people have their brows
surgically moved upwards (which gives them a permanent look of
surprise), while others grow a long fringe that hides the offending
forehead. The readiness to take such steps shows how much a signal
of mood is a passport to society.
Emotions marked the first real attempt by
science to infer the action of the mind from its external signs.
Scientists now study the activity of brain cells rather than of
facial muscles as they try to understand our inner feelings. The
use of electricity - and of the sophisticated electronic devices
that depend on it - in psychology has become a science of its own.
It was first expounded in Charles Darwin’s book.
The ancient Greeks had used electric fish to treat
headaches but for many years the galvanic fluid was no more than an
entertainment. An entire community of monks was once connected by a
mile-long iron wire and made to jump for the amusement of the King
of France (castrati were tested to see if they acted as insulators,
but they did not). Emotions contains several pictures of
faces stimulated by shocks to give expressions that resemble the
natural look of horror, rage and the like. They came from the
French physician Guillaume-Benjamin-Armand Duchenne de Boulogne.
Duchenne is best remembered for the muscle disease named after him
but he also studied the expression of what he called the
‘passions’, using electrodes touched to different parts of a
countenance to stimulate the muscles. He was the first to notice
that a genuine smile involved raised eyebrows, and his machine
could easily activate those ‘sweet muscles of the soul’ to simulate
a happy beam. He even made the visage of a decapitated criminal
assume a simulacrum of pleasure with a probe upon its cheek.
Duchenne chose as his main subject an aged man of feeble intellect,
for he ‘wanted to prove that, despite defects of shape and lack of
plastic beauty, every human face can become spiritually beautiful
through the accurate rendering of emotions’. His pictures first
came to public attention when they were published in The
Expression of the Emotions. They played an important part in
Darwin’s attempts to give an objective account of expressions of
pleasure or pain.
The machines have marched on. Where Duchenne used a
battery, a metal rod and a plate-camera, scientists in search of
the springs of sentiment now depend on electro-encephalograms,
positron emission tomography or functional magnetic resonance
imaging (FMRI). Tiny electrodes are used to activate single nerve
cells, while the EEG and its relative the magneto-encephalograph
pick up electrical activity within the skull. PET scanners use a
sugar marked with a radioactive label which is taken up by active
parts of the brain and then detect its decay products. The fMRI
machine, in contrast, senses tiny changes of blood flow through the
grey matter from a shift in the magnetic properties of the red
pigment haemoglobin as it gains or loses oxygen.
Marvellous as such techniques are, they run into
many of the problems that plagued Charles Darwin. He had found it
hard to decide just where the jaw ends and the cheek begins or to
identify the precise arrangement of facial muscles. Today’s
arguments about the boundaries between areas of the brain as
defined by electronic scans - confidently coloured and labelled as
the images might be - reflect his own doubts about the anatomy of
the human countenance. Some claim that particular emotions can be
mapped to a definite part of that organ. Others see the brain - as
he saw the face - as a connected structure, with most sections
contributing to most of its functions. Any attempt to pinpoint
centres of anger, joy or despair might be of its nature a
mistake.
Another problem for both the nineteenth and the
twenty-first centuries comes from the need to describe broad
sentiments in narrow terms. Darwin was happy to talk about dogs in
a ‘humble and affectionate frame’ of mind - but how is it possible
to put figures on humility or affection? Objective fact soon slides
into mere interpretation and Expression was itself not
immune from that temptation. Its photographic plates are not
originals but engravings, some touched up to make a point. A mad
lady with tousled hair was given a furrowed brow by the engraver
and a screaming infant was made to look even more miserable than
before by copying the portrait and re-photographing the sketch (the
picture sold hundreds of thousands of copies to a gullible public).
The stream of lurid images of centres for pain, passion and
pleasure that decorate the scientific literature and leak into the
press are also in some senses fakes. Digital information is
processed in a complicated and sometimes subjective way to make a
picture which is often rather more than the sum of its parts.
A final difficulty for both the Victorians and
their descendants was to find subjects who were willing to display
their emotions to the world. Duchenne set up a theatre in which the
public could be delighted by actors galvanically activated to
produce an air of grief or delight. Many of Expression’s
pictures are also based on members of that profession. Among them,
a bearded thespian looks remarkably implausible as he strikes his
attitudes. Actors still play an important part in neuroscience.
