Facial feedback hypothesis
Encyclopedia
The facial feedback hypothesis states that facial movement can influence emotional experience. For example, an individual who is forced to smile during a social event will actually come to find the event more of an enjoyable experience.
Charles Darwin
was among the first to suggest that physiological changes caused by an emotion had a direct impact on, rather than being just the consequence of that emotion.
Following on this idea, William James
proposed that contrary to common belief, awareness of bodily changes activated by a stimulus "is the emotion" (1890, p449). If no bodily changes are felt, there is only an intellectual thought, devoid of emotional warmth.
This proved difficult to test, and apart from studies of people with severely impaired emotional functioning, and some animal research, little evidence was available. The facial feedback hypothesis, "that skeletal muscle feedback from facial expressions plays a causal role in regulating emotional experience and behaviour" (Buck, 1980, p813) developed almost a century after Darwin.
, 1989, p252), modern research mainly focusses on the effects of facial muscular activity. One of the first to do so, Tomkins
wrote in 1962: "...the face expresses affect, both to others and the self, via feedback, which is more rapid and more complex than any stimulation of which the slower moving visceral organs are capable" (Aldemann & Zajonc, 1989, p255).
Two versions of the facial feedback hypothesis appeared, although "these distinctions have not always been consistent" (Zajonc, Murphy & Inglehart, 1989, p396).
According to Browndyke (2002, p3), "the strongest evidence for the facial feedback hypothesis to date comes from research by Lanzetta et al. (1976)". Participants had lower skin conductance and subjective ratings of pain when hiding the painfulness of the shocks they endured, compared with those who expressed intense pain.
In all research, however, difficulty remained in how to measure an effect without alerting the participant to the nature of the study and how to ensure that the connection between facial activity and corresponding emotion is not implicit in the procedure.
. This resulted in "the inability of research using spontaneous efference to separate correlation
from causality" (Adelmann & Zajonc
, 1989, p264). Laird (1974) used a cover story
(measuring muscular facial activity with electrodes) to induce particular facial muscles contraction in his participants without mentioning any emotional state. However, the higher funniness ratings of the cartoons obtained by those participants "tricked" into smiling may have been caused by their recognising the muscular contraction and its corresponding emotion: the "self-perception mechanism", which Laird (1974) thought was at the root of the facial feedback phenomenon. Perceiving physiological changes, people "fill the blank" by feeling the corresponding emotion. In the original studies, Laird had to exclude 16% (Study 1) and 19% (Study 2) of the participants as they had become aware of the physical and emotional connection during the study.
Another difficulty is whether the process of manipulation of the facial muscles did not cause so much exertion and fatigue that those, partially or wholly, caused the physiological changes and subsequently the emotion.
Finally, the presence of physiological change may have been induced or modified by cognitive process.
In an attempt to provide a clear assessment of the theory that a purely physical facial change, involving only certain facial muscles, can result in an emotion, Strack, Martin, & Stepper (1988) devised a cover story that would ensure the participants adopt the desired facial posing without being able to perceive either the corresponding emotion or the researchers' real motive. Told they were taking part in a study to determine the difficulty for people without the use of their hands or arms to accomplish certain tasks, participants held a pen in their mouth in one of three ways. The Lip position would contract the orbicularis oris muscle
, resulting in a frown. The Teeth position would cause the zygomaticus major
or the risorius muscle, resulting in a smile. The control group would hold the pen in their nondominant hand. All had to fill a questionnaire in that position and rate the difficulty involved. The last task, which was the real objective of the test, was the subjective rating of the funniness of a cartoon. The test differed from previous methods in that there were no emotional states to emulate, dissimulate or exaggerate. As predicted, participants in the Teeth condition reported significantly higher amusement ratings than those in the Lips condition. The cover story and the procedure were found to be very successful at initiating the required contraction of the muscles without arising suspicion, 'cognitive interpretation of the facial action (Strack, Martin & Stepper, 1988), and avoiding significant demand and order effects. It has been suggested that more effort may be involved in holding a pen with the lips compared with the teeth (Zajonc
, Murphy & Inglehart, 1989, p396). However, it has resolved many of the methodological issues associated with the facial feedback hypothesis. Darwin's theory can be demonstrated, and the moderate, yet significant effect of this theory of emotions opens the door to exciting new research on the "multiple and nonmutually exclusive plausible mechanisms" (McIntosh, 1996) of the effects of facial activity on emotions.
) mechanisms, it is possible that effects attributed to facial feedback are due solely to feedback mechanisms, or feed-forward mechanisms, or some combination of both. Recently, strong experimental support for a facial feedback mechanism is provided through the use of botulinum toxin
(commonly known as Botox) to temporarily paralyze facial muscles. Botox selectively blocks muscle feedback by blocking presynaptic acetylcholine receptors at the neuromuscular junction
. Thus, while motor efference commands to the facial muscles remain intact, sensory afference from extrafusal muscle fibers, and possibly intrafusal muscle fibers, is diminished.
