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Emotion: History of The Concept: Katharina Scherke, University of Graz, Graz, Austria
Emotion: History of The Concept: Katharina Scherke, University of Graz, Graz, Austria
Abstract
In the past decades, in several scientic disciplines we observe growing interest in emotion from neurobiology, philosophy,
history, and anthropology to as far as sociology. In the course of the twentieth century, under the inuence of a rationalist
concept of man pushing through, the value of emotions had declined in the social sciences. Contrasting rationality and
emotionality as mutually excluding attitudes looks back to a long history and has only recently increasingly been questioned.
The development of this rationalist attitude is sketched in this article. In addition, the relationship between physiological
aspects, cognitive appraisal, and emotion is described (most of all in reference to psychological literature and those of the
neurosciences) and an overview of current sociology of emotions is given.
In the past decades, in several scientic disciplines we observe and the radical approach which completely gives up on any
a growing interest in emotion. This covers a whole range from distinction between emotionality and rationality.
neurobiology, philosophy, history, anthropology, as far as to
sociology. If we consider the history of emotion research, it is
conspicuous that over long periods emotions were considered Rationality and Emotionality
the realm of individual disciplines (such as psychology) and
were, thus, in tendency neglected by other disciplines (Scherke, From a conventional point of view, rationality and emotionality
2009: 1115). Only recently, an attitude has become more are two separate elds of human being-in-the-world. Accord-
prevailing, which assumes that for the understanding of human ing to this approach, emotions are in most cases an obstacle for
emotions we need an interdisciplinary approach. In this article, rational action. First roots of such a way of understanding
we present some important steps of the historical development emotions are found already in antiquity. The negative judgment
of emotion being a concept in the social sciences (sociology, in of the Pre-Socratics, advised to avoid the stimulation of
particular) with a special focus also on the changing impor- emotions, is also supported by Plato (fth/fourth century BC),
tance of this concept for various disciplines. for example, although already he draws a differentiated, not
Already, the classical authors of sociology pay attention to exclusively negative, image of emotions and considers pleasure
human emotions, as has been shown in recent years by refer- together with reason, an essential part of happiness in life. Also
ring to the works of people such as Max Weber (18641920), Aristotle (fourth century BC) does not strive for being
Emile Durkheim (18581917), or Georg Simmel (18581918) completely liberated from emotions but considers the right
(Kemper, 1990: 5; Williams and Bendelow, 1998: XV; Flam, measure a desirable virtue (Lanz, 1971: 8995). Then, the rather
2000: 154). However, the analyses of the classical authors of negative view of emotions as unreasonable impulses that are to
sociology concerning the topic of emotions were not imme- be avoided is found most of all among the representatives of the
diately continued. In the course of the twentieth century, Stoa. While, for example, Zenon (fourth/third century BC)
emotions were gradually excluded from the sociological considers wrong judgments of reason the starting point for
debate, which continued into the 1970s (Scherke, 2009: emotions which, however, he considers phenomena that must
291294). Only after that time one can speak of sociology basically be distinguished from reason, for Chrysippos (third
rediscovering the topic most of all in the English-speaking century BC) emotions cannot be separated from reason but
countries (on the various trends of the special eld of the must be judged on as exercising them in the wrong way. In the
sociology of emotions see Turner and Stets, 2005). Middle Ages, this attitude is taken up again and sharpened, as
In the course of the twentieth century, under the inuence far as asking in how far emotions are capable of inuencing
of a rationalist concept of man pushing through, the value of conscious decisions. Thomas Aquinas (122574) emphasizes
emotions declined in debates of the social sciences. The the physical dimensions of emotion. As such, he says, emotions
development of this rationalist attitude shall be sketched here are neither good nor bad; if they are controlled by reason, they
briey. Contrasting rationality and emotionality as mutually count among the virtues, if not, then they lead toward sin.