Their photographs are taken as they simulate a mood and are then
shown to subjects whose brains are scanned to see which bits light
up. Many of the images look just as posed as do those of Darwin’s
theatrical friend. The artistes overdo the job, often to a bizarre
degree. People shown pictures of frightened or unhappy people taken
from real life have far less of a nervous response than they do to
images of those who simulate a mood as they strut and fret upon the
laboratory floor. Most of us find it harder to interpret the
sentiments (apart from laughter) in silent clips of Hollywood stars
from Dustin Hoffman to Meryl Streep than we do the simulated joy or
terror of a ham actor - and yet the hams are used as raw material
for experiments of huge technical sophistication and expense.
Many claims have been made that particular parts
of the brain respond to the sight of a happy or miserable
countenance and that they prepare the nervous system to beam back
or look sympathetic in return, but they have been hard to
replicate. Because light comedy is a subtler form of entertainment
than is Greek tragedy, the scientists who study that great theatre
of emotion, the face, often focus instead not on mild signs of
contentment or sadness but on expressions of horror and dread that
might provoke an unambiguous response in those who see them.
A blank stare is a signal of terror and Shakespeare
knew as much. A furious Othello says to his supposedly unfaithful
(and frightened) wife Desdemona before he kills her: ‘Let me see
your eyes.’ We have larger eye-whites than any other primate and
take more notice of them, for the mouth is far more important than
the eyes as a chimpanzee emotional signal. We process eyes quicker
than any other feature and fearful, stretched-open eyes even faster
- and women do the job better than men. One woman could not
recognise a picture of a terrified individual because she did not
look at the eyes. When instructed to do so she at once understood
the subject’s frame of mind.
The brain’s main activity in response to a
frightened look takes place in a pair of structures called the
amygdalae. They are almond-shaped groups of nerve cells deep within
the temporal lobes, the side sections of the brain, one on each
side, embedded into what is sometimes seen as the organ’s most
primitive parts. Each is connected to other brain centres, to the
hypothalamus - that hormonal bridge between the nervous system and
the bloodstream - to nerves that feed from pain receptors and from
the eyes, and, in primates more than other mammals, to nerves to
and from the face itself.
Animals in which the structures have been damaged
find it hard to pass the classic test in which fear of an electric
shock becomes associated with the sound of a bell. Experiments on
monkeys in which those parts of the brain were cut out showed that
the unfortunate creatures in addition lost their ability to
recognise familiar objects, together with their nervousness about
humans, and a mother’s affection for her infant. Human patients
with damaged amygdalae have similar problems with emotionally
draining tasks. The amygdala is also involved in memory. People
recall where they were on 11 September 2001 with its help, but
those in whom the structure is damaged remember the Twin Towers
disaster no better than what they had for breakfast.
The amygdalae are busiest when a frightened gaze is
directed straight at its target - which fits Darwin’s idea that a
countenance stricken by terror is an immediate signal of danger. A
few people have such severe brain damage that they perceive
themselves as blind - but show them a scared person and the
amygdala lights up. We are slower to notice the racial origin of an
angry than of a happy face, so that fear has priority over
familiarity. In the United States, images of black people shown to
whites stir up more activity than do those of individuals of their
own skin colour.
The case for the amygdala looks persuasive but, as
usual when it comes to the contents of the skull, real life is not
simple. Other parts of the brain are also involved in the response
to a terrified countenance. The amygdala lights up in response to a
whole face rather than just the eyes, and does so to some degree
whether or not the subject shows signs of alarm. Its main role
might be to notice new events, whatever they might be, rather than
to make a specific response to a particular emotion.
The structure helps to process a nerve-transmitter
called serotonin (which is also involved in temperature control,
sleep, hunger, lust, response to injury, liver repair and more).
Many antidepressants work because they change the way in which
serotonin is broken down, or taken into cells. Variation in the
ability to respond to or to make the substance might be behind
individual responses to fear. Some people are terrified even by the
simplest problems of society. Darwin writes of a dinner party given
for a man who, in response, ‘did not utter a single word; but he
acted as if he were speaking with much emphasis. His friends,
perceiving how the case stood, loudly applauded the imaginary
bursts of eloquence, whenever his gestures indicated a pause, and
the man never discovered that he had remained the whole time
completely silent.’ The unfortunate fellow could now be comforted
with the information that he may have a more active amygdala than
normal and that his nervousness might be treated with drugs that
alter his body chemistry.
Inborn errors in the ability to synthesise
serotonin make some people sad, angry or suicidal. A gene whose
product helps remove the chemical from the junctions between nerve
cells comes in two common forms, one better at the job than the
other. The less active type is more frequent among people who are
anxious, neurotic or depressed - and its bearers are less able to
decode expressions of fear or sadness than are their fellows. The
orang-utan - the most solitary of our primate kin - has a version
of the gene that is even less busy than that of the most socially
isolated human. Whether its feeble serotonin pump has much to do
with its lonely life and presumed dislike of dinner parties remains
to be proved.
