Chapter 10
The Barometer of the Soul
During our travels through Africa we visited the Olduvai
Gorge where Leakey discovered the earliest-known remains of primitive man
(Zinjanthropus, Homo habilis) in 1959 and 1960. According to his preliminary
estimate, these primeval ancestors – who are classified with the australopithecines
– lived about 1,000,000 years ago. (More recent computations have indicated
an age of 1,700,000 years.) Leakey found fragmentary skulls together with
various bones, missiles, and rough-hewn flints. The rock strata in which
these fossils were found lie about 300 feet below the present surface of
the surrounding plateau. The Olduvai River had cut a steep and picturesque
gorge through these layers, thereby exposing a number of these important
traces of cultural history. The German zoologist Kattwinkel, who collected
butterflies in this area in 1911 and also visited Olduvai, was the first
to discover the site. From 1931 onward, Leakey carried out extensive excavations
in which, in the very deepest layers, level areas surrounded by stones
also came to light. These he interpreted as the remains of shelters.
As other fossils from the same layers showed, the landscape
had not changed substantially since those early days. As a result of climatic
variations the forests had thinned, giving way to large clearings overgrown
with scrub and tall grass in which lived gazelle, buffalo, and rhinoceros-species
which are already partially extinct today. The principal foes of early
man, who
(original book page 111)
walked erect and lived in groups, were the large feline
predators. It is probable that our human facial movements developed at
this time as a form of soundless sign language. Early man could undoubtedly
emit sounds akin to those made by the modern ape, but under prevailing
circumstances, surrounded by predatory foes and engaged in a quest for
easily frightened prey, he must have relied heavily on silent methods of
communication. The development of hereditarily fixed facial movements which
members of the same species could understand by means of hereditarily fixed
mechanisms of innate recognition must therefore have been advantageous
to him and must have possessed selective value. This development – one
whose existence can only be inferred today – expressed itself physically
in a multiplication and differentiation of our facial muscles. This is
one of the essential physical differences between us and the modern monkey,
which can pull faces but is incapable of performing facial movements as
subtle as our own.
Darwin assumed that the movements peculiar to human facial
expressions – which still play an important part in communication today
– are largely innate and, consequently, that their basic elements are common
to all races. One of our main objectives in filming representatives of
various races unobserved was to test this hypothesis.
The motion picture is an admirable means of recording
and analyzing such phenomena, which makes it all the more surprising that
so little use has so far been made of it despite the prevailing interest
in human facial expressions. Excellent modem encyclopedias, for instance,
present examples of most conceivable forms of animal behavior, from "man
running" to "bird flying," but there are few if any illustrations entitled
"smiling Chinese," "angry Nilotohamite," or "inquisitive American Indian."
In view of this deficiency, we set to work to record
a basic inventory of human facial movements. The degree of conformity between
individual expressions among different races proved to be so great that
it could not be ascribed to learning by imitation. How, then, did the various
facial movements come into being, and what was their origin?
As set forth in the first part of this book, many movements
(original book page 112)
that have, in animals, become ritualized into signals
are based on movements of intent which convey an appetency toward specific
modes of behavior. In the case of cichlids, we saw that the "Watch out,
I'm moving on" signal to their young developed from the movement denoting
an intention to swim away. Eibl discovered another example of this form
of derivation among tropical mouth cleaners. These extremely agile fish
swim into other fishes' mouths and clean them. Fish which desire to be
relieved of parasites in this way linger in places where mouth cleaners
live, their mouths open wide. The mouth cleaners thereupon start work.
As soon as the host fish has had enough, it conveys this by means of a
slight but clearly perceptible closing of the mouth, which signifies, "Make
your exit, I'm about to shut my mouth." A very simple human facial signal,
which probably also originated in a movement of intent, is teeth grinding
as a forewarning of the intention to bite. Numerous other mammals – dogs,
for instance – perform an analogous movement. The special significance
of such a minatory movement is that it does, under certain circumstances,
absolve the issuer of the threat from the exertion – and risk – of carrying
it out. The signal may alone be sufficient to intimidate an opponent and
provoke a withdrawal.