Although several studies have examined the correlation of botox injections and emotion, only a few studies have used experimental control to test their hypotheses.
In a functional neuroimaging
study, Andreas Hennenlotter and colleagues (Hennenlotter et al., 2008) asked participants to perform a facial expression imitation task in an fMRI scanner before and two weeks after receiving botox injections in the corrugator supercilii muscle
used in frowning. During imitation of angry facial expressions, botox decreased activation of brain regions implicated in emotional processing and emotional experience (namely, the amygdala
and the brainstem), relative to activations before botox injection. These findings show that facial feedback modulates neural processing of emotional content.
In a study of cognitive processing of emotional content, David Havas and colleagues (Havas, Glenberg, Gutowski, Lucarelli, & Davidson, 2010) asked participants to read emotional (angry, sad, happy) sentences before and two weeks after botox injections in the corrugator supercilii muscle
used in frowning. Reading times for angry and sad sentences were longer after botox injection than before injection, while reading times for happy sentences were unchanged. This finding shows that facial muscle paralysis has a selective effect on processing of emotional content. Intriguingly, it also demonstrates that cosmetic use of botox affects some aspects of human cognition
. Many people disagree with Darwin's theory.
Background
The free expression by outward signs of an emotion intensifies it. On the other hand, the repression, as far as this is possible, of all outward signs softens our emotions... Even the simulation of an emotion tends to arouse it in our minds.
(Darwin, 1872, p366) http://pages.britishlibrary.net/charles.darwin3/expression/expression14.htm
Charles Darwin
Charles Darwin
Charles Robert Darwin FRS was an English naturalist. He established that all species of life have descended over time from common ancestry, and proposed the scientific theory that this branching pattern of evolution resulted from a process that he called natural selection.He published his theory...
was among the first to suggest that physiological changes caused by an emotion had a direct impact on, rather than being just the consequence of that emotion.
Refuse to express a passion, and it dies (James, 1890, p463) http://psychclassics.yorku.ca/James/Principles/prin25.htm
Following on this idea, William James
William James
William James was a pioneering American psychologist and philosopher who was trained as a physician. He wrote influential books on the young science of psychology, educational psychology, psychology of religious experience and mysticism, and on the philosophy of pragmatism...
proposed that contrary to common belief, awareness of bodily changes activated by a stimulus "is the emotion" (1890, p449). If no bodily changes are felt, there is only an intellectual thought, devoid of emotional warmth.
This proved difficult to test, and apart from studies of people with severely impaired emotional functioning, and some animal research, little evidence was available. The facial feedback hypothesis, "that skeletal muscle feedback from facial expressions plays a causal role in regulating emotional experience and behaviour" (Buck, 1980, p813) developed almost a century after Darwin.
Development of the theory
While James included the influence of all bodily changes on the creation of an emotion, "including among them visceral, muscular, and cutaneous effects" (Adelmann & ZajoncRobert Zajonc
Robert Bolesław Zajonc was a Polish-born American social psychologist who is known for his decades of work on a wide range of social and cognitive processes.-Mere Exposure Effect:...
, 1989, p252), modern research mainly focusses on the effects of facial muscular activity. One of the first to do so, Tomkins
Silvan Tomkins
Silvan Solomon Tomkins is best known as a psychologist and personality theorist and as the developer of Affect theory and Script theory...
wrote in 1962: "...the face expresses affect, both to others and the self, via feedback, which is more rapid and more complex than any stimulation of which the slower moving visceral organs are capable" (Aldemann & Zajonc, 1989, p255).
Two versions of the facial feedback hypothesis appeared, although "these distinctions have not always been consistent" (Zajonc, Murphy & Inglehart, 1989, p396).
- The weak version, introduced by Darwin, sees the feedback intensify or reduce an emotion already present. McCanne & Anderson (1987) instructed participants to suppress or increase the zygomaticZygomaticus major muscleThe Zygomatic major is a muscle of the human body. It is a muscle of facial expression which draws the angle of the mouth superiorly and posteriorly . Like all muscles of facial expression, the zygomatic major is innervated by the facial nerve...
or corrugatorCorrugator supercilii muscleThe Corrugator supercilii is a small, narrow, pyramidal muscle, placed at the medial end of the eyebrow, beneath the Frontalis and just above Orbicularis oculi....
muscle while imagining pleasant or unpleasant scenes. Subsequent alteration of the emotional response was shown to have occurred. - The strong version implies that facial feedback by itself can create the whole emotion.
