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HUMANEMOTIONS

EMOTIONS, PERSONALITY, AND PSYCHOTHERAPY

Series Editors:

Carroll E. Izard

and

Jerome L. Singer

University of Deloware, Newark, Deloware

Yale University, New Haven, Connecticut

HUMAN EMOTIONS Ca"oll E. Izard

THE PERSONAL EXPERIENCE OF TIME Bernard S. Gorman and Alden E. Wessman, eds.

THE STREAM OF CONSCIOUSNESS: Scientific Investigations into the Flow of Human Experience Kenneth S. Pope and Jerome L. Singer, eds.

THE POWER OF HUMAN IMAGINATION: New Methods in Psychotherapy Jerome L. Singer and Kenneth S. Pope, eds.

EMOTIONS IN PERSONALITY AND PSYCHOPATHOLOGY Ca"oll E. Izard, ed.

A Continuation Order Plan is available for this series. A continuation order will bring delivery of each new volume immediately upon publication. Volumes are billed only upon actual shipment. For further information please contact the publisher.

EMOTIONS

Carroll E Izard

Unidel Professor ofPsychology University ofDelaware formerly Professor ofPsychology Vanderbilt University

Springer Science+Business Media, LLC

Library of Congress Cataloging in Publication Data

Main entry under title:

Human emotions.

(Emotions, personality, and psychotherapy) Bibliography: p. Includes index.

1. Emotions. I. Izard, Carroll E. II. Series.

BF531.H78

ISBN 978-1-4899-2211-3

152.4

77-1989

ISBN 978-1-4899-2211-3 DOI 10.1007/978-1-4899-2209-0

ISBN 978-1-4899-2209-0 (eBook)

First Printing - June 1977 Second Printing - November 1978

© 1977 Springer Science+Business Media New York Originally published by Plenum Publishing Corporation in 1977 Softcover reprint of the hardcover 1st edition 1977

All rights reserved

No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, microfilming, recording, or otherwise, without written permission from the Publisher

PREFACE

In recent years-especially the past decade, in sharp contrast to preceding decades-knowledge in the field of emotions has been steadily increasing. This knowledge comes from many different specialties: Emotion is a truly interdisciplinary subject. Workers in the fields of physiology, neurology, ethology, physiological psychology, personality and social psychology, clinical psychology and psychiatry, medicine, nursing, social work, and the clergy are all directly concerned with emotion. Professions such as law and architecture have an obvious concern with emotions as they affect human motives and needs. The various branches of art, especially the performing arts, certainly deal with the emotions, especially with the expression of emotions. Constantine Stanislavsky, the Russian theatrical genius, revolu- tionized modem theater by developing a training method for actors and actresses that emphasized creating genuine emotion on the stage, the emotion appropriate to the character and the life situation being depicted. Indeed, one can hardly think of any human activity that is not related in some way to the field of emotion. Since the contributions to the subject of emotions come from so many different disciplines, it is difficult to find the important common themes that can yield an understanding of the field as a whole. This volume will attempt to make that task easier, but I recognize that no one can treat all of the diverse material expertly and in detail. My aim will be to represent all important types of contributions and perhaps point the way for further and more intensive study of special topics. One other qualification is needed about the coverage of the book. The first chapter will include a definition of emotion (or of an emotion), the definition that served as an organizing principle in selecting material for the book. The definition is general enough to include a wide variety of materials from the many disciplines named in the foregoing paragraph, but it will allow the exclusion of certain materials which are not specifically in the realm of