In man, the same signal indicates that our ancestors
included some who defended themselves by biting. As we have already mentioned,
signals of this type often survive longer than the organs which transmit
them. The stag, for example, still grinds its teeth as a threat, even though
it now defends itself with antlers and hoofs instead. Much the same applies
in our own case. When he bares his canines in anger by drawing back his
lips, man is also stressing the significance of organs which have long
ceased to be weapons. The obvious conclusion is that our primeval ancestors
possessed better – developed canines – as the gorilla still does today.
The teeth-grinding example may also serve to illustrate
the origins of the receptive mechanism associated with this signal. This
probably took shape before the signal became ritualized. Grinding the teeth
is, as we have said, a very primitive and widespread movement of intent
which conveys a readiness to bite. Hence, it was of advantage to members
of the same species
(original book page 113)
- and other species as well – to possess a receptive mechanism
which, at sight of such a procedure, told them, "Take care, this creature
is in a biting mood!" Once such an innate mechanism of recognition, which
enjoined due caution, had taken shape, the basis for subsequent ritualization
was given. An intensified and exaggerated grinding of the teeth conveyed,
with even greater clarity, "Take care, I'm about to bite!"
As soon as one examines the origination of human facial
movements from this angle, that which is commonplace and familiar takes
on an extremely complicated aspect. In fact, many of our facial signals
are a combination of various basic movements. Lorenz showed in the case
of dogs that the symptoms of three different intensities of aggressive
mood can be compounded with three different intensities of flight intention,
and that superimpositions of this kind can produce nine different facial
expressions. In human beings the position is even more complicated; on
the one hand because we are capable of a much greater number of much more
subtly graduated basic movements, and on the other because hereditarily
fixed movements are augmented still further by movements which we acquire
through imitation and which are thus influenced by the cultural domain
in which we grow up.
Our films showed that the different races express interest,
for example, in a very similar manner, employing various movements which
additionally convey intensity of interest. The face may at first remain
immobile, interest being expressed merely by the direction of the eyes.
Then mounting interest manifests itself in an opening of the sensory orifices
designed to admit as many messages to the brain as possible. There is a
widening of the eyes – the most important of such orifices – and the head
turns in the appropriate direction. Among primitive men, this simple procedure
no doubt possessed importance as a signal to the young and to other members
of the clan, who could deduce from it where the center of interest lay
– a potentially important piece of information to those out hunting or
in danger. If the clan leader, normally the most experienced individual,
had noticed something, the ability to indicate its position silently might
well be crucial in the next few moments. A further sign of interest, as
Darwin himself noted, is the
(original book page 114)
opening of the mouth. It is still debatable whether this
stems from the relaxing of the jaw muscles – in consequence of heightened
attention – or whether it is an aid to keener hearing. Darwin inclined
to the second alternative but pointed out that man breathes more quietly
through the mouth, which can certainly be an advantage when listening intently.
On the other hand, this expression of surprised interest may also contain
a hint of fear. The mouth opens wide when fear is intense, and all forms
of exertion are accompanied by a deep reflex intake of breath. Thus the
open mouth may also betray a readiness to protect oneself from danger or
evade it. Simple as it is, this single expression shows how difficult analysis
can be.
Another natural sign of interest or curiosity is the
inclination of the head, which frequently cocks itself on one side and
describes lateral or circular movements. Inclining the head brings not
only the eyes and ears but also the nose closer to the object of interest,
and there may be an associated intake of breath designed to improve the
perception of smells. The oblique posture is probably an aid to acoustic
localization, while lateral or circular motions help improve spatial vision
and enable one to investigate the abject in question from various angles.
Another sign of heightened attention, and one which we recorded a number
of times, is the involuntary raising of the hand to the mouth or nose.
This may again denote an overlay of fear, in that bringing the hand up
to the sensory orifices may serve to protect them in case of need. Often,
too, a timid person can be seen holding a hand in front of his face as
if trying to hide behind it.
If the emotion of fear becomes still more intense, the
head remains inclined and the eyes stay wide open, but the investigatory
hand movements cease. Like most animals, man tends to freeze into immobility
when alarmed or frightened. By so doing, a creature attracts less attention
to itself and has a better chance of being overlooked by an enemy. The
immobility of the interested observer also has its roots in this innate
fear reaction. With increasing distrust, as we call interest which is overlaid
with fear, head and body retract and tend to swivel sideways. These are
movements of intent denoting a readiness to turn away and flee. The eyes
narrow in order to protect the
(original book page 115)
organs of sight. The mouth closes, and intense distrust
often expresses itself additionally in a twitching of the nose. The latter
movement may be an indication that some of our ancestors were still capable
of closing their nostrils at will.
