Documente Academic
Documente Profesional
Documente Cultură
Why and How Does Emotional Contagion hypothesis, according to which an individual’s
Occur? emotional state will be affected by her facial
The main processes involved in contagion are expressions whether she is aware of the
motor mimicry and the activation and feedback expressions or not. These experiments have
from mimicry, and there is good reason to shown that facial expressions do in fact influence
believe that both of these processes are likely to and initiate specific emotions. So, for example,
occur during the viewing of films. Empirical when subjects produce facial configurations
research in psychology has shown that people closely resembling the expression universally
tend to automatically and continuously mimic associated with anger, they report experiencing
the expressions, vocalizations, postures, anger and have a difficult time experiencing
movements, and instrumental behavior of emotions incompatible with anger, such as joy or
individuals they observe. Incidents that have sadness.11 These results occur even when subjects
been found to reliably evoke such mimicry are unaware of the expression they are making.
include pain, laughter, smiling, affection, In other words, self-awareness is not a necessary
embarrassment, discomfort, disgust, facing a condition for mimicry or its influencing of one’s
thrown projectile, ducking away from being hit, emotional state.
stuttering, word-finding, and succeeding and Another series of psychological experiments
failing at a timed task.8 have found that in addition to affecting
Researchers studying emotional contagion in individuals’ subjective emotional experiences,
social-psychophysiology and psychology have facial expressions also induce patterns of
focused primarily on facial mimicry. In a autonomic nervous system activity (e.g. changes
representative series of studies, Ulf Dimberg and in heart rate, left and right-hand temperatures,
his colleagues used EMG procedures to study skin resistance, and forearm flexor muscles)
individuals’ responses to different facial associated with particular emotions.12 Robert
expressions. They found that subjects’ emotional Levenson, Paul Ekman, and Wallace Friesen have
experiences and facial expressions tend to mirror found that getting subjects to configure their
the changes in the emotional expressions of facial muscles into expressions associated with
target individuals that they observe.9 EMG the six primary emotions of anger, disgust, fear,
response patterns to happy and angry faces, for happiness, sadness, and surprise results in
example, differ in important ways. When patterns of autonomic activity associated with
observing happy faces, subjects typically these emotions.13 There is also some evidence
experience increased muscular activity over the suggesting that the experience and perception of
zygomaticus major region (the cheek muscle). facial expressions associated with particular
When observing angry faces, however, muscular emotions involves distinct central nervous system
activity typically increases over the corrugator activity.14
supercilii region (the brow).10 This research helps to explain how mimicking
Mimicry alone is not enough to cause another’s facial expressions of emotion can
emotional contagion. But researchers have found influence an individual’s emotional state. First
that mimicry of facial expressions and feedback the imitator mimics another’s facial expression.
from this mimicry typically influence our Making this facial expression then influences the
subjective emotional experience and often result imitator’s subjective emotional experience and
in autonomic nervous system activity associated induces physiological changes characteristic of
with particular emotions. the emotional expression that she is mimicking.
Researchers in psychophysiology and social Consequently, people can end up ‘catching’ the
psychologists have conducted a number of emotions of those they observe.
experiments to test the facial feedback
III. Emotional Contagion versus Other the elicitation of emotional experience by film
Emotional Responses to Film and the elicitation of emotional experience by
real world events is not yet clear. As Levenson
Film as an Elicitor of Emotional Contagion
suggests, this is an issue that is understudied.
So far I have been discussing emotional
Nevertheless, the fact that researchers use our
contagion as it occurs in real life interactions, but
reactions to film as a model for understanding
how does this relate to spectators’ emotional
our reactions to real world stimuli suggests
responses? I propose that emotional contagion
that emotional contagion works very similarly
can occur when watching films in much the same
with both film characters and actual, present
way that it does in real life. The processes
people.
involved in emotional contagion are activated by
Perhaps the main problem with film is that in
direct sensory engagement. Films provide such
some cases films are more likely to produce
engagement. In fact, many of the experiments
contagion responses than real world events.
