The Expression of the Emotions in Man and Animalsby Charles Darwin
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Darwin's work of 1872 still provides the point of departure for research in the theory of emotion and expression. Although he lacked the modern research tool of cybernetics, his basic methods have not been improved upon. Lay readers, too, will be struck by the freshness and directness of this book, which includes, among other data, Darwin's delightfully objective analysis of his own baby's smiles and pouts.
"The appearance of this new edition of Darwin's extraordinary book is a major event in the human sciences."Steven Pinker
"Darwin's most readable and human book, full of enchanting observations, provocative theories, and remarkable photographs.... This new comprehensive edition of Expression will introduce a new generation of readers to Darwin's masterpiece, undiminished and intensely relevant even 125 years after publication."Oliver Sacks
"Over many years, while engaged on other work, Darwin was researching the Expression of the Emotions in Man and Animals, his most extraordinary and approachable book, rich in observed detailed and brilliant speculation, beautifully illustratedone of the first scientific books to use photographs, including some of his own baby pouting and laughingand now available in a third edition, prepared and annotated by the great American psychologist of the emotions, Paul Ekman... Darwin's book was out of favour for a long time after his death. The climate of opinion has changed now, and Ekman's superb edition is a major published event and has been enthusiastically welcomed."From a lecture, entitled Science and Human Nature, given at Oxford University by Ian McEwan
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The Expression of the Emotions in Man and Animals
By Charles Darwin
The University of Chicago PressCopyright © 1965 The University of Chicago
All rights reserved.
GENERAL PRINCIPLES OF EXPRESSION.
The three chief principles stated — The first principle — Serviceable actions become habitual in association with certain states of the mind, and are performed whether or not of service in each particular case — The force of habit — Inheritance — Associated habitual movements in man — Reflex actions — Passage of habits into reflex actions — Associated habitual movements in the lower animals — Concluding remarks.
I WILL begin by giving the three Principles, which appear to me to account for most of the expressions and gestures involuntarily used by man and the lower animals, under the influence of various emotions and sensations. I arrived, however, at these three Principles only at the close of my observations. They will be discussed in the present and two following chapters in a general manner. Facts observed both with man and the lower animals will here be made use of; but the latter facts are preferable, as less likely to deceive us. In the fourth and fifth chapters, I will describe the special expressions of some of the lower animals; and in the succeeding chapters those of man. Everyone will thus be able to judge for himself, how far my three principles throw light on the theory of the subject. It appears to me that so many expressions are thus explained in a fairly satisfactory manner, that probably all will hereafter be found to come under the same or closely analogous heads. I need hardly premise that movements or changes in any part of the body, — as the wagging of a dog's tail, the drawing back of a horse's ears, the shrugging of a man's shoulders, or the dilatation of the capillary vessels of the skin, — may all equally well serve for expression. The three Principles are as follows.
I. The principle of serviceable associated Habits. — Certain complex actions are of direct or indirect service under certain states of the mind, in order to relieve or gratify certain sensations, desires, &c.; and whenever the same state of mind is induced, however feebly, there is a tendency through the force of habit and association for the same movements to be performed, though they may not then be of the least use. Some actions ordinarily associated through habit with certain states of the mind may be partially repressed through the will, and in such cases the muscles which are least under the separate control of the will are the most liable still to act, causing movements which we recognize as expressive. In certain other cases the checking of one habitual movement requires other slight movements; and these are likewise expressive.
II. The principle of Antithesis. — Certain states of the mind lead to certain habitual actions, which are of service, as under our first principle. Now when a directly opposite state of mind is induced, there is a strong and involuntary tendency to the performance of movements of a directly opposite nature, though these are of no use; and such movements are in some cases highly expressive.
III. The principle of actions due to the constitution of the Nervous System, independently from the first of the Will, and independently to a certain extent of Habit. — When the sensorium is strongly excited, nerve-force is generated in excess, and is transmitted in certain definite directions, depending on the connection of the nerve-cells, and partly on habit: or the supply of nerveforce may, as it appears, be interrupted. Effects are thus produced which we recognize as expressive. This third principle may, for the sake of brevity, be called that of the direct action of the nervous system.