According to Browndyke (2002, p3), "the strongest evidence for the facial feedback hypothesis to date comes from research by Lanzetta et al. (1976)". Participants had lower skin conductance and subjective ratings of pain when hiding the painfulness of the shocks they endured, compared with those who expressed intense pain.
In all research, however, difficulty remained in how to measure an effect without alerting the participant to the nature of the study and how to ensure that the connection between facial activity and corresponding emotion is not implicit in the procedure.
Methodological issues
Originally, the facial feedback hypothesis studied the enhancing or suppressing effect of facial efference on emotion in the context of spontaneous, "real" emotions, using stimuliStimulus (physiology)
In physiology, a stimulus is a detectable change in the internal or external environment. The ability of an organism or organ to respond to external stimuli is called sensitivity....
. This resulted in "the inability of research using spontaneous efference to separate correlation
Correlation
In statistics, dependence refers to any statistical relationship between two random variables or two sets of data. Correlation refers to any of a broad class of statistical relationships involving dependence....
from causality" (Adelmann & Zajonc
Robert Zajonc
Robert Bolesław Zajonc was a Polish-born American social psychologist who is known for his decades of work on a wide range of social and cognitive processes.-Mere Exposure Effect:...
, 1989, p264). Laird (1974) used a cover story
Cover-up
A cover-up is an attempt, whether successful or not, to conceal evidence of wrong-doing, error, incompetence or other embarrassing information...
(measuring muscular facial activity with electrodes) to induce particular facial muscles contraction in his participants without mentioning any emotional state. However, the higher funniness ratings of the cartoons obtained by those participants "tricked" into smiling may have been caused by their recognising the muscular contraction and its corresponding emotion: the "self-perception mechanism", which Laird (1974) thought was at the root of the facial feedback phenomenon. Perceiving physiological changes, people "fill the blank" by feeling the corresponding emotion. In the original studies, Laird had to exclude 16% (Study 1) and 19% (Study 2) of the participants as they had become aware of the physical and emotional connection during the study.
Another difficulty is whether the process of manipulation of the facial muscles did not cause so much exertion and fatigue that those, partially or wholly, caused the physiological changes and subsequently the emotion.
Finally, the presence of physiological change may have been induced or modified by cognitive process.
Strack, Martin & Stepper's test of the hypothesis
In an attempt to provide a clear assessment of the theory that a purely physical facial change, involving only certain facial muscles, can result in an emotion, Strack, Martin, & Stepper (1988) devised a cover story that would ensure the participants adopt the desired facial posing without being able to perceive either the corresponding emotion or the researchers' real motive. Told they were taking part in a study to determine the difficulty for people without the use of their hands or arms to accomplish certain tasks, participants held a pen in their mouth in one of three ways. The Lip position would contract the orbicularis oris muscle
Orbicularis oculi muscle
The orbicularis oculi is a muscle in the face that closes the eyelids. It arises from the nasal part of the frontal bone, from the frontal process of the maxilla in front of the lacrimal groove, and from the anterior surface and borders of a short fibrous band, the medial palpebral ligament.From...
, resulting in a frown. The Teeth position would cause the zygomaticus major
Zygomaticus major muscle
The Zygomatic major is a muscle of the human body. It is a muscle of facial expression which draws the angle of the mouth superiorly and posteriorly . Like all muscles of facial expression, the zygomatic major is innervated by the facial nerve...
or the risorius muscle, resulting in a smile. The control group would hold the pen in their nondominant hand. All had to fill a questionnaire in that position and rate the difficulty involved. The last task, which was the real objective of the test, was the subjective rating of the funniness of a cartoon. The test differed from previous methods in that there were no emotional states to emulate, dissimulate or exaggerate. As predicted, participants in the Teeth condition reported significantly higher amusement ratings than those in the Lips condition. The cover story and the procedure were found to be very successful at initiating the required contraction of the muscles without arising suspicion, 'cognitive interpretation of the facial action (Strack, Martin & Stepper, 1988), and avoiding significant demand and order effects. It has been suggested that more effort may be involved in holding a pen with the lips compared with the teeth (Zajonc
Robert Zajonc
Robert Bolesław Zajonc was a Polish-born American social psychologist who is known for his decades of work on a wide range of social and cognitive processes.-Mere Exposure Effect:...
, Murphy & Inglehart, 1989, p396). However, it has resolved many of the methodological issues associated with the facial feedback hypothesis. Darwin's theory can be demonstrated, and the moderate, yet significant effect of this theory of emotions opens the door to exciting new research on the "multiple and nonmutually exclusive plausible mechanisms" (McIntosh, 1996) of the effects of facial activity on emotions.