conducted to study contagion, mimicry, and
Through a variety of techniques, filmmakers are
relevant feedback processes involve subjects often able to guide and influence our perception
viewing others’ facial expressions on film. of characters and their experiences. Carl
In their research on motor mimicry and the Plantinga explains these techniques in his
experimental methods used to study mimicry, discussion of the ‘scene of empathy’; a scene
Janet Beavin Bavelas and her colleagues have from a film that focuses on a character’s face, is
used several types of elicitors, but videotaped typically shot in close-up, and during which the
episodes, documentary film clips, and television pace of the narrative slows down and the
clips have been among the most important.15 character’s interior emotional experience
Experiments on facial efference (or expression) becomes the locus of attention. Plantinga
and emotional experience have also relied on identifies several key eliciting conditions of
audiovisual narratives; in their review of the emotional contagion and empathy in such
empirical research, Pamela Adelman and R. B. scenes. Perhaps most important is attention:
Zajonc explain that one of the most typical filmmakers must focus spectators’ attention on
external stimuli used in experiments on facial characters’ facial expressions in order to elicit
expression and emotion is film.16 Robert contagion responses. They can do this through
Levenson discusses the use of film as an elicitor the use of extreme close-ups, shallow focus,
in experiments on autonomic specificity and various point-of-view structures, and by using
emotion. Levenson explains that there are progressively closer shots of a character’s face
problems with all of the methods used for and expressions. These techniques do not work,
eliciting emotional and affective experience since however, unless the duration of the shot of the
it is difficult for experimenters to recreate the real character’s facial expression is long enough.
life situations in which emotions occur (a Plantinga points out that the kinds of scenes that
problem of ecological validity) and still maintain elicit emotional contagion include shots of
tight experimental control. Nevertheless, in his characters’ faces that are of a much longer
categorization of the different types of elicitors – duration than the average shot, which by 1981
which includes directed facial actions, slides, was approximately ten seconds.18
films, relived emotions, staged manipulations, Consider the opening scene of Quentin
and dyadic interaction among intimates – he Tarantino’s Kill Bill Vol. 1 (2003), a scene that is
labels film as an elicitor that offers a high degree likely to produce emotional contagion in the
of experimental control and a medium degree of viewer. The first thing we see – before we know
ecological validity.17 anything at all about the story or the characters
In spite of the use of film clips in the research – is a high angle close-up of a woman’s face. We
on emotional contagion and emotional arousal know nothing about this woman or her
more generally, the precise relationship between circumstances except what shows on her face:
she has been badly beaten, she struggles for and emotional responses triggered by cognitive
breath, she trembles with fear and pain, and she evaluations of narrative events and meanings.19
is looking around, anxious and afraid. In spite of This work typically focuses either on the
the absence of cues regarding the narrative relationship between imagination and emotion,
situation, we cannot help but begin to mirror the or on the cognitive aspects of emotion, such as
woman’s fear and anxiety, as the fixed camera beliefs, judgments, and evaluations.
stays on her face, cutting away only once and Not all cognitive film theorists focus exclusively
then quickly returning to the close-up of her face on sophisticated emotional processes. Noël
that continues uninterrupted for another Carroll, for example, addresses both moods and
seventy-seven seconds. ‘mirror reflexes’ in two recent papers on the
Regardless of what one thinks of Tarantino as affective address of popular fiction.20 Carroll
a filmmaker, Robert Richardson as a argues that certain affective states that do not
cinematographer, Uma Thurman as an actress, or qualify as standard emotions have gone
Kill Bill Vol. 1 as a film, it is very difficult to watch underappreciated. He explores the significance of
this scene and not experience a strong and moods, which he claims play an important role
immediate affective response. This is partly due in spectators’ psychological engagement with
to the fact that our attention is focused on a audiovisual fictions.