excluding attitudes looks back into a long history and has only Basically, they are not completely subject to the human will. The
recently been questioned increasingly. For a structuring of the comprehensive way of understanding emotions, which in
debate on rationality and emotionality, the division into three antiquity and the Middle Ages is still found to a certain degree
of the possible attitudes as suggested by Barbalet (Barbalet, emotions both as suddenly triggered or long-time states of the
1998: 29) proves to be very useful: the conventional approach, soul and efforts by the soul gradually becomes more differ-
which in the past few years has increasingly been questioned; entiated in the debate of Modern Age, by more clearly dis-
the critical approach which since most recently is characterized, tinguishing between the rather lasting desires of man and his
most of all, by the inclusion of neuroscientic insights and spontaneous emotions. Also, the idea of body and soul being
postulates a close connection of rationality and emotionality; mostly one, which is still found in the writings of some ancient
472 International Encyclopedia of the Social & Behavioral Sciences, 2nd edition, Volume 7 http://dx.doi.org/10.1016/B978-0-08-097086-8.03080-4
Emotion: History of the Concept 473
authors and also in Thomas Aquinas, is then replaced by the have produced evidence for the critical approach which have
idea of the two being strictly separated. meanwhile also found response in the eld of economics
Thus, Barbalet describes the conventional understanding of (Damasio, 1994; Barbalet, 1998: 39; Elster, 1998: 4774; Fehr
the relation of rationality and emotionality by reaching back to and Fischbacher, 2004). In contrast to the conventional
Ren Descartes (15961650). Descartes cogito ergo sum understanding, which considers too much emotion an obstacle
makes reason the center of human existence, whereas now for rational decision making, lack of emotions is now seen as
emotions are considered most of all by their relation to reason counterproductive for rational behavior.
and by their possible destructive effects on it. The will, he states, The radical view assumes that rationality and emotionality
must master the passionate impulses coming from the body. In are basically not different from each other, but that rationality
this point of view emotions and reason are understood to be itself may be considered a conglomerate of particular emotions.
contradicting phenomena, in the context of which the realm As mentioned above, the idea of an inseparable connection
which is associated with mans free will that is, reason is between reason and emotion is already found in Chrysippos.
appreciated, whereas emotions must be suppressed as bodily Sometimes, this connection of reason and emotion is also
phenomena that are obstacles for reason. However, when found among the thinkers of Enlightenment, together with
explaining Descartes view of emotions it may not be over- a positive judgment on the knowledge of the world guided
looked that he dealt in very much detail with the physical by emotion. Such an idea is found in Alexander Gottlieb
processes of emotion. Thus, appreciating reason was not con- Baumgarten (171462), for example. For him, insight resulting
nected to neglecting (or lacking interest in) emotion. Also, we from an emotional, aesthetic understanding of the world may
must note that the soul is capable, by imagining situations be considered to be in analogy with reasonable insight (Franke
which contradict currently existing passions, of starting and Oesterle, 1974: 8386). Also, in the debate on so-called
appropriate physical mechanisms, and thus of controlling moral emotions, emotion is said to have a cognitive function in
unwanted passions. Often the perception of Descartes over- the widest sense. There, emotions become the actual bearer of
looked this fundamental connection of body and soul (which human decision making and are thus attributed a degree of
only allowed also for mastering the passions), thus one-sidedly signicance which is sometimes believed to be superior to
emphasizing his explanation of the passions as phenomena reason-based insight, for example as described in the works of
that contradict reason. In the past centuries conventional view Anthony Ashley Cooper Shaftesbury (16711713) or in Francis
proved to be the predominant understanding of the relation of Hutcheson (16941746). Also in Max Schelers (18741928)
rationality and emotionality (despite the existence of other phenomenology some cognitive achievements are based on
views) (Barbalet, 1998: 5461). such an emotional ground. Emotions are important most of all
In contrast to the conventional concept, the critical view of for concluding on values, and the thus resulting moral deci-
the relation of rationality and emotionality emphasizes that sions (Scheler, 1954: 260272). This independent relation to
only emotions make cognition, that is, rational consideration, reality by way of emotions or feelings is crucial for Schelers
purposeful. Also this view considers emotion and reason as two revaluation of emotion compared to reason.