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PREFACE

emotions. For example, some research does not draw a clear distinction between drives and emotions or between arousal and emotion. Such contri- butions will be included only when they seem to have reasonably clear implications for human emotions as defined in Chapter 1. Also, there is now a great deal of research on visceral functions, or on activities of organs innervated by the autonomic nervous system. Many studies in this area include the term emotion in their title. Sometimes these contributions are relevant to the themes of this volume, sometimes they are not-and sometimes, quite frankly, it is impossible to say whether they are or not. In some cases the investigators are more concerned with the drive states (hunger, thirst, pain, sensory pleasure) than they are with the study of emotions per se. Some of this work, particularly that which throws light on the interactions of drives (e.g., pain and sex) with emotions (such as fear and joy), will be considered, but research focused solely on simple drive states will not be included. In addition to presenting the theoretical and factual material necessary for a general understanding and overview of the field of emotions, another aim here is to provide a resource for students who want to better under- stand themselves and others through furthering their knowledge of the emotions. Those who fear that scientific analysis of the emotions will destroy their power and mystique (certainly a dreadful thing in the case of excitement and joy) may take solace in the fact that schools of art have not destroyed their subject matter (although the young art student some- times thinks they surely will). The power and mystique of human emo- tions are such that they cannot be diminished by an attempt to better understand them, just as the fascination and attraction of the Mona Lisa or Michelangelo'S David are certainly not lessened by a knowledge of the facts surrounding their conception and execution.

Vanderbilt University

C. E. IZARD

ACKNOWLEDGMENTS

In the years since the publication of The Face of Emotion (1971) and

Patterns of Emotions (1972), I have learned to appreciate more fully the contributions from theoretical positions that differ from my own. This is probably a joint function of the quality of the competition and the mellow- ing of my own emotions. In addition to this constructive effect of rival theories, there has been a significant increase in the research literature on emotions. There has also been a broadening of perspectives as a result of contributions from those whose work successfully links emotion concepts to cognitive theory and research. Perhaps this has given me a better "affective-cognitive orientation." In any case, I am indebted to numerous scientists for enlightenment and intellectual stimulation, and their con- tributions to the field of emotions are noted in the pages of this book. My understanding of emotions has also benefited from living and working in other cultures, and I am grateful for the learning experience provided by a recent National Academy of Sciences Exchange Fellowship with the Soviet Academy of Sciences. In addition to scientific gains from the laboratories, there were many occasions when my ineptness with the Russian language afforded me the opportunity to revive my keen appreci- ation of the transcultural messages of emotion expressions.

I have learned much about emotions from the arts, especially from the

theater, where effective integrations of emotion, cognition, and action are

stock in trade. Special thanks is owed to Barbara Izard, of the Depart- ment of Theatre of the University of Delaware, for the rich experiences we have shared while co-teaching our course on emotion expression and control.

I deeply appreciate the insightful questions and comments of the many

undergraduate and graduate students who have taken my courses and seminars on human emotions. I am equally appreciative of the experiences I have shared with my psychotherapy clients, who challenge us to develop a science of emotions that will facilitate important human services.

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ACKNOWLEDGMENTS

Infants and children are the greatest teachers for the student of emotions. Nowhere are the emotions more evident than in the faces of the young and in no situation is the critical importance of emotion communica- tion more convincing than in the infant-caregiver or infant-parent relation- ship. I have profited immeasurably from such relationships and from the consequent abiding friendships with Cal, Camille, and Ashley. I thank them and all the infants, parents, and caregivers who have participated in my research. Part of the work for this book was supported by a Centennial Fellow- ship from Vanderbilt University and by funds provided by the Unidel Foundation. Dorothy Timberlake, Victoria Wofford, Anita Fields, Elsie Conte, Barbara Parker, and Dawn Downing provided excellent assistance in the preparation of the manuscript. To each I extend my heartfelt appreci- ation.

CONTENTS

Chapter 1 THE EMOTIONS IN

LIFE AND SCIENCE

 

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What Are Emotions?

 

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How Do Emotions Affect Us? How Does the Field of Emotions Relate to Psychology and the Other

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Summary

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Chapter 2 THEORIES OF EMOTION AND EMOTION-BEHAVIOR

 

RELATIONSHIPS.

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Psychoanalytic Conceptions of Affect and Motivation

 

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The Dimensional Approach: Arousal, Activation, and Dimensions of

Emotion and Behavior.