close-up of the character’s face, which Carroll also addresses the role of emotional
unambiguously expresses fear, pain, and anxiety contagion in spectator psychology. On Carroll’s
for a much longer period of time than a typical view, there are many ways in which spectators
shot, especially one at the start of a film. As relate to characters, though most spectator
Plantinga explains, shots of a longer duration emotions can be explained by one of two
allow enough time for the activation of mimicry processes. The first is sympathy, the dominant
and feedback mechanisms. We cannot help but relationship that emerges between spectators
start to mimic some of what we see being and characters, with the spectators feeling care,
experienced on the character’s face. concern or a pro-attitude toward the characters
I am suggesting that our affective response to rather than the same emotions that the
this scene is primarily the result of emotional characters themselves feel. The second is criterial
contagion, rather than a more cognitively prefocusing, the process by which filmmakers
sophisticated process. Because this is the film’s foreground certain narrative events and
opening scene and contains minimal dialogue experiences so that they will fit into familiar
and minimal visual information other than what schemas that are likely to elicit an emotional
the character’s face expresses, we do not have response. Although Carroll considers sympathy
enough information to engage in an imaginative and criterial prefocusing to be the primary causes
project involving higher order processing or of spectator emotion, he acknowledges that
evaluations. spectators also experience ‘mirror reflexes’, which
is the term he uses to refer to what I am calling
Emotional Contagion Versus Empathy and emotional contagion, facial mimicry, and
Criterial Prefocusing feedback processes.21
I now want to consider how emotional Mirror reflexes, though not full-fledged
contagion differs from other emotional processes emotions on Carroll’s view, can still be an
that occur during our engagement with important part of spectators’ affective experience
audiovisual fictions. The majority of the of a film. More specifically, such reflexes can help
philosophical work on spectator emotion in to maintain the body’s elevated level of
cognitive film theory concerns emotional excitement and can make available new
processes and responses more sophisticated than information about the characters that can be
emotional contagion, such as empathy, incorporated into spectators’ overall affective
sympathy, simulation, imaginative identification, experience.
Carl Plantinga also discusses less sophisticated highlight their significance in the film viewing
emotional processes, pointing out that although experience. Few, if any, other film theorists have
a defining feature of film is that it is a sensory considered emotional contagion so carefully.
means of communication that appeals directly to Nevertheless, in my view Plantinga’s and Smith’s
our senses of sight and hearing, this aspect of it characterization of emotional contagion as part
has gone largely unexplored.22 He further argues of empathy or a type of empathy results in
that ‘scenes of empathy’ do more than confusion regarding the nature of emotional
communicate characters’ emotional experience; contagion responses and the uniqueness of such
they also elicit, clarify, and strengthen spectators’ responses. Although empathy and emotional
affective responses.23 They are able to do this in contagion can and often do occur
part because they can cause emotional simultaneously, recent empirical research
contagion by producing affective mimicry and suggests that they are distinct processes that
feedback processes. originate from different types of experience and
Plantinga is one of the few theorists to discuss typically result in different kinds of responses.27
emotional contagion explicitly and to view it as a Due to the differences in how emotional
central feature of spectators’ emotional contagion and empathy arise, empathy can
engagement. I agree with much of what occur in our engagement with literary narratives
Plantinga says about emotional contagion. In my but emotional contagion cannot. Therefore, I
view, however, Plantinga conflates emotional argue that empathy and emotional contagion
contagion with empathy, suggesting that should be clearly distinguished and that making
emotional contagion is a type of empathy or a a careful distinction between the two processes
part of empathy.24 will help us to understand more clearly the
Murray Smith also discusses emotional different ways in which film can arouse
contagion, though he refers not to emotional emotions.
contagion per se but to affective and motor Empathy is best understood as a complex and
mimicry, which he claims play a unique and unique imaginative process involving both
important role in spectators’ emotional cognition and affect.28 When a spectator
engagement with film. Smith has a pluralistic empathizes with a character, she does more than
account of spectator psychology, at the centre of just take on the character’s emotional states; she
which is what he calls ‘the structure of also takes up the character’s psychological
sympathy’, a complex model comprised of three perspective, which includes the character’s
distinct but related levels of engagement: cognitive sense of reality. The spectator
recognition, alignment, and allegiance.25 Like imaginatively experiences it as her own, which
Plantinga, Smith considers affective and motor means imagining that she believes what the
mimicry to be a type of empathy. He claims that character believes, thinks what the character
they typically function within the structure of thinks, and reasons the way the character
sympathy as comprehension mechanisms, but reasons. While this happens, the spectator
due to their involuntary nature, affective and simultaneously adopts the character’s emotional
motor mimicry can also function as a subsystem states.