Some of these movements became ritualized into special
signals. For instance, our method of conveying disdain – to which Darwin
devoted particular attention – consists of several expressive movements:
a raising and half-turning of the head, a narrowing of the eyes, and a
simultaneous expulsion of air through the nose. The raising of the head
may be either a preliminary to flight or a symptom of the wish to impress,
which in man, as in animals, consists in making oneself look as big and
imposing as possible. The rest is ritualized distrust. By shutting off
our sensory orifices, turning away from someone, and exhaling, we are saying,
"I don't want anything to do with you. I don't want to see, hear, or smell
you. I reject even the air that emanates from you" Combined with the raising
of the head, this is a succinct way of conveying, "I look down on you –
you smell badly"
Movements denoting interest and attention also became
ritualized, though in a more subtle way. If one man turns deliberately
to face another and regards him with an open gaze, this is an expression
of trust. A sudden opening of the eyes is a very primitive token of joyful
surprise. A somewhat less emphatic opening of the eyes, accompanied by
a raising of the eyebrows, became symptomatic of friendly salutation and
liking. This movement, which is probably also innate in us, is particularly
common among flirtatious women. A similar arching of the eyebrows in conversation
became a sign of heightened attention. In the contrasting case of repudiation
– a refusal to look at something we dislike – the eyes tend to close. Similarly,
we shut our eyes in a wholly reflex manner when contemplating an idea that
alarms us.
Darwin took the view that human movements of intent are
explicable in terms of habit – in other words, of acquired associations.
Contrary to the now widespread belief that he tried to explain evolution
solely by the principle of natural selection, Darwin-like Lamarck – was
really of the opinion that acquired characteristics could be inherited.
"Some actions, which
(original book page 116)
were at first performed consciously, have become through
habit and association converted into reflex actions and are now ... firmly
fixed and inherited..." he wrote in explanation of his first principle
governing the development of expressions in man. Modern behavioral research
agrees with Darwin in believing that human expressive movements had a "natural
and independent origin"; in other words, that they were not performed "voluntarily
and consciously for the attainment of this special end." Instead, they
were preexistent and quite involuntary movements from which, by way of
ritualization, the various signals peculiar to human facial expression
have developed.
In animals, ritualization also led to organic changes
and special developments, which helped to increase the effectiveness of
signals still further. Eibl suggests that the surviving tufts of hair above
our eyes – our eyebrows – may likewise be construed in this sense. If so,
this hair owes its survival not only to its useful function of protecting
our eyes from the sweat of our brow but also to its function as a means
of emphasizing the optical greeting. In Eibl's view, the fact that girls
spend so much time on their eyebrows fits in well with this hypothesis.
By painting them and tracing their outlines, they not only show off their
eyes to better advantage but enhance their signaling powers. A permanent
and conspicuous signal (e.g., a surprised expression) can also be created
in this way.
One sign of distrust so far unmentioned is the vertical
furrowing of the brow. This movement probably originated in the quite analogous
wrinkling of the brow which occurs when we stare fixedly at something in
bright light-doubtless a frequent and important procedure among our early
forebears. In this case the formation of wrinkles served to shade the eyes,
and the muscular tension probably aided accurate focusing. Since our mode
of thinking is visually orientated, as we have already pointed out, it
would not be surprising if this sign of intense contemplation had been
transferred to intense inward contemplation as well. Man certainly performs
the same movement while meditating, especially when he encounters a mental
obstacle. Distrust likewise entails a mental problem, so the formation
of wrinkles may be interpreted as an additional expres-
(original book page 117)
sion of the same emotion. Quite similar wrinkles represent
another form of minatory signal. Here again they are a symptom of increased
mental activity and of the determination to overcome resistance.
Children have practically no facial lines to begin with.
These take shape in accordance with the facial movements performed in life,
which is why people with certain predominant facial expressions develop
lines which betray their basic disposition. One very distinct innate movement
is the raising or lowering of the corners of the mouth as an indication
of mood. In caricature, a face may be converted into a comic or tragic
mask by these lines alone.
To what extent are such innate basic movements influenced
by upbringing and tradition? Our films supplied numerous clues to this
problem, too.