. Cognitive Theories of Emotion and Personality

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Emotions as Derivatives of Biological Processes and Mixtures of Emotions as Personality

 

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Emotion as the Interaction of Need and the Probability of Goal Achievement A Cognitive-Affective

 

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Summary

 

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Chapter 3 DIFFERENTIAL EMOTIONS

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CONTENTS

Emotions as the Principal Motivational System

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The

Six

Subsystems of Personality

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The Four Types of Motivational Phenomena

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The

Emotions and the Emotion System

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Face vs. Viscera as Source of Sensations Felt in Emotions

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The Emotion Process in Terms of Differential Emotions Theory 58

Definition of Key Terms in Differential Emotions Theory

 

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Chapter 4 THE FACE, THE FUNDAMENTAL EMOTIONS, AND AFFECT INTERACTIONS

 

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Evolutionary-Biological Significance of Facial Expression in Social

 

Communication

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Emotion Expression and the Sense of Touch

 

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Emotion Expression and Physiological Arousal

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The Fundamental Emotions

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Some Common Patterns or Combinations of

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Summary

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Chapter 5 BASIC PRINCIPLES AND METHODS IN THE PS YCHOLOGY OF EMOTIONS

 

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Principles

of Emotion.

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The Principle of Interacting Emotion Components

 

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The

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The

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Communication

 

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The Principle of Emotion-Facilitated Personal Growth and

 
 

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Emotional The Principle of Interactive Systems

The Principle of Inherently Adaptive Functions and Psychopathology

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The

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The Principle of Self-Regulation and Utilization of Emotions

 

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Methods

of Studying

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Research on the Neurophysiological Level

 

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Studies of the Expressive Component of

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CONTENTS

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Methods of Studying Emotion Experience (The Phenomenology of the Emotions)

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Summary

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Chapter 6

EMOTIONS AND CONSCIOUSNESS

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Conceptualizations of Consciousness

 

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Consciousness as Stream of Thought

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An Experimental Approach to the Stream of Consciousness

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. Consciousness as the Complement of Biological Organization

Consciousness

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Consciousness

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Consciousness Derived from Experiencing Biological Processes as The Emotions as Organizing Factors in

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Sensation, Emotion, and Consciousness

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Emotion and Perception

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Emotion-Cognition Interactions and Consciousness

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Hemispheric Functions of the Brain, Emotions, and States of

Hemispheric Functions, Modes of Knowing, and the

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Organization of

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Hemispheric Functions and Emotions

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Differentiated Affects and Consciousness

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Summary

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Chapter 7

EMOTIONS, DRIVES, AND BEBAVIOR

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Functions and Characteristics of

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Differences between Emotions and Drives

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Other Functions and Characteristics of Drives

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Pain and Sex and Their Interactions with Emotions

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Characteristics of

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The Functions of Pain: A Paradox

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Pain-Emotion Interactions and Relationships

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The Sex Drive

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The

Functions of the Sex Drive

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Sex

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xii

CONTENTS

Chapter 8

INTEREST-EXCITEMENT AND INTRINSIC MOTIVATION

 

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Selectivity of Perception and Attention

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Cathexis

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Functional Autonomy, Propriate Striving, and Ego Involvement

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Curiosity and the Urge to Explore

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Arousal and Intrinsic

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Types of Arousal and Their Relationships to Drive Feelings and Emotion

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Determinants of

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Arousal, Epistemic Behavior, and Learning

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The Effectance Urge: The Motivational Aspect of Competence

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The

Yen to Discovery

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Expectation and Hope Motivation Inherent in

Information

Processing

 

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Affect-Determined Intrinsic Motivation

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. Conditions That Influence Intrinsic Motivation

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The Primacy of Affect

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Some Similarities and Differences between Deci's Approach and Differential Emotions Theory

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Summary

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Chapter 9

INTEREST-EXCITEMENT AS FUNDAMENTAL MOTIVATION.