at odds with the structure of sympathy. When The affective and cognitive dimensions of
this happens, affective and motor mimicry can empathy are interconnected. They do not
lead to affective responses that are incongruent function independently of one another but
with those caused by the three dominant levels interact and influence one other, re-creating the
of engagement.26 target individual’s (the character in this case)
Carroll’s, Plantinga’s, and Smith’s respective overall psychological perspective. In empathy
discussions of mirror reflexes, emotional experiences, just as in real world experiences,
contagion, and affective and motor mimicry help beliefs and thoughts help to create and influence
to explain the nature of these processes and to emotions, which help to create and influence
beliefs. This is part of what makes empathy so They may often work together to create a
complex and dynamic. complex experience of engagement but they
Emotional contagion is a much less have different triggers and affect our experience
sophisticated process than empathy. Since it is in different ways. It may seem as though I am
largely involuntary and is based on automatic complicating matters by arguing for more
processes that are activated by direct sensory distinctions, but a clear model of spectator
perception, it involves no thoughts, beliefs, or psychology needs to specify how different
judgments. Moreover, emotional contagion emotional and affective responses come about,
responses are not generated by the activity of the and how they influence our experiences of film
imagination, and emotional contagion itself is narratives, even when those processes occur
not an imaginative process. In a sense, emotional simultaneously.
contagion responses are more physiological than In his account of character engagement, Smith
empathy responses. Contagion responses rely on seems to appreciate the significance of these
direct sensory stimulation and subsequent distinctions. Although he labels affective and
physiological responses to that stimulation. motor mimicry as empathic phenomena, he is
Empathy responses, on the other hand, careful to distinguish them from emotional
necessarily involve affect but also involve higher- simulation, which he considers to be another
order cognition and the imagination. type of empathic phenomenon but one that
In my view, an accurate account of spectator operates differently. Smith describes mimicry as
psychology should differentiate empathic ‘an almost perceptual registering and reflexive
responses to characters from responses simulation of the emotion of another person via
generated by emotional contagion. Having said facial and bodily clues’.30 Emphasizing the
that, I must acknowledge that empathy and involuntary nature of affective and motor
emotional contagion are closely related mimicry, Smith explains that afferent and motor
processes, and that during an episode of mimicry can lead to affective responses that
engagement, it is often difficult to determine diverge from both the structure of sympathy and
where one emotional process ends and another from the responses generated by emotional
one begins. Plantinga makes this point as part of simulation. This leads me to conclude that in
his argument for defining empathy broadly.29 In spite of Smith’s characterization of affective and
typical cases of character engagement, multiple motor mimicry as empathic phenomena, he
processes are taking place and many of them appreciates the ways in which these processes
occur simultaneously. In fact, I think it is unusual differ from more sophisticated processes.
for a spectator to experience emotional Another type of sophisticated emotional
contagion alone, without some kind of empathy response that viewers often experience occurs as
or sympathy also occurring. There are at least a result of what Carroll calls ‘criterial
two reasons for this. First, narrative fiction films prefocusing’. Carroll develops his model of
typically engage us by inviting us to empathize or criterial prefocusing to explain spectators’
sympathize with certain characters early on in a standard emotional responses. This model
film, and filmmakers use multiple techniques to comprises two key elements: a criterially
encourage this. Thus we are usually prefocused film text and concern for the
empathetically or sympathetically engaged to characters or for the outcome of the narrative
some degree from the beginning. Second, it is events.31
rare for the camera to focus on characters we do The concept of criterial prefocusing refers to
not feel some empathy or sympathy for, except in how filmmakers foreground certain features
the case of villains toward whom we typically feel when presenting narratives so that audience
antipathy. members easily subsume those features under
Nevertheless, empathy, sympathy, and certain categories or concepts related to specific
emotional contagion are distinctive processes. emotions. Carroll accepts a version of the
spectator may not deeply engage for a number emotional contagion, which on its own does not
of reasons: the narrative may fail to draw the yield any understanding. Emotional contagion is
spectator in, formal aspects of the film may not a deliberate or intellectual process but one
prevent the spectator from experiencing affective that takes place involuntarily and unconsciously.
responses, or characters may elicit little sympathy If we choose to analyze our experience of
or empathy. In such cases, actors’ facial emotional contagion, we may learn something,
expressions can still produce experiences of but the analysis of our contagion response is
emotional contagion, which do not rely on a what is providing the understanding in this case,
more comprehensive cognitive engagement with not the response itself.
