This essay deals with the question whether facial expressions are universal meaning
that all cultures use the same mimics for expressing a certain feeling. Are these
expressions innate or do they have to be learned?
First, I will give an overview of Charles Darwin’s theory about the universality of facial
expressions because he was the first who dealt in detail with this issue.
The chapter is subdivided in three parts: the first part describes the relationship
between the facial expressions of nonhuman primates and human primates. The
following part deals with Darwin’s observations of the facial expression in infants and
children including those children that have no opportunity to learn facial expressions
from others. Finally, Darwin’s method of cross-cultural study in order to provide
evidence for his claim will be presented.
The second chapter depicts the behaviourists’ position that in contrast to the
Universalists’ point of view is based on the belief that all facial expressions are
learned and culturally bound.
The main chapter represents the most current and detailed research of facial
expressions. The studies of Paul Ekman and Wallace Friesen refer mainly to Darwin
but also consider the cultural aspect. They introduce a neurocultural theory of
emotions, showing that the facial behaviour itself is determined by biological factors
as well as by social factors. Further, I will give a summary of three important
experiments Ekman and Friesen conducted in order to proof that the facial
expressions for the six basic emotions are universal.
[...]
Table of contents
1. Introduction
2. The Universalist approach - Charles Darwin
2.1 the origins of facial expressions
2.2 facial expressions of infants and children
2.2.1 feral, institutionalised and blind children
2.3 the method of cross cultural studies
3. The culture – specific view
3.1 Klineberg and the issue of display rules
3.2 Emblems and emotions
4. The interactionist approach
4.1 The neurocultural theory of facial expressions of emotions
4.2 The recognition of the spontaneous facial expression
4.3 The recognition of emotions in five literate cultures
4.4 The recognition and expression of emotions in preliterate cultures
5. Conclusion
6. Bibliography
1. Introduction
This essay deals with the question whether facial expressions are universal meaning that all cultures use the same mimics for expressing a certain feeling. Are these expressions innate or do they have to be learned?
First, I will give an overview of Charles Darwin’s theory about the universality of facial expressions because he was the first who dealt in detail with this issue.
The chapter is subdivided in three parts: the first part describes the relationship between the facial expressions of nonhuman primates and human primates. The following part deals with Darwin’s observations of the facial expression in infants and children including those children that have no opportunity to learn facial expressions from others. Finally, Darwin’s method of cross-cultural study in order to provide evidence for his claim will be presented.
The second chapter depicts the behaviourists’ position that in contrast to the Universalists’ point of view is based on the belief that all facial expressions are learned and culturally bound.
The main chapter represents the most current and detailed research of facial expressions. The studies of Paul Ekman and Wallace Friesen refer mainly to Darwin but also consider the cultural aspect. They introduce a neurocultural theory of emotions, showing that the facial behaviour itself is determined by biological factors as well as by social factors. Further, I will give a summary of three important experiments Ekman and Friesen conducted in order to proof that the facial expressions for the six basic emotions are universal.
2. The Universalist approach - Charles Darwin
2.1 the origins of facial expressions
Charles Darwin was the first to suggest that the main facial expressions are universal. In The Expression of the Emotions in Man and Animals (1872) , he examined the facial behaviour of nonhuman primates in order to find out about the origins of expressions in man. He chose this comparison with primates for they were the closest relatives to the ancestors of man and had to be therefore similar to them. According to his belief in the principles of evolution, they could therefore give a clue about the origins and development of facial movements. His findings were based on his own observations as well as on the observations of zookeepers. The result was that some facial expressions of nonhuman primates are similar to those of man including the expressions of anger, happiness and sadness. Although they share these expressions, they do not always have the same function in primate and man. For example is the expression of happiness in man a development of the grimace that monkeys have used to signalise fear.