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The Characteristics of

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The Conscious Causes of Interest

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What It

Looks

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What It Feels Like to Be Interested

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Two Approaches to the Study of Subjective Experience

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The Significance of Interest-Excitement

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Evolutionary Significance

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Biological Significance of Interest

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Psychological Significance of Interest The Early Development and Socialization of Interest

 

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The Development of Interest and Interest Interactions

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The

Socialization of Interest

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Interest-Drive Interactions

 

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The Development of Interest-Cognition Interactions

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CONTENTS

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Interest, Art, and Intellectual-Creative

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Interest-Cognition

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Interest-Excitement and Psychopathology

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An Empirical Study of Antecedents and Consequences of

 

Interest-Excitement

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Summary

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Chapter 10

JOy

Joy and Its

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The

. Feeling of Joy

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The Expression and Recognition of

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Joy Activation and Joy

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The Significance of Joy

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The Development of Joy in the Child

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Biogenetic Factors

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Socioeconomic and Cultural

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The Socialization of Joy

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The

Development of Smiling and Laughing

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Joy Interactions with Other Affects, Cognition, and

 

255

. Interactions of Joy with Perception, Cognition, and

The Interactions

of Joy with Other Emotions

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Empirical Studies of Joy in Adults

 

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Antecedents and Consequences of Joy The Pattern of Emotions and Experiential Dimensions in the Joy

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Situation

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An Empirical Analysis of the Phenomenology of

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An Empirical Study of Happiness and Personality Development

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An In-Depth Study of Elation-Happiness and

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Psychophysiological Studies

of Joy.

Joy

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Understanding and Experiencing

More on the Phenomenology of Joy

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Obstacles to the Experiencing of Joy

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How Do You Find Joy?

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Summary

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Chapter 11

xiv

CONTENTS

. What It Looks Like to Be Surprised

How Surprise Occurs.

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What It Feels Like to Be Surprised

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The Significance of Surprise

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Chapter 12 DISTRESS-ANGUISH, GRIEF, AND DEPRESSION

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Activation and Causes of Distress

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The Expression of Distress How It Feels to Be Distressed

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The

Functions and Significance of Distress.

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Tqe Socialization of Distress

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The

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Distress-Cognition Interactions Grief

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Determinants of Grief

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Expressive and Experiential Characteristics of

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The Functions of Grief

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Grief in the Context of Attachment and Separation

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Emotion Dynamics in Grief

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Grief and Psychopathology

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Depression

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Biogenetic, Sociocultural, and Cognitive

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Behavioral Learning Theories of Depression. Psychoanalytic Theory of Differential Emotions Theory and an Empirical Analysis of

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Depression

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Summary

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Chapter 13 ANGER, DISGUST, AND CONTEMPT AND THEIR RELATIONSHIP TO HOSTILITY AND

 

329

The Distinguishing Characteristics of Anger, Disgust and Contempt 329

Anger

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Disgust-Revulsion

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Contempt-Scorn.

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CONTENTS

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Anger, Disgust, Contempt in Relation to Hostility and Distinctions between Hostility and Aggression Patterns of
Anger, Disgust, Contempt in Relation to Hostility and
Distinctions between Hostility and Aggression
Patterns of Affects in Situations that Elicit Anger, Disgust,
Contempt, and Hostility
The Interactions of Anger, Disgust, and Contempt with Other
Affects and
Emotion Expression, Interindividual Emotion Communication, and
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Aggression
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Effects of Perceiving an Anger Expression
The Effects of Not Expressing
Aggression and the Need to Understand
Summary
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Chapter 14
FEAR AND THE FORMS OF
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Fear
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The Activation of Fear
The Causes of Fear
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The
The
Facial Expression of
Subjective Experience of Fear
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365
Development and Socialization of Fear
Some Antecedents and Consequences of
Some Interactions of Fear with Other Emotions
Some Techniques for Reducing or Controlling Fear
Fear Interactions with Other Emotions as Forms of Anxiety
Neurophysiology of Fear and
Empirical Studies of Anxiety as a Combination of
Summary
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Chapter 15
SHAME AND
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Definition of Shame: Biological and Psychological Characteristics
The Expression of Shame and Its Physiological Aspects
385
386
The
Phenomenology of Shame
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The
Activation
and Causes of Shame
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Activation of Shame at the Neurological Level
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The Causes of Shame
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xvi

CONTENTS

Evolutionary-Biological Perspectives

 

400

The Psychosocial Functions of Shame

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Shame and the Defense of Self and Personal Integrity

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The Development of Shame and Shyness in the Child

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Biogenetic Factors Sociocultural Factors

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Shyness

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Summary

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Chapter 16

GUILT,

CONSCIENCE, AND

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The Determinants of Guilt

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The Expression of Guilt

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The Phenomenology of Guilt

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Origins, Functions, and Malfunctions of Guilt

 

425

Guilt and Psychopathology

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428

Theoretical Conceptions of Guilt .