the narrative. This may be one reason why we
often find ourselves puzzled by a strong affective
IV. Conclusion
response to a film. Why are we so upset, we
wonder, since we do not feel very wrapped up in Philosophical work on spectator emotion tends
a film? Emotional contagion responses may be to emphasize the educative potential of
the reason. emotional reactions. While it is true that many
Smith argues that certain avant-garde and art emotional reactions to narrative films help to
films rely to an unusual degree on emotional foster understanding, some of them do not.
contagion in order to elicit affective responses. Emotional contagion is better understood as
These films provide close-ups of facial solely experiential than as instructive in any way.39
expressions and bodily gestures and movements, To characterize it in terms of understanding risks
but suppress information regarding the narrative over-intellectualizing it and its role in
context (if there is one) and the sources of engagement, and misrepresenting this element
characters’ emotions. 37 Such techniques usually of spectator’s responses as more voluntary,
inhibit empathy and sympathy, yet we can still deliberate, and self-aware than it actually is.
experience affective responses to these films Perhaps the most important difference
because of emotional contagion. between emotional contagion and other
Another important difference between emotional processes is that emotional contagion
emotional contagion and more sophisticated seems to be unique to our engagement with
emotional processes is that the latter often audiovisual fictions. Engagement with literary
contribute to spectators’ understanding and fictions can produce empathy, sympathy,
appreciation of characters, narrative, and simulation, and emotional responses such as
thematic issues, while emotional contagion in those described by Carroll’s criterial prefocusing
and of itself does not. There has been confusion model. In fact, much of the scholarly work on
about this point, probably in part because of the emotional engagement with narratives makes
way contagion has been conflated with empathy. little or no distinction between our engagement
Both Smith and Carroll argue that emotional with film and our engagement with literature.
contagion responses provide understanding But our engagement with literature does not
about characters and narrative situations in films. produce emotional contagion; it cannot, at least
Smith describes affective and motor mimicry as for texts that are not illustrated. Emotional
comprehension mechanisms that act as contagion requires direct sensory input. Mimicry
searchlights or probes in our construction of the and afferent feedback are not produced by
narrative, and Carroll explains that mirror reflexes imaginative processes or evaluations of
help us to understand characters and their characters and narrative events.
emotions and internal states.38 After experiencing This difference represents one respect in which
emotional contagion, it is possible to reflect our engagement with audiovisual fictions is
upon the experience and then make inferences, affective, but less cognitive, than our emotional
thereby learning something about the characters. engagement with literary fictions. Whether this is
However, this sort of process goes beyond a good thing or a bad thing is a subject for
another paper, but it is significant because it 1990), and Engaging the Moving Image (New
represents a difference between our experience Haven, Yale University Press, 2003); and Susan
Feagin, Reading with Feeling—The Aesthetics of
of literature and our experience of film and it
Appreciation (Ithaca, NY, Cornell University Press,
shows how our engagement with film more 1996). In this paper I focus exclusively on cognitive
closely resembles our real world experience than film theory and do not engage with film theory in
our engagement with literature. the psychoanalytic tradition.
I now need to make some qualifications. I 3 Elaine Hatfield, John T. Cacioppo, and Richard L.
Rapson, ‘Primitive Emotional Contagion’, in
have argued that emotional contagion occurs Margaret S. Clark (ed.), Emotion and Social Behavior
during film viewing experiences and that it (Thousand Oaks, CA, Sage, 1992), pp. 151–77.
distinguishes our engagement with film 4 See Elaine Hatfield, John T. Cacioppo, and Richard L.
narratives from our engagement with literary Rapson, Emotional Contagion (Cambridge,
Cambridge University Press, 1994), p. 5, and Janet
narratives. I am not suggesting, however, that
Beavin Bavelas, Alex Black, and Charles R. Lemery,
emotional contagion is essential to film viewing ‘Motor Mimicry as Primitive Empathy’, in Nancy
experiences. It is possible to watch a film without Eisenberg and Janet Strayer (eds), Empathy and its
experiencing emotional contagion. I am also not Development (Cambridge, Cambridge University
suggesting that emotional contagion is the Press, 1987).