With respect to our first Principle, it is notorious how powerful is the force of habit. The most complex and difficult movements can in time be performed without the least effort or consciousness. It is not positively known how it comes that habit is so efficient in facilitating complex movements; but physiologists admit "that the conducting power of the nervous fibres increases with the frequency of their excitement." This applies to the nerves of motion and sensation, as well as to those connected with the act of thinking. That some physical change is produced in the nerve-cells or nerves which are habitually used can hardly be doubted, for otherwise it is impossible to understand how the tendency to certain acquired movements is inherited. That they are inherited we see with horses in certain transmitted paces, such as cantering and ambling, which are not natural to them, — in the pointing of young pointers and the setting of young setters — in the peculiar manner of flight of certain breeds of the pigeon, &c. We have analogous cases with mankind in the inheritance of tricks or unusual gestures, to which we shall presently recur. To those who admit the gradual evolution of species, a most striking instance of the perfection with which the most difficult consensual movements can be transmitted, is afforded by the humming-bird Sphinxmoth (Macroglossa); for this moth, shortly after its emergence from the cocoon, as shown by the bloom on its unruffled scales, may be seen poised stationary in the air, with its long hair-like proboscis uncurled and inserted into the minute orifices of flowers; and no one, I believe, has ever seen this moth learning to perform its difficult task, which requires such unerring aim.
When there exists an inherited or instinctive tendency to the performance of an action, or an inherited taste for certain kinds of food, some degree of habit in the individual is often or generally requisite. We find this in the paces of the horse, and to a certain extent in the pointing of dogs; although some young dogs point excellently the first time they are taken out, yet they often associate the proper inherited attitude with a wrong odour, and even with eyesight. I have heard it asserted that if a calf be allowed to suck its mother only once, it is much more difficult afterwards to rear it by hand. Caterpillars which have been fed on the leaves of one kind of tree, have been known to perish from hunger rather than to eat the leaves of another tree, although this afforded them their proper food, under a state of nature; and so it is in many other cases.
The power of Association is admitted by everyone. Mr. Bain remarks, that "actions, sensations and states of feeling, occurring together or in close succession, tend to grow together, or cohere, in such a way that when any one of them is afterwards presented to the mind, the others are apt to be brought up in idea." It is so important for our purpose fully to recognize that actions readily become associated with other actions and with various states of the mind, that I will give a good many instances, in the first place relating to man, and afterwards to the lower animals. Some of the instances are of a very trifling nature, but they are as good for our purpose as more important habits. It is known to everyone how difficult, or even impossible it is, without repeated trials, to move the limbs in certain opposed directions which have never been practised. Analogous cases occur with sensations, as in the common experiment of rolling a marble beneath the tips of two crossed fingers, when it feels exactly like two marbles. Everyone protects himself when falling to the ground by extending his arms, and as Professor Alison has remarked, few can resist acting thus, when voluntarily falling on a soft bed. A man when going out of doors puts on his gloves quite unconsciously; and this may seem an extremely simple operation, but he who has taught a child to put on gloves, knows that this is by no means the case.
When our minds are much affected, so are the movements of our bodies; but here another principle besides habit, namely the undirected overflow of nerveforce, partially comes into play. Norfolk, in speaking of Cardinal Wolsey, says —
"Some strange commotion
Is in his brain; he bites his lip and starts;
Stops on a sudden, looks upon the ground,
Then, lays his finger on his temple: straight,
Springs out into fast gait; then, stops again,
Strikes his breast hard; and anon, he casts
His eye against the moon: in most strange postures
We have seen him set himself." — Hen, VIII., act 3, sc. 2.
A vulgar man often scratches his head when perplexed in mind; and I believe that he acts thus from habit, as if he experienced a slightly uncomfortable bodily sensation, namely, the itching of his head, to which he is particularly liable, and which he thus relieves. Another man rubs his eyes when perplexed, or gives a little cough when embarrassed, acting in either case as if he felt a slightly uncomfortable sensation in his eyes or windpipe.