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429

A Psychoanalytic Conception of Guilt

429

. Some Learning Theory Conceptions of the Developmental Origins and Consequences of Guilt

The Concept of Existential Guilt

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.

 

430

432

437

Experimental Studies of Guilt The Interaction of Guilt and Anger

 

437

Guilt and Compliance

439

Development of Guilt as a Personality Trait

441

Guilt and Hostility

444

Guilt and Sexual Behavior

445

Summary

450

References

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453

Author Index.

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481

Subject Index

489

1

THE EMOTIONS IN LIFE AND SCIENCE

This chapter will present material relating to two broad questions: What are the emotions and the processes that describe their activation and their functions? What is the place of the emotions in life and in science?

study the emotions? There is a wide range of

scientific opinion regarding the nature and importance of the emotions. Some scientists (for example, Duffy, 1962) have maintained that emotion concepts are unnecessary for the science of behavior. She, as well as others (e.g., Lindsley, 1957), suggested that the concept of activation or arousal has more explanatory power and is less confusing than emotion concepts. Others (Tomkins, 1962, 1963; Izard, 1971, 1972) have maintained that the emotions constitute the primary motivational system of human beings. Some say that emotions are only transient phenomena while others main- tain that people are always experiencing some emotion to some extent or that there is no action without affect (e.g., Schachte1, 1959). Some scien- tists have maintained that for the most part emotions disrupt and disorgan- ize behavior, and are primarily a source of human problems (for example, Arnold, 1960a,b; Lazarus, 1968; Young, 1961). Others have argued that the emotions play an important role in organizing, motivating, and sustaining behavior (Rapaport, 1942; Leeper, 1948; Mowrer, 1960a; Tomkins, 1962, 1963; Schachtel, 1959: Izard, 1971, 1972). Some scientists have taken the position that the emotions are primarily a matter of visceral functions, activities of organs innervated by the auton-

omic nervous system (Wenger, 1950). In 1974, the twenty-sixth Interna- tional Congress of Physiological Sciences held in Baku, USSR, was entirely devoted to "Emotions and Visceral Functions" (Gasanov, 1974). Other scientists have emphasized the importance of the externally observable behavior of the face and the role of the somatic nervous system, the part of

Is

there a need to

2

CHAPTER 1

the nervous system generally considered to be under voluntary control (Gellhom, 1964, 1970; Tomkins, 1962, 1%3; Ekman, Friesen, & Ellsworth, 1972; Izard, 1971, 1972). Most clinical psychologists and psychiatrists describe problems of adjustment and types of psychopathology as "emotional problems," as conditions in which the emotions have created a problem (e.g., Dunbar, 1954). On the other hand, Mowrer (1960b, 1961) maintains that it is not the emotions that are at fault in problems of adjustment and psychopathology, but the person's thoughts, attitudes, and actions. Some have argued that the emotions should be subordinate to cogni- tion (and reason) and have maintained that when they are not something is wrong. Others have held that the emotions trigger and guide cognitive processes (that they always influence reasoning) and that the more impor- tant questions relate to the quality and intensity of the emotions involved. Some maintain that we alleviate psychopathological problems and human problems in general by deconditioning or extinguishing inappropriate emo- tional responses or by bringing emotion under control. Others maintain that psychopathological and other human problems are best treated by freeing the emotions to interact naturally and easily with the other subsystems of the personality-homeostatic processes, drives, perceptions, cognitions, motor acts. Psychologists, as well as philosophers and educators, vary in their opinions regarding the place of emotions in life and human affairs. Some say we are essentially rational beings-our "reasons for being" are primar- ily cognitive-intellectual. Witness our occupation as students for twelve to twenty or more years of life. For almost everyone in our society and in many other societies education continues from early childhood through the years of growth to maturity; and education is most widely considered as the process of learning facts and theories, the amassing of information. Other psychologists, however, despite their respect for cognitive-intellective activities and their own devotion to the accumulation of knowledge, feel that people are essentially emotional or emotional-social beings. They say that our "reasons for being" are affective or emotional in nature. They surround themselves with the people and things to which they are emotion- ally attached. They feel that learning through experiences (both private and social) is as important or more important than the acquisition of facts and theories. The foregoing questions and issues will be touched on in a general way in the following sections of this chapter and in more detail in the remaining chapters of this book. The status of the science of emotions will not permit definitive resolution of these broad, philosophically oriented issues. The more modest aim of this book is to organize the material in the field of human emotions so that we can see the current status of these issues and