5 Lauren Wispe, The Psychology of Sympathy (New
primary emotional response that we have when
York, Plenum Press,1991), p. 7.
watching films. Empathy, sympathy, and 6 Stephanie Preston and Frans de Waal, ‘Empathy: Its
emotional responses such as those explained by Ultimate and Proximate Bases’, Behavioral and Brain
Carroll’s criterial prefocusing model are all as Sciences, 25:1(2002), 1–21.
7 For a useful discussion of this issue, see Peter
common and possibly even more common than
Goldie, The Emotions: A Philosophical Exploration
emotional contagion. (Oxford, Oxford University Press, 2000), pp.
More work needs to be done on the role of 189–94.
emotional contagion in our engagement with 8 Bavelas et. al, ‘Motor Mimicry as Primitive Empathy’,
film narratives: we need to determine the extent p. 323.
9 Ulf Dimberg, ‘Facial Reactions to Facial Expressions’,
of emotional contagion and its relationship to
Psychophysiology, 19:6 (1982), 643–7, ‘Facial
other emotional processes that occur during film Electromyography and the Experience of Emotion’,
viewing experiences. The latter issue is especially Journal of Psychophysiology, 2: 4 (1988), 277–82,
complicated and will have to be carefully and ‘Facial Electromyography and Emotional
considered in order for us to obtain a clear Reactions’, Psychophysiology, 27:5 (1990), 481–94;
Ulf Dimberg and Monika Thunberg, ‘Rapid Facial
picture of spectator emotion in general.
Reactions to Emotional Facial Expressions’,
Nevertheless, I hope to have shown that Scandinavian Journal of Psychology, 39:1(1998),
emotional contagion is an important part of 39–46; and Ulf Dimberg, Monika Thunberg, and
spectator experience and one worth examining Kurt Elmehed, ‘Unconscious Facial Reactions to
Emotional Facial Expressions’, Psychological Science,
more closely.40
11:1 (2000) 86–69.
10 These response patterns occur even when the
target’s facial expressions are being processed
Notes
outside of subjects’ awareness. See Dimberg and
1 In this paper, I do not address the numerous Thunberg, ‘Rapid Facial Reactions’. A number of
variables influencing an individual spectator’s studies focusing on overt facial expressions have
response. My focus is on standard emotional resulted in similar findings. See Hatfield et al.,
reactions and typical response patterns. Emotional Contagion, pp. 2—23), and Pamela K.
2 See, e.g., Gregory Currie, Image and Mind: Film, Adelmann and R. B. Zajonc, ‘Facial Efference and
Philosophy, and Cognitive Science (Cambridge, the Experience of Emotion’, Annual Review of
Cambridge University Press, 1995); Alexander Neill, Psychology, 40:1(1989) 249–80.
‘Empathy with (Film) Fiction’, in David Bordwell and 11 Adelmann and Zajonc, ‘Facial Efference and the
Noël Carroll (eds), Post Theory: Reconstructing Film Experience of Emotion’; Hatfield et al., Emotional
Studies (Madison, University of Wisconsin Press, Contagion, pp. 53–62; and Robert W. Levenson,
1996); Noël Carroll, The Philosophy of Horror: Paul Ekman, and Wallace V. Friesen, ‘Voluntary
Paradoxes of the Heart (New York, Routledge, Facial Action Generates Emotion-Specific Autonomic
Nervous System Activity’, Psychophysiology, 27:4 Ravenscroft, and Paul Harris. For a recent
(1990), 363–84. For a discussion of universal facial formulation and defense of simulation theory, see
expressions and emotions, see Dacher Keltner and Gregory Currie and Ian Ravenscroft, Recreative
Paul Ekman, ‘Facial Expression of Emotion’, in Minds: Imagination in Philosophy and Psychology
Michael Lewis and Jeanette M. Haviland-Jones (eds), (Oxford, Clarendon Press, 2002), pp. 49–70; and
Handbook of Emotions 2nd edn (New York, Guilford Gregory Currie, Arts and Minds, esp. pp. 166–8 &
Press, 2000), pp. 241–3. 176–82. For a recent critique of simulation theory,
12 For discussions of emotion-specific autonomic see Shaun Nichols and Stephen Stich, Mindreading
activity, see John T. Cacioppo, Gary G. Bernston, Jeff (Oxford, Oxford University Press, 2003), pp.