People with severe depression often find it hard to
sense the emotions of others. Drugs that affect serotonin can help
the illness - and their immediate effect, sometimes within hours of
the first pill, is to improve a patient’s ability to interpret
their fellow citizens’ feelings from their faces. That simple
talent turns the key that restores them to society.
Nowhere is the importance of signals better seen
than in children. When very young their insights are limited and
self-centred, but soon they begin to understand and to respond to
the moods of those around them. Darwin wrote a Biographical
Sketch of an Infant, an account of child development based on
his son William: ‘When 110 days old he was exceedingly amused by a
pinafore being thrown over his face and then suddenly withdrawn;
and so he was when I suddenly uncovered my own face and approached
his. He then uttered a little noise which was an incipient laugh.’
William ‘did not spontaneously exhibit affection by overt acts
until a little above a year old, namely, by kissing several times
his nurse who had been absent for a short time’. By then he could
tell faces apart (some of which pleased him more than others) and
could copy movements. By the age of eighteen months most children
can separate false movements of anger or upset made in play from
real gestures and by five - school age - they send and receive
information well enough to allow them to live in groups, to learn
and, in time, to join society. A sense of self and a sense of other
are closely related, for the younger a child is able to recognise a
picture of itself the better it interacts with its fellows when it
grows up.
William and his brothers and sisters were lucky for
they were raised in an affectionate household. Many youngsters are
less fortunate. An infant brought up in isolation or by cruel
parents may never adjust to the world around it and can feel
isolated for the rest of its life. The fit between childhood abuse
and adult depression is well established and those taken into care
because of poor parenting are at far higher than average risk of
emotional problems later in life. A failure to be provided with the
signals of affection that bind children to their mothers and
fathers and to society as a whole is to blame.
A few unfortunates suffer from loneliness or
despair for the opposite reason. What condemns them is not neglect
by those who should provide the crucial emotional messages, but
their own inability to receive and interpret them. Such children
are often diagnosed as autistic. They may live in isolation and
unhappiness, with an existence that can seem scarcely human at all,
for children with severe autism cannot make or understand the cues
needed to find a place among their peers. Their plight shows how
central is the ability to express, and to understand, emotions in
allowing every citizen to take part in society.
Autistic children are now treated with sympathy and
concern, but once they were regarded almost as animals. To those
curious about where the essence of humanity might come from, they
were useful raw material for speculation. Rousseau wondered whether
a youth brought up ‘wild, untamable and free’ would be safe from
the corruption faced by those who undergo a normal education. He
pondered an ‘impossible experiment’: to raise a newborn infant in
isolation, but as he wrote, ‘by our very study of man, the
knowledge of him is put out of our power’ - nobody would be so
cruel as to do such a thing. Such a child might, he thought, show
how the true signals of inner sentiment emerge in a creature that
had never received them.
The eighteenth century was a vintage era for ‘wild
children’, those raised - metaphorically or otherwise - by wolves,
in the fashion of Romulus and Remus. The naturalist Linnaeus
classified them as Homo ferus - wild men - whose nature
would reveal what made thinking humans, Homo sapiens,
different. Most of the supposed examples were fakes, but a few were
not.
In 1797, a young boy was found alone and almost
naked in the forests of the Aveyron, in south-central France. He
was captured, escaped, recaptured and escaped again, but in time he
emerged from the woods under his own volition. He was about twelve
years old, unable to speak and savage in his behaviour. A vicious
scar on his throat hinted that his parents had tried, but failed,
to kill their aggravating child. The lad appeared to have been
without contact with others for almost his whole life and showed no
obvious signs of joy, fear or gratitude when at last he met members
of his own species. Here, perhaps, was an opportunity to
investigate the springs of emotion.
A young student, Jean-Marc-Gaspard Itard, heard the
story and saw the chance to test Rousseau’s ideas. He took the
forlorn boy to Paris and set out to try to raise him to the
spiritual level of his fellow citizens.
Itard had trained as a tradesman, but took up
medicine at the time of the French Revolution and later became a
pioneer in the study of diseases of the ear, nose and throat. In
stark contrast to Rousseau he was convinced that the essence of the
human condition lay in the ability to sense the feelings of others
and, armed with that talent, to build a society in which passions
could be kept in check for the good of all. In his ‘Historical
Account of the Discovery and Education of a Savage Man’ he set out
his theory that ‘MAN can find only in the bosom of society the
eminent station that was destined for him in nature . . . that
moral superiority which has been said to be natural to man, is
merely the result of civilization’.