THE EMOTIONS IN LIFE AND SCIENCE

3

perhaps increase the precision with which we articulate and study them. The book aims to present a systematic view of the emotions and their roles in consciousness, cognition, and action in the individual personality and in human relations. My view is that the emotions constitute the primary motivational system for human beings. The underlying theory for this position, the differential emotions theory or the theory of differentiated affects, will be presented in detail in Chapter 3. Early statements ofthis position (Tomkins, 1962, 1963; Izard & Tomkins, 1966) were considered by some to represent an extremist view (e.g., Sarason, 1967), though some psychoanalytic think- ers had been discussing the importance of emotions as motivational phe- nomena for a long time (Abraham, 1911; Rado, 1928; Brierley, 1937). Actually a similar view of the importance of the emotions in behavior and human life had been stated earlier by a leading personality theorist (Leeper, 1948) and by a prominent learning theorist (Mowrer, 1960a). Mowrer stated that "the emotions playa central role, indeed an indispensa- ble role, in those changes in behavior or performance which are said to represent 'learning'" (Mowrer, 1960a, p. 307). Mowrer went on to decry the widespread tendency in Western civilization to look upon the emotions with distrust and contempt and to elevate the intellect (reason, logic) above them. "If the present analysis is sound, the emotions are of quite extraordi- nary importance in the total economy of living organisms and do not at all deserve being put into opposition with 'intelligence.' The emotions are, it seems, themselves a high order of intelligence" (Mowrer, 1960a, p. 308). Mowrer, Tomkins, and the present writer, though differing in some particulars of theory, agree that it is experiential affect or, as Mowrer terms it, the inner subjective field, that provides the ongoing motivational state that modifies, controls, and directs behavior moment by moment. A grow- ing number of theorists and investigators (e.g., Nowlis, 1965; Singer, 1973, 1975; Schwartz, Fair, Greenberg, Freedman, & Klerman, 1974; Ekman, 1972; Savitsky, Izard, Kotsch, & Christy, 1974) have contributed to our understanding of the motivational and adaptive significance of differen- tiated affects. Even though opinions of scientists vary widely regarding the nature and significance of this field, the theoretical and research contributions of the past dozen years have established the emotions as a legitimate area of scientific inquiry. Despite the varying opinions of scientists, virtually all people (scientists included) readily admit that they experience joy and sadness and anger and fear, and that they know the difference between these emotions and the differences in how they feel and how they affect them. But how many people have reflected carefully on the basic ques- tions? What really are the emotions? What are the processes by which they occur and influence us? How do they influence other aspects of our lives?

4

What Are Emotions?