Further, he investigated the functions of facial expressions. He concluded that facial expressions in nonhuman primates represent, like in man, feelings. Mimic, as a means of communication is essential for a species in order to regulate the social interaction within the group. By facial expressions and sounds, animals indicate if they feel attracted to each other or if they feel hostility toward each other. Additionally Darwin investigated the determinants of facial expressions and defined them along three universal principles. The first is the principle of serviceable associated habits meaning that behaviour performed consciously in order to survive becomes unconscious with a certain state of mind. Behaviour like fleeing from an enemy is then associated with fear. Unconscious performance develops by habit when fear or anger arouse. The second principle is the principle of antithesis meaning that when certain states of mind produce habitual, serviceable actions, the opposite state of mind leads to a strong tendency to produce opposite action although they are not of use.
The last principle is the principle of direct action of the nervous system and describes that the nervous system is directly responsible for body reactions. Darwin emphasised the important role of the muscular anatomy and its evolution. The facial muscles in man represent a continuation of the tendencies seen in apes. One the one hand, there is a reduction in the size of muscles. On the other hand, the facial muscles are more detailed.
Further, does the use and reaction to facial behaviour dependent on experience. Monkeys that were raised in isolation could not recognize the expression of fear and consequently did not respond to this reaction. External stimuli also influence facial expressions. The most direct stimulation is given in the social group itself. The behaviour of one primate elicits a certain emotional expression in another primate. In addition, environmental factors like the daytime, weather or proximity of other animals have an effect on the expressive behaviour.
Another determinant is the hormone balance of primates. Especially the oestrogen level of the females affect their own behaviour but as well that of the male. When expressing a feeling all these principles work together.
2.2 facial expressions of infants and children
The reason why Darwin observed the facial expression in infants and children was the assumption that expressive behaviour develops from more primitive forms and had to be therefore innate. Complex facial expressions of adults are already visible in infants and young children. Based on the observation of his own son he concluded that acquiring facial expressions depends on the inborn tendencies and not on learning. This was especially valid for basic emotions including pleasure, displeasure, joy, anger, sorrow and disgust and could already be seen in infants. Older children show expressions that are not present in infants like blushing as a sign for shame. In order to perform such expressions the cognitive level has to be developed to a certain extent and this is just possible when the child is older. Nevertheless, he admitted that expressions that are more complex like jealousy or shyness were learned by imitation or reward consciously as well as unconsciously. Consequently, these facial expressions are socially and culturally determined.
Another supporting fact was that young children are able to recognize facial expressions. Already infants have the ability of compassion. They understand the expression and the meaning of feelings but moreover are they able to respond in an appropriate way.
2.2.1 feral, institutionalised and blind children
In order to provide more evidence for his theory Darwin was concerned with the observation of children that did not have the opportunity to learn facial expressions from other people. If those children would show emotional expressions, Darwin’s theory of innateness would be supported.
Feral children are abandoned by their parents during infancy or early childhood. They have to take care for themselves, sometimes with the help of animals (e.g. wolves). The possibility to imitate human behaviour is restricted to the early infancy. In 1932, Itard published his diary in which he described how he tried to socialize an eleven years old feral boy that he had found in the late eighteenth century in the forests of Southern France. The boy was not capable of using expressions or gestures in order to communicate. In spite of this, his behaviour alternated between excessive laughter and deep melancholy. This behaviour has rather an expressive function than a communicative one. Feral children have a choice of expressive behaviour restricted to anger, shyness, depression, impatience and joy.
The observation of institutionalised children, who grow up at home in isolation, demonstrates again that imitation and reward are not elementary for the development of expressive behaviour in the first eight months of their life. In 1938, D. Dennis observed twins who were separated at the age of one month. They grew up for the next seven months with minimal social contact but still developed some behaviour like crying or laughing without retardation.
Blind children have no visual opportunity to imitate behaviour of others. However, they develop spontaneous behaviour like laughing without difficulties in contrast to voluntary and performed expressions.
[...]
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