The doctor took young Victor - whom he named after
one of the few sounds, ‘o’ (as in the French word for water), he
was able to recognise - into his household and attempted to train
him to express, and respond to, emotions. He was soon disappointed.
The boy was ‘insensible to every species of moral affection, his
discernment was never excited but by the stimulus of gluttony; his
pleasure, an agreeable sensation of the organs of taste; his
intelligence, a susceptibility of producing incoherent ideas,
connected with his physical wants; in a word, his whole existence
was a life purely animal’.
Itard laboured for five years with both kindness
and cruelty (the latter based on his charge’s fear of heights) to
transform the boy from monster into Frenchman, but with little
success. Victor’s behaviour stayed strange: he was obsessed with
the sound of cracking walnuts but ignored gunshots close to his
ears, and loved to rock water back and forth in a cup. He never
learned to speak and showed no gratitude for food or shelter. The
sole sign he made of any response to the sentiments of others was
that, when Itard’s housekeeper was in tears after the death of her
husband, Victor appeared to comfort her. Apart from that he stayed
apart from his fellow men.
His protector insisted that the young man’s failure
to adapt to the inner worlds of those around him and to express his
own feelings arose because he had been rescued too late to pick up
the skills needed, but that view was too optimistic. The lad would
nowadays be diagnosed as deeply autistic; as unable to respond to,
or give, the signs - the smiles or frowns or conversations - that
bind people to their parents, to their friends and to the community
in which they live. The dire effects of the illness show how the
expression of our own emotions and our response to those of others
makes us what we are.
The term ‘autism’ was invented in the 1940s to
describe a condition in which children fail to interact or to smile
or express sentiments apart from anger and unhappiness. They speak
with difficulty or not at all and are filled with obsessions about
particular foods, places or clothes. About a third suffer from
epilepsy. Three out of four of those with a grave form of the
illness struggle to cope with society throughout their lives.
Autism shades from the severe disturbance shown by Itard’s Wild Boy
himself, through Asperger’s syndrome, in which the language
problems are less marked, to general problems in the development of
normal conduct. Often, the problem is noticed when parents become
concerned by their child’s depression or rage. Some autists, once
unkindly referred to as idiots savants, have remarkable
talents in drawing or in particular mathematical tasks, but their
gifts do no more than disguise their deeper problems. Once, the
illness was said to be rare, with one child in two thousand
affected, but now the diagnosis is made far more often, with an
incidence of one in a hundred in Britain.
Autists cannot understand the signals of their
fellows or make the full complement of their own. All children have
that difficulty in their earliest years. As Darwin wrote in the
Sketch of an Infant, ‘No one can have attended to very young
children without being struck at the unabashed manner in which they
fixedly stare without blinking their eyes at a new face; an old
person can look in this manner only at an animal or inanimate
object. This, I believe, is the result of young children not
thinking in the least about themselves, and therefore not being in
the least shy, though they are sometimes afraid of strangers.’ For
most infants such self-absorption soon passes but an autistic child
is locked into that phase for life. Many, when they look at other
people, ignore the eyes, the flags of sentiment. They are just as
unconcerned when someone else gazes long and hard at them.
The Expression of the Emotions used the
blush as a prime example of a social cue but embarrassment plays a
lesser part in life today. Yawns - unacceptable in a
nineteenth-century parlour - are more frequent. We do not know why
we open our mouths when tired or bored (although the book discusses
the gesture as a threat in baboons). Yawn and the world yawns with
you and even to read about it can spark the gesture off, as about
half the readers of this book can now attest. The habit begins at
about the age of six. Not, however, for children with autism, for a
yawn sparks off far fewer responses among them than among the
general population. Such failures of empathy lie behind many of
their problems.
Psychologists talk of ‘theory of mind’, the ability
to infer the mental state of others from smiles, frowns, gestures
and speech. People with autism have little or no insight into the
inner world of their fellows and cannot express their own internal
universe in a way that makes much sense to those around them. They
are blind to the messages written on another’s countenance and find
it hard to separate gestures of anger, fear, sadness or joy. Like
chimpanzees (but unlike dogs) some autistic children cannot
understand what is meant when their parent or doctor points at an
object. They are denied even that simple social talent.