Studies using botulinum toxin (Botox)
Because facial expressions involve both motor (efferent) and sensory (afferentAfferent
Afferent is an anatomical term with the following meanings:*Conveying towards a center, for example the afferent arterioles conveying blood towards the Bowman's capsule in the Kidney. Opposite to Efferent.*Something that so conducts, see Afferent nerve fiber...
) mechanisms, it is possible that effects attributed to facial feedback are due solely to feedback mechanisms, or feed-forward mechanisms, or some combination of both. Recently, strong experimental support for a facial feedback mechanism is provided through the use of botulinum toxin
Botulinum toxin
Botulinum toxin is a protein produced by the bacterium Clostridium botulinum, and is considered the most powerful neurotoxin ever discovered. Botulinum toxin causes Botulism poisoning, a serious and life-threatening illness in humans and animals...
(commonly known as Botox) to temporarily paralyze facial muscles. Botox selectively blocks muscle feedback by blocking presynaptic acetylcholine receptors at the neuromuscular junction
Neuromuscular junction
A neuromuscular junction is the synapse or junction of the axon terminal of a motor neuron with the motor end plate, the highly-excitable region of muscle fiber plasma membrane responsible for initiation of action potentials across the muscle's surface, ultimately causing the muscle to contract...
. Thus, while motor efference commands to the facial muscles remain intact, sensory afference from extrafusal muscle fibers, and possibly intrafusal muscle fibers, is diminished.
Although several studies have examined the correlation of botox injections and emotion, only a few studies have used experimental control to test their hypotheses.
In a functional neuroimaging
Functional neuroimaging
Functional neuroimaging is the use of neuroimaging technology to measure an aspect of brain function, often with a view to understanding the relationship between activity in certain brain areas and specific mental functions...
study, Andreas Hennenlotter and colleagues (Hennenlotter et al., 2008) asked participants to perform a facial expression imitation task in an fMRI scanner before and two weeks after receiving botox injections in the corrugator supercilii muscle
Corrugator supercilii muscle
The Corrugator supercilii is a small, narrow, pyramidal muscle, placed at the medial end of the eyebrow, beneath the Frontalis and just above Orbicularis oculi....
used in frowning. During imitation of angry facial expressions, botox decreased activation of brain regions implicated in emotional processing and emotional experience (namely, the amygdala
Amygdala
The ' are almond-shaped groups of nuclei located deep within the medial temporal lobes of the brain in complex vertebrates, including humans. Shown in research to perform a primary role in the processing and memory of emotional reactions, the amygdalae are considered part of the limbic system.-...
and the brainstem), relative to activations before botox injection. These findings show that facial feedback modulates neural processing of emotional content.
In a study of cognitive processing of emotional content, David Havas and colleagues (Havas, Glenberg, Gutowski, Lucarelli, & Davidson, 2010) asked participants to read emotional (angry, sad, happy) sentences before and two weeks after botox injections in the corrugator supercilii muscle
Corrugator supercilii muscle
The Corrugator supercilii is a small, narrow, pyramidal muscle, placed at the medial end of the eyebrow, beneath the Frontalis and just above Orbicularis oculi....
used in frowning. Reading times for angry and sad sentences were longer after botox injection than before injection, while reading times for happy sentences were unchanged. This finding shows that facial muscle paralysis has a selective effect on processing of emotional content. Intriguingly, it also demonstrates that cosmetic use of botox affects some aspects of human cognition
Cognition
In science, cognition refers to mental processes. These processes include attention, remembering, producing and understanding language, solving problems, and making decisions. Cognition is studied in various disciplines such as psychology, philosophy, linguistics, and computer science...
. Many people disagree with Darwin's theory.
See also
- Theories on emotion
- Facial Action Coding SystemFacial Action Coding SystemFacial Action Coding System is a system to taxonomize human facial expressions, originally developed by Paul Ekman and Wallace V. Friesen in 1978...
- James-Lange theoryJames-Lange theoryThe James–Lange theory refers to a hypothesis on the origin and nature of emotions and is one of the earliest theories of emotion, developed independently by two 19th-century scholars, William James and Carl Lange.-Overview:...
Books
- Darwin, C.Charles DarwinCharles Robert Darwin FRS was an English naturalist. He established that all species of life have descended over time from common ancestry, and proposed the scientific theory that this branching pattern of evolution resulted from a process that he called natural selection.He published his theory...
(1872). The Expression of the emotions in man and animals. London:John Murray, 366. Fulltext - James, W.William JamesWilliam James was a pioneering American psychologist and philosopher who was trained as a physician. He wrote influential books on the young science of psychology, educational psychology, psychology of religious experience and mysticism, and on the philosophy of pragmatism...
(1890). The principles of Psychology. Fulltext
External links
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