Many of the races we filmed give vent to facial expressions
with the freedom and uninhibitedness of children. This lack of constraint
is exemplified by the Samoans, whose self-assured attitude toward life
is symbolized by their huts, which are open on all sides. They do not hesitate
to expose their private lives to the gaze of others. The play of emotion
in their faces is no less undisguised. We filmed some equally direct expressions
among the Turkana and Karamojo of Kenya, proud tribes which have scarcely
been touched by civilization. The most expressive faces we encountered
were those of some Shorn Pen whom we met on Great Nicobar Island in the
Bay of Bengal and who had had very little contact with white civilization.
Among other races we found facial movements inhibited,
evidently by traditional influences. In those instances, man had developed
a sort of control mechanism which held direct expressions in check. This
was illustrated with particular clarity by films made in Banares, India,
where we encountered masklike, immobile faces which conveyed both the Indians'
resigned approach to life and the special aura surrounding the holy city.
In one such sequence, I recorded how a boy of about eight started to laugh-then
froze again as if laughter were forbidden. In the Far East, self-control
is deemed essential. Conversations which we filmed in Japan also clearly
illustrated this control mechanism for the suppression of outward emotion.
(original book page 118)
In Europe we met a third stage of development. Here-particularly
among the Southern races-facial expressions tend to be exceptionally pronounced
but artificial. The original facial movements are employed more or less
deliberately-in other words, manipulated. Man has here succeeded in intensifying
his innate facial signals, or in using them to simulate feelings which
are not present in him. This is a product of custom-in particular, of tact,
courtesy, and culture. Sympathy is feigned, where none exists, simply for
reasons of politeness. One man smiles at another even when ill-disposed
toward him, either as a mark of breeding or in order to avoid dissension.
In conversation, the face of the listener often echoes what the other person
is saying. If the latter says something serious, the listener grows serious;
if he speaks of a surprise, the listener performs a facial movement conveying
the same. This, too, is convention rather than genuine fellow feeling.
The distinction between the sincere and the histrionic becomes extraordinarily
difficult. One can see, even with children, how intellect gains sway over
facial movements and employs them for specific purposes. The development
of controls subordinate to the will takes place quite unconsciously. These
controls are based on the imitation of adult behavior.
Ritualization naturally extends to acquired behavior
passed on by tradition-hence the origin of the word. Within the context
of good manners, for example, there arise large numbers of movements-some
of them tiny but clearly perceptible which are employed in particular cultural
zones and cannot be understood elsewhere. Especially well-differentiated
forms occur in the domain of gesture, of which more will be said in a later
chapter. In ceremonies, cult rituals, and the dance, many signals have
become so remote from the expressive movements which underlie them that
their origin can no longer be discerned.
Finally, a still more advanced form of manipulation is
exemplified by the actor. In order to convey the prevailing emotions of
his part to the audience, he has to put over individual expressions as
clearly and convincingly as possible. We got performers to mime such facial
expressions for us and thus had an opportunity to compare deliberately
simulated expressions
(original book page 119)
with analogous expressions which we covertly photographed
in
real life. What emerged was that the actor omits inessentials
and stresses essentials. With a good actor it is possible to see what characteristics
of expression are peculiar to the emission of specific signal effects.
Furthermore, in order to achieve special effects, the actor deliberately
carries out various superimpositions. Finally, as we found it particularly
easy to observe while filming members of the classical Japanese theater,
the passage of time stimulates the growth of certain traditional expressions,
which represent a sort of secret code linking the actor with his audience.
The visitor from another planet would probably see the
anterior surface of our head-our "barometer of the soul"-in quite a different
way. It is very probable that we have an innate recognition, not only of
the most fundamental and important facial movements, but also of the basic
layout of the face itself, which we see as a totality rather than as a
sum of mouth, eyes, nostrils, and so on. Thus it is clearly possible for
us to dissociate ourselves from this mode of observation and look at a
face really objectively. We can, however, create such an illusion momentarily
by watching filmed close-ups projected not only at a different speed but
upside down as well. What then confronts us is an expanse whose salients
and orifices vary their relative positions. This impression-startling in
its unfamiliarity – does not last. The brain soon recognizes the subterfuge
and reverses the image so that individual features reassume their accustomed
pattern.