Autists also find it harder to tell people apart or
to recognise a photograph of themselves. A certain group of brain
cells is activated when monkeys or men see or copy the movements of
others or observe an expression of pain, fear or disgust. They are
also involved in the shared response to a yawn or a smile. These
mirror neurons, as they are called, are almost silent in children
with the severe form of the disease. Perhaps they are part of the
system that helps us see into the souls of those around us. In
their failure they condemn people with autism to a world whose
other denizens act in a mysterious and unpredictable way.
Nobody knows what causes autism and the condition
has no cure, even if some of its symptoms such as insomnia or
depression can be treated. The illness is four times more frequent
in boys than girls, but shows no fit with race, social class or
parental education. Infection, immune problems, vaccines, heavy
metals, drug use while pregnant, Caesarean births and defective
family structure in Freudian mode (the child psychologist Bruno
Bettelheim spoke of ‘refrigerator mothers’) have all been blamed
but those claims do not stand up. Some say that the brain of a
typical autistic child grows too fast too soon, but then slows
down. The amygdalae - those detectors of fear - are overactive in
some patients, but many other parts of the brain have also been
implicated. Problems with serotonin, that universal alibi for
disorders of emotion, may be to blame, for some autistic children
synthesise the stuff less well than normal. Certain drugs used
against depression can help, as a further hint of a tie between
social isolation and the emotional universe.
Genes are without doubt involved in some patients,
even if not more than a tenth or so of cases can be ascribed to a
definite genetic cause. If an identical twin has autism its sib is
at a seven-in-ten risk while the figure risk for non-identicals is
far lower. The incidence increases by twenty times above average in
the brothers and sisters of those with autism and some among them
are tactless, aloof or silent but are not diagnosed as ill.
Such behaviour sometimes presents itself as part of
a larger medical problem. Fragile-X syndrome is the commonest cause
of mental disability among boys. It comes from a huge
multiplication of a short segment of DNA upon the X chromosome.
Some patients have symptoms quite like those of autism and some
individuals diagnosed with that condition may in fact have the
chromosomal abnormality. Other deletions, duplications or reversals
of a segment of chromosome are behind other cases of the illness.
Often, these arise anew in the children compared with their
parents. Some badly affected patients have problems with a gene
involved in the transmission of impulses between nerves. A few may
have errors elsewhere in the DNA - and dozens of genes, with a
variety of tasks, have been blamed. One candidate belongs to a
group of genes that is multiplied in number in humans compared with
all other mammals, is active in the brain and is damaged in at
least a few autistic children. In spite of such hints the biology
of autism remains obscure and there are likely to be several
explanations for a condition that is not a single disease but
many.
Autistic children are an experiment in emotion.
Their isolation is mental rather than physical, for they are cut
off by an inability to respond to the flow of information that
passes between others. A world full of autists could not function,
for all societies depend on a silent dialogue in which every
member’s intentions are overtly or otherwise expressed.
Civilisation turns on the ability to bear another’s company.
Those who break civilisation’s rules must be
punished; and part of that invariably involves the manipulation of
a criminal’s mental state. Prisons are, of their nature, places in
which social interactions are forcibly reduced. Solitary
confinement is a penalty far more severe than mere imprisonment,
for it is autism imposed: a permanent denial of what it means to be
human, inflicted upon someone who once experienced the full range
of human emotion. The penalty is bitter indeed and is much appealed
to by punitive societies, from medieval England to the modern
United States. Charles Dickens visited such a penitentiary in
Philadelphia and wrote that ‘I hold this slow and daily tampering
with the mysteries of the brain to be immeasurably worse than any
torture of the body.’ The infamous ‘Supermax’ at Marion, Illinois,
a jail built to hold the most violent offenders, together with
political prisoners such as Black Panthers and members of the
American Indian Movement, allowed almost nobody out of their cells
for twenty years, even to exercise. It closed in 2007, but some of
its forty and more replacements are just as brutal. Some even feed
their inmates on tasteless ‘Nutraloaf ’ further to reduce their
contact with the world of the senses. Many inmates - like autists -
become anxious, agitated and angry, and may end in insanity,
killing themselves should the chance arise.
If Zacarias Moussaoui, sentenced to life in
solitary for his supposed ties to the Twin Towers outrage, were
allowed reading material in his soundproofed Colorado cell he might
learn something from both Dickens and Darwin about why he feels
such hatred for those who do not share his views. As books are not
available, he may wish instead to spend his solitary hours in
contemplation of the expression of a condemned prisoner as the
electricity passes through his head, which is said - in an echo of
the great naturalist’s own observations - to be of ungovernable
horror.