T. Larsen, Kirsten M. Poehlmann, and Tiffany A. Ito, 131–42.
‘The Psychophysiology of Emotion’, in Lewis and 20 Noël Carroll, ‘Art and Mood’, and ‘On the Ties That
Haviland-Jones (eds), Handbook of Emotions esp. Bind: Characters, the Emotions, and Popular
pp. 179–84; and Keltner and Ekman, ‘Facial Fictions’ in William Irwin and Jorge Garcia (eds),
Expression of Emotion’, esp. pp. 238–9. Philosophy and the Interpretation of Popular Culture
13 Levenson, Ekman, and Friesen, ‘Voluntary Facial (Lanhan, MD, Rowman and Littlefield, forthcoming).
Action Generates Emotion-Specific Autonomic 21 Carroll, ‘On the Ties That Bind’, esp. section V.
Nervous System Activity’. 22 Plantinga, ‘The Scene of Empathy’, p. 239.
14 Keltner and Ekman, ‘Facial Expression of Emotion’, 23 Ibid., p. 240.
p. 237; and Robert Levenson, ‘Autonomic Specificity 24 Ibid., pp. 245–8.
and Emotion’, in R.J. Davidson, K.R. Scherer, and H. 25 Murray Smith, Engaging Characters: Fiction,
H. Goldsmith (eds), Handbook of Affective Sciences Emotion, and the Cinema (Oxford, Clarendon Press,
(New York, Oxford University Press, 2003), p. 222. 1995). See pp. 73–109, esp. pp. 98–100.
15 Bavelas et al., ‘Motor Mimicry as Primitive Empathy’, 26 Ibid., p. 81.
esp. p. 323; and Janet Beavin Bavelas, Alex Black, 27 I discuss this at greater length elsewhere. See Amy
Charles R. Lemery, and Jennifer Mullett, Coplan, ‘Empathic Engagement with Narrative
‘Experimental Methods for Studying Elementary Fictions’, Journal of Aesthetics and Art Criticism
Motor Mimicry’, Journal of Nonverbal Behavior, 62:2 (2004), 141–52. See also Eisenberg and
10:2 (1986): 102–19. Strayer, ‘Introduction to Empathy and its
16 Adelman and Zajonc, ‘Facial Efference and the Development’; Nancy Eisenberg, ‘Empathy and
Experience of Emotion’, p. 258. Other typical Sympathy’; Goldie, The Emotions, pp. 189–194;
elicitors include slides and electric shock (or the Jean Decety and Jessica A. Sommerville, ‘Shared
apparent threat of electric shock to someone). Representations Between Self and Other: A Social
17 Levenson, ‘Autonomic Specificity and Emotion’, pp. Cognitive Neuroscience View’, Trends in Cognitive
216–18. Science, 7:12 (2003); and Jean Decety and Philip L.
18 Carl Plantinga, ‘The Scene of Empathy and the Jackson, ‘The Functional Architecture of Human
Human Face on Film’, in Carl Plantinga and Greg M. Empathy’, Behavioral and Cognitive Neuroscience
Smith (eds), Passionate Views: Film, Cognition, and Reviews, 3:2 (2004).
Emotion (Baltimore, MD, Johns Hopkins University 28 I believe that similar things are true of simulation,
Press, 1999), pp. 239–255. Plantinga also considers ‘imagining from the inside,’ and imaginative
allegiance and narrative context to be eliciting identification. Nevertheless , I want to be careful
conditions, but I think that these are more relevant about equating simulation and empathy. Peter
for the evocation of empathy than of emotional Goldie, Shaun Nichols, and Stephen Stich have
contagion. challenged the view that simulation can be used as
19 See note 2. Recently there have been a number of an explanation for empathy. Goldie argues that not
accounts of spectator emotion that draw on all simulations will result in empathy, which is a
simulation theory, a theory originally developed in much more complex process than certain simulation
philosophy of mind as an alternative to theory accounts of it suggest. See Peter Goldie, ‘How We
theory, the dominant explanation of how we Think of Others’ Emotions’, Mind and Language,
understand and predict others’ mental states. 14:4 (1999): 394–423, esp. 411–15. Stich and
According to simulation theory, we understand Nichols claim that the term ‘simulation’ should be
another’s psychological states not by appeal to retired because ‘the diversity of among the theories,
theoretical generalizations about the way people processes, and mechanisms to which advocates of
think and behave but rather by adopting the target simulation theory have attached the label
individual’s perspective by using our own minds to ‘simulation’ have become so great that the term
model the target’s psychological activities. Major itself has become quite useless’. Stephen Stich and
proponents of simulation theory or hybrid theories, Shaun Nichols, ‘Cognitive Penetrability, Rationality,
which incorporate simulation theory, include Robert and Restricted Simulation’, Mind and Language
Gordon, Alvin Goldman, Gregory Currie, Ian 12:3–4 (1997), 299. For a discussion questioning
the plausibility of simulation theory as an 35 For a discussion of monsters in horror fictions, their
explanation of empathy in particular, see Shaun characteristics, and why they elicit disgust, see
Nichols, Stephen Stich, Alan Leslie, and David Klein, Carroll, Philosophy of Horror, pp. 12–58.