different phenomena; however, one assumes a closer interac- We nd evidence for the radical position also in David
tion of both. Also for this concept we nd predecessors already Hume and William James (18421910). Hume was of the
in antiquity and the Middle Ages. In the eighteenth century, the opinion that spiritual activities carried out prudently and
Cartesian concept of man was criticized most of all by the calmly are called reason. However, he said, this name hides the
Scottish moral philosophers who strived for a rehabilitation of work of calm passions which, no less than violent passions,
mans senses and passions. David Hume (171176) assumed count among emotions (Barbalet, 1998: 31). Furthermore,
that passions control the will, thus directing human behavior James pointed out to the physical changes happening when
toward a goal. Furthermore, already in Hume we nd the basic experiencing certain emotions. In his opinion, mans spirit
idea of the radical approach, which is presented in the cannot be considered without these physical states. Insofar as
following, according to which rationality itself may be rationality is characterized by certain physical sensations.
considered a certain kind of emotion. Thus, from the point of According to James, the emotion of rationality is characterized
view of the critical approach emotions are necessary to direct most of all by being oriented at the present moment which
reason, which may be of signicance most of all in respect to does not seem to require further justication or explanation,
a revision of modern Rational-Choice theories. By a kind of thus allowing for focusing thought (James, 1956: 6364). A
division of labor between the emotional and the rational feeling of rationality provides security, thus guaranteeing the
components of human being-in-the-world it becomes continuation of the action, which otherwise would not have
possible to dene goals and then to try to achieve them by way happened. According to this view, rationality is just a special
of reasonable action. Often, humans are confronted with kind of emotional orientation toward the future (which may be
contradicting goals between which a rational decision is hardly described as being characterized by composure and calmness);
possible. Furthermore, in many situations they have only however it cannot in principle be distinguished from other
insufcient information, which makes reasonable action even emotional orientations toward the future.
more difcult. In such cases emotions may contribute signi-
cantly to decision making, by allowing for a clear judgment on
the various goals and for selecting one of them, despite lacking Body and Emotion
background information. This way they also guarantee long-
term social cooperation by avoiding egotistic, short-term As sketched above, already philosophy in antiquity and the
goals. Most recently, most of all insights of the biosciences thinkers of Enlightenment as well as those of the nineteenth
474 Emotion: History of the Concept
century dealt with emotions. In the course of the differentiation crucial for the kind of created emotions. According to this view,
of the system of sciences, which in the nineteenth century cognitive processes are thus responsible for the development of
resulted in psychology being separated from philosophy, different emotional states. As Magda Arnold (19032002)
emotions were systematically dealt with in the context of this found out in the 1960s, it is also cognitive appraisal that
newly developing discipline. In the course of the past provides the starting point for the emotional process, after all.
150 years psychology has assessed sometimes by way of She made the triggers of these physical processes the focus of
experiments a variety of different theories on the question of her considerations (Arnold, 1960). In the course of a process of
how emotions are created. The following overview focuses on cognitive appraisal, she said, the individual judges on his/her
the question of which meaning has been attributed to physi- current (environmental) situation, and that is concerning the
ological factors when it comes to emotional processes. Various possible damage or benet it may cause.