From the continued use of the eyes, these organs are especially liable to be acted on through association under various states of the mind, although there is manifestly nothing to be seen. A man, as Gratiolet remarks, who vehemently rejects a proposition, will almost certainly shut his eyes or turn away his face; but if he accepts the proposition, he will nod his head in affirmation and open his eyes widely. The man acts in this latter case as if he clearly saw the thing, and in the former case as if he did not or would not see it. I have noticed that persons in describing a horrid sight often shut their eyes momentarily and firmly, or shake their heads, as if not to see or to drive away something disagreeable; and I have caught myself, when thinking in the dark of a horrid spectacle, closing my eyes firmly. In looking suddenly at any object, or in looking all around, everyone raises his eyebrows, so that the eyes may be quickly and widely opened; and Duchenne remarks that a person in trying to remember something often raises his eyebrows, as if to see it. A Hindoo gentleman made exactly the same remark to Mr. Erskine in regard to his countrymen. I noticed a young lady earnestly trying to recollect a painter's name, and she first looked to one corner of the ceiling and then to the opposite corner, arching the one eyebrow on that side; although, of course, there was nothing to be seen there.
In most of the foregoing cases, we can understand how the associated movements were acquired through habit; but with some individuals, certain strange gestures or tricks have arisen in association with certain states of the mind, owing to wholly inexplicable causes, and are undoubtedly inherited. I have elsewhere given one instance from my own observation of an extraordinary and complex gesture, associated with pleasurable feelings, which was transmitted from a father to his daughter, as well as some other analogous facts. Another curious instance of an odd inherited movement, associated with the wish to obtain an object, will be given in the course of this volume.
There are other actions which are commonly performed under certain circumstances, independently of habit, and which seem to be due to imitation or some sort of sympathy. Thus persons cutting anything with a pair of scissors may be seen to move their jaws simultaneously with the blades of the scissors. Children learning to write often twist about their tongues as their fingers move, in a ridiculous fashion. When a public singer suddenly becomes a little hoarse, many of those present may be heard, as I have been assured by a gentleman on whom I can rely, to clear their throats; but here habit probably comes into play, as we clear our own throats under similar circumstances. I have also been told that at leaping matches, as the performer makes his spring, many of the spectators, generally men and boys, move their feet; but here again habit probably comes into play, for it is very doubtful whether women would thus act.
Reflex actions. — Reflex actions, in the strict sense of the term, are due to the excitement of a peripheral nerve, which transmits its influence to certain nervecells, and these in their turn excite certain muscles or glands into action; and all this may take place without any sensation or consciousness on our part, though often thus accompanied. As many reflex actions are highly expressive, the subject must here be noticed at some little length. We shall also see that some of them graduate into, and can hardly be distinguished from actions which have arisen through habit. Coughing and sneezing are familiar instances of reflex actions. With infants the first act of respiration is often a sneeze, although this requires the co-ordinated movement of numerous muscles. Respiration is partly voluntary, but mainly reflex, and is performed in the most natural and best manner without the interference of the will. A vast number of complex movements are reflex. As good an instance as can be given is the often-quoted one of a decapitated frog, which cannot of course feel, and cannot consciously perform, any movement. Yet if a drop of acid be placed on the lower surface of the thigh of a frog in this state, it will rub off the drop with the upper surface of the foot of the same leg. If this foot be cut off, it cannot thus act. "After some fruitless efforts, therefore, it gives up trying in that way, seems restless, as though, says Pflüger, it was seeking some other way, and at last it makes use of the foot of the other leg and succeeds in rubbing off the acid. Notably we have here not merely contractions of muscles, but combined and harmonized contractions in due sequence for a special purpose. These are actions that have all the appearance of being guided by intelligence and instigated by will in an animal, the recognized organ of whose intelligence and will has been removed."