CHAPTER 1

Most of the questions raised in this chapter-including the present one, the definition of emotions-will concern us throughout this book. The aim of the present chapter is to present synoptic answers or comments, a general picture of the field. How Is Emotion Defined? Most theories either explicitly or implicitly acknowledge that an emotion is not a simple phenomenon. It cannot be described completely by having a person describe his emotional experi- ence. It cannot be described completely by electrophysiological measures of occurrences in the brain, the nervous system, or in the circulatory, respiratory, and glandular systems. It cannot be described completely by the expressive or motor behavior that occurs in emotion. A complete definition of emotion must take into account all three of these aspects or components: (a) the experience or conscious feeling of emotion, (b) the processes that occur in the brain and nervous system, and (c) the observa- ble expressive patterns of emotion, particularly those on the face. How Do Emotions Occur? Most people know what kind of conditions or situations interest them or disgust them or make them feel angry or guilty. Almost any middle-class person would experience interest on seeing a space walk by an astronaut, disgust on seeing feces on a needed toilet seat, anger on being crudely insulted, and guilt on shirking responsibility to loved ones. Thus in a general way people know what brings about a given emotion. However, scientists do not agree on precisely how an emotion comes about. Some maintain that emotion is a joint function of a physiolog- ically arousing situation and the person's evaluation or appraisal of the situation. This explanation of the causal process comes from a cognitive theory of emotion (e.g., Schachter, 1971). Some cognitive theorists (e.g., Lazarus & Averill, 1972) describe appraisal as a rather elaborate set of cognitive processes (consisting of primary, secondary, and tertiary appraisal), while Arnold (1960a,b) describes appraisal as essentially an intuitive automatic process. Considering the problem at the neurological level, Tomkins· (1962) maintains that emotions are activated by changes in the density of neural stimulation (literally the number of neurons firing per unit of time). This rather persuasive theory does not say much about the causes or conditions at the conscious level that trigger these changes in neural stimulation. However, Tomkins's ideas as to what kinds of things can change the density or level of neural stimulation and activate emotion go well beyond the cognitive theorists' concept of appraisal. Tomkins states that changes in neural stimulation, and hence the activation of an emotion, can occur as a result of an innate releaser, a drive state, an image, or another emotion. Conceivably, any of these phenomena could activate an emotion without the occurrence of an appraisal process.

THE EMOTIONS IN LIFE AND SCIENCE

5

Both Tomkins and Izard (1971) have emphasized the important role that perception and cognition can play in initiating emotion, but they also emphasize the two-way interactions between cognition and emotion and the important effects that emotion can have on perception and cognition. The differences in the physiological-arousal-cognitive model and the neu- rosensory model of emotion activation have important implications for the science of emotions. For example, the former emphasizes the role of the autonomic nervous system and sympathetic arousal and characterizes emotion as primarily a reaction or response; in particular, a response that follows from cognitive processes. The neurosensory model emphasizes the somatic nervous system and electrocortical arousal and characterizes emo- tion as an organized process that has significant experiential and motiva-

tional characteristics. It emphasizes the importance of the effects of emo- tion on perception and cognition, while recognizing the reciprocal nature of emotion-perception and emotion-cognition interactions.

Are Emotions Transient or Stable Phenomena: Emotion States or

Emotion Traits? Do emotions come and go or are they always with us? To what extent are emotions determined by the situations and conditions of the moment and to what extent are they stable characteristics of the individual? Since the work of Cattell and Scheier (1961) and Spielberger (1966), many investigators describe emotion phenomena as having two forms: state and trait. Application of this typology to the traditional concept of anxiety has provided the most widely known examples of this research. There has been a great deal of theorizing and research aimed at distinguishing the meanings and effects of "state anxiety" and "trait anxiety." The terms "state" and "trait" are distinguished primarily in terms of time, the duration of an emotion experience. It is also conceded that state emotion has a greater range of intensity than trait emotion. State and trait do not imply differ- ences in the quality of the experience. In this book the term "emotion state" (e.g., anger state) will refer to a particular emotion process oflimited duration. Emotion states may last from seconds to hours and vary widely in intensity (see Figure 1-1). In extraordinary conditions an emotion state of high intensity may continue for an extended period of time, but chronically intense emotion or frequent episodes of intense emotion may indicate psychopathology.