‘Varieties of Off-Line Simulation’, in Peter Carruthers 36 Smith discusses a less gruesome example: the
and Peter K. Smith (eds), Theories of Theories of ending of Alfred Hitchcock’s Saboteur, during which
Mind (Cambridge, Cambridge University Press, the villain Fry (Norman Lloyd) dangles from the edge
2003), pp. 59–67. of the Statue of the Liberty before falling to his
29 Plantinga, ‘The Scene of Empathy’, pp. 245–7. death. Smith, Engaging Characters, pp. 102–106.
30 Ibid., p. 99. Smith explains that due to the way the scene is
31 Carroll writes: shot, with Fry’s terrified expression shown in
‘. . .emotional involvement with a narrative mediums, we are likely to experience affective
depends upon the combination of a criterially mimicry in response to his situation. This is at odds
prefocused text with pro and/or con attitudes with our dominant emotional response because we
about the ways in which the narrative situation are otherwise happy that this villainous character is
can develop – that is, a combination of a getting his due. In other words, we are not
conception of a situation with some relevant experiencing empathy or sympathy towards this
concerns, preferences, and desires. Together, character but rather antipathy, that is, until we
these provide the necessary and sufficient perceive him hanging from the edge of the
conditions for an emotional response to the text building, terrified.
to take hold in such a way that the reader, 37 Ibid., p. 101.
viewer, or listener becomes emotionally focused, 38 Smith, Engaging Characters, p. 103; Carroll, ‘On the
that is, in such a way that the abiding emotional Ties That Bind’, section V.
state fixes and shapes her attention.’ (Beyond 39 For a useful discussion of the differences between
Aesthetics, p. 231). emotional contagion and other emotional
32 Although Carroll accepts the judgment (or processes, including the fact that emotional
cognitive) theory of emotion as an accurate account contagion does not provide understanding, see
of standard emotions, he argues that this theory Goldie, The Emotions, pp. 189–94.
cannot explain other affective responses, which are 40 Earlier versions of this paper were presented at the
an important part of our affective engagement with 2004 meeting of the Center for the Cognitive Study
fictions. He writes that ‘it is time for philosophers of of the Moving Image and the 2005 Pacific Division
art to look beyond cognitive theories of emotions in Meeting of the American Philosophical Association. I
order to broaden their appreciation of the affective would like to thank both audiences for useful
life of art’ (‘Art and Mood’, p. 523). Thus Carroll comments and discussion. I would also like to thank
does not deny that the cognitive theory of emotion Heather Battaly, Nicole Bonuso, Mary Gage
is useful and accurate; it simply cannot be used to Davidson, Stephen Davies, Peter Goldie, Thomas
tell the whole story about affective engagement. Leddy, Robert Levenson, Jennifer Nielsen, Jérôme
33 Carroll, ‘Film, Emotion, and Genre’, pp. 27–8; Pelletier, and Bryon Cunningham for their comments
Beyond Aesthetics, pp. 27–8, 233–5; and Engaging and support. Finally, I am especially grateful to
the Moving Image, pp. 64–6. Daniel Barratt and Jonathan Frome who provided
34 Carroll, ‘Film, Emotion, and Genre’, pp. 31–2. Much invaluable feedback that greatly improved the paper.
more can be said about Carroll’s account. This is a
brief overview.