We see the difference between reflex and voluntary movements in very young children not being able to perform, as I am informed by Sir Henry Holland, certain acts somewhat analogous to those of sneezing and coughing, namely, in their not being able to blow their noses (i. e. to compress the nose and blow violently through the passage), and in their not being able to clear their throats of phlegm. They have to learn to perform these acts, yet they are performed by us, when a little older, almost as easily as reflex actions. Sneezing and coughing, however, can be controlled by the will only partially or not at all; whilst the clearing the throat and blowing the nose are completely under our command.
When we are conscious of the presence of an irritating particle in our nostrils or windpipe — that is, when the same sensory nerve-cells are excited, as in the case of sneezing and coughing — we can voluntarily expel the particle by forcibly driving air through these passages; but we cannot do this with nearly the same force, rapidity, and precision, as by a reflex action. In this latter case the sensory nerve-cells apparently excite the motor nerve-cells without any waste of power by first communicating with the cerebral hemispheres — the seat of our consciousness and volition. In all cases there seems to exist a profound antagonism between the same movements, as directed by the will and by a reflex stimulant, in the force with which they are performed and in the facility with which they are excited. As Claude Bernard asserts, "L'influence du cerveau tend donc à entraver les mouvements réflexes, à limiter leur force et leur étendue."
The conscious wish to perform a reflex action sometimes stops or interrupts its performance, though the proper sensory nerves may be stimulated. For instance, many years ago I laid a small wager with a dozen young men that they would not sneeze if they took snuff, although they all declared that they invariably did so; accordingly they all took a pinch, but from wishing much to succeed, not one sneezed, though their eyes watered, and all, without exception, had to pay me the wager. Sir H. Holland remarks that attention paid to the act of swallowing interferes with the proper movements; from which it probably follows, at least in part, that some persons find it so difficult to swallow a pill.
Another familiar instance of a reflex action is the involuntary closing of the eyelids when the surface of the eye is touched. A similar winking movement is caused when a blow is directed towards the face; but this is an habitual and not a strictly reflex action, as the stimulus is conveyed through the mind and not by the excitement of a peripheral nerve. The whole body and head are generally at the same time drawn suddenly backwards. These latter movements, however, can be prevented, if the danger does not appear to the imagination imminent; but our reason telling us that there is no danger does not suffice. I may mention a trifling fact, illustrating this point, and which at the time amused me. I put my face close to the thick glass-plate in front of a puff-adder in the Zoological Gardens, with the firm determination of not starting back if the snake struck at me; but, as soon as the blow was struck, my resolution went for nothing, and I jumped a yard or two backwards with astonishing rapidity. My will and reason were powerless against the imagination of a danger which had never been experienced.
The violence of a start seems to depend partly on the vividness of the imagination, and partly on the condition, either habitual or temporary, of the nervous system. He who will attend to the starting of his horse, when tired and fresh, will perceive how perfect is the gradation from a mere glance at some unexpected object, with a momentary doubt whether it is dangerous, to a jump so rapid and violent, that the animal probably could not voluntarily whirl round in so rapid a manner. The nervous system of a fresh and highly-fed horse sends its order to the motory system so quickly, that no time is allowed for him to consider whether or not the danger is real. After one violent start, when he is excited and the blood flows freely through his brain, he is very apt to start again; and so it is, as I have noticed, with young infants.
Excerpted from The Expression of the Emotions in Man and Animals by Charles Darwin. Copyright © 1965 The University of Chicago. Excerpted by permission of The University of Chicago Press.
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Meet the Author
Paul Ekman is Professor of Psychology at the University of California at San Francisco. He is the editor of Darwin and Facial Expression and The Nature of Emotion, and author of Telling Lies: Clues to Deceit in the Marketplace, Politics, and Marriage. He lives in San Francisco.
- Date of Birth:
- February 12, 1809
- Date of Death:
- April 19, 1882
- Place of Birth:
- Shrewsbury, England
- Place of Death:
- London, England
- B.A. in Theology, Christ¿s College, Cambridge University, 1831
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