The term emotion trait (for example, anger trait) refers to the tendency of the individual to experience a particular emotion with frequency in his day-to-day life. A complementary concept is that of emotion threshold (Izard, 1971). If a person has a low threshold for guilt, he probably experiences guilt frequently and thus would score high on a measure of trait guilt. Later chapters will discuss the evidence and arguments relating to a number of emotion traits. Are Emotions Innate or Learned? The early work of Darwin (1872, 1877) and the more recent work of Ekman et al. (1972) and Izard (1971) has

6

CHAPTER 1

6 CHAPTER 1 FIGURE 1-1. From distress , to joy and contented sleep in a seven-week-old

FIGURE 1-1. From distress , to joy and contented sleep in a seven-week-old infant girl in the span of a few seconds (left), and interpersonal interest that sustains a long conversation between two Uzbek men in Tashkent, Uzbekistan, U.S.S.R. (right) .

shown that certain emotions, referred to in this book as fundamental emotions, have the same expressions and experiential qualities in widely different cultures from virtually every continent of the globe, including isolated preliterate cultures having had virtually no contact with Western civilization. The data presented in Tables 1-1 and 1-2 provide a sound basis for inferring that the fundamental emotions are subserved by innate neural programs. However, the fact that there are genetically based mechanisms for the fundamental emotions does not mean that no aspect of an emotion can be modified through experience. Almost anyone can learn to inhibit or modify the innate emotion expressions. While the innate expression of anger involves baring of the teeth as in preparation for biting, many people clinch their teeth and compress their lips as though to soften or disguise the expression. People of different social backgrounds and different cultures may learn quite different facial movements for modifying innate expres- sions. In addition to learning modifications of emotion expressions, socio- cultural influences and individual experiences play an important role in determining what will trigger an emotion and what a person will do as a result of emotion (see Figure 1-2). As used in this book the terms "innate" and "learned" do not imply an absolute dichotomy. In the wake of the long standing controversy over the nature of intelligence or IQ, Murphy (1958) remarked that "nothing is innate , nothing is acquired ." Mostbehavioral scientists tend to agree with Murphy in the sense that virtually any response or behavior pattern requires some practice or experience. Innate emotion expressions come as close as anything to being an exception to Murphy's rule. For example the prototypic distress expression (crying) appears at birth. The work of Dumas (1932,1948), Fulcher (1942), Goodenough (1932), Thompson (1941),

Q

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t-o

c.,

t!i

S!

&i ~

t!i

C

C

'-l

~ ~

~

~

~

"From Izard, 1971. 'The Mexican data were obtained by Dickey and Knower (1941). 'The data from Brazil, Chile, and Argentina were obtained by Ekman and Friesen (1972). Ekman and Friesen also obtained data from a Japanese sample on the same six emotions they studied in South America, and they obtained somewhat higher percentages of agreement than those obtained by Izard.

Argentinian"French"

TABLE 1-1 Percentage of Subjects Who Agreed on the Emotion Category of Photographs Selected to Represent Fundamental Emotions

7988.0

7283.2

9498.2

856154.5

168

6888.8

9390.5

Chilean"

76

90

9097

90

78

85

88

Brazilian"

82

82

82

86

97

77

83

Mexican"

616

54

8691.8

61

71

Japanese"

(Tokyo)German"

58.2

93.8

71.2

79.2

41.2

65.4

56.8

55.8

66.8

60

Cultural (national) group

Greek"

80.0

80.2

71.0

66.0

93.5

67.8

87.5

75.1

50

Swiss"

97.0

77.2

70.0

79.6

70.0

78.2

85.5

67.5

36

82.2

84.2

77.2

83.5

91.5

77.5

94.5

70.5

78.5

67

Swedish"

81.0

83.0

82.2

83.4

76.2

71.5

%.5

41

82.0

84.0

73.0

67.2

80.6

71.8

85.5

158

English"

81.0

79.2

67.0

%.2

77.9

59.5

81.5

84.5

74.5

62

American"

83.2

74.0

89.2

76.0

83.4

96.8

73.2

84.5

89

N=

Interest-excitement

Shame-humiliation

Disgust-contempt

Distress-anguish

Surprise-startle

Enjoyment-joy

Fear-terror

Anger-rage

Average

8

CHAPTER 1

TABLE 1-2 Identification o/Emotion Photographs from Orally Presented Emotion Stories by Visually Isolated Preliterate Observers in New Guinea and Borneo a

Percentage choice of the emotion expected in terms of agreement with the judgments of Western literate culture observers

Emotion category described in the story

Adults

(N

= 189)

Children

(N

= 130)

Happiness

92

92

Surprise

68