points of view shall be sketched by way of some milestones on Arnold and other representatives of the appraisal theory
the road to todays concept of emotions which is much inu- assumed that those processes as being responsible for triggering
enced by the neurosciences, and thus by physiological factors. an emotion are basically accessible to consciousness, which is
However, we have to take into account that this was not at all why reports of patients based on introspection may be used as
a linear process and even in psychology there exist theories that sources for the research of emotional processes. In contrast to
do not refer to physical aspects in a narrow sense. this, LeDoux follows Robert Zajoncs (19232008) consider-
There is, for example, the JamesLange theory that ations, who, in the 1980s, had moved away from the long
emphasized the signicance of physiological experience for predominance of cognition and postulated a more complex
emotional feeling. At the end of the nineteenth century William relation of cognitive and emotional processes, for which most
James (like at about the same time as Carl Lange (18341900)) of all processes of unconscious information processing play an
assumed that initially we never judge on a situation in important role. Decisive for Zajoncs considerations were
a cognitive way before there happens an emotional reaction experiments during which test persons had developed prefer-
(we see a bear, recognize the danger, become afraid, and run ences for stimuli that were offered only for a short time (and
away), but that it is our physiological experience that deter- were thus not consciously perceived) (Zajonc, 1980). This
mines our emotions (we see a bear, run away and are thus unconscious information processing was the starting point for
afraid, i.e., we interpret our running away as a reaction of fear). LeDouxs examinations (LeDoux, 2001: 5869). Already, since
Thus, the conscious experience of an emotion comes after the the 1950s certain parts of the brain (the so-called limbic system)
physiological processes. Often this was interpreted as stating were considered the central switchboard of emotional percep-
that any emotion is characterized by a specic physiological tion. From LeDouxs point of view, not those parts of the brain
signature (LeDoux, 2001: 4851). which are called the limbic system are responsible for emotions,
In the 1920s this assumption was taken up and modied by but there exists a complex process of processing of the incoming
the CannonBard theory. According to this theory, developed sensual information, in the course of which different physical
by Walter Cannon (18711945) and Philip Bard (18981977), (and thus also neuronal) systems are activated. For his work,
it is only general conditions of agitation (due to reactions by LeDoux focuses on fear. The essential result, in short, is that
the sympathetic nervous system, which are assumed to be there is so to speak a double process of information processing
consistent) which may become subject to a cognitive appraisal. in the brain. Sensual perceptions reach the thalamus in the form
Cannon and Bard assumed that physiological agitation and the of nerve impulses and from there go to the neocortex (where
conscious perception of an emotion happen parallel and that there happens cognitive assessment) and also to the amygdala
the consciously perceived emotional state is not a consequence (which controls physical reactions). In this context, those nerve
of physical agitation only, as it was still assumed by James and impulses reaching the amygdala may sometimes already trigger
Lange. The physical reactions, they stated, are most of all physical reactions even before the sensual perceptions have
responsible for the intensity and urgency of a perceived been cognitively assessed. Thus, this approach enriches the
emotion but do not determine its specic nature. cognitive appraisal theory, insofar as it offers an explanation
Then, in the course of the predominance of behaviorism in also for the rapid, unconscious assessment of certain situations.
psychology, as far as into the 1950s, emotions were hardly In the context of the debate on the emotional process, the
discussed. This changed in the course of the cognitive revolu- concept of evolution has played an important role time and
tion which paid increasingly more attention to the conscious again apart from the question of how physiology and cogni-
processing of information by the human mind. In contrast to tion work together that is, human emotions were analyzed in
the behaviorist stimulusresponse model, mans mind was view of their functions as adjustment advantages (Turner, 2000:
rehabilitated and became once again a matter for psychology. 1921). Closely connected to these evolutionary considerations
However, as LeDoux criticizes, this sometimes happened by is also the idea of emotions nding universal expression. This
neglecting the physical (most of all neuronal) preconditions of assumption, which Charles Darwin (180982) had already
the human information processing (LeDoux, 2001: 29, 58). For expressed in 1872, was taken up by Paul Ekman in the 1960s. He
example, in the 1960s Stanley Schachter (192297) and Jer- gave evidence to it by several culture-comparative studies, in the
ome Singer (19342010) joined the CannonBard theory of course of which, however, it also became clear that there are
the general state of agitation, however by enriching it by the culture-specic rules of presentation which demand the open
thesis that apart from perceiving physical agitation also the expression or hiding of certain emotions (Ekman, 1984). Linked
perception of the actual environment inuences the nally to the debate on the cross-cultural status of emotions and their
resulting emotion (Schachter and Singer, 1962). Schachter and evolutionary functions is also the idea of the existence of certain
Singer described in particular the social environment as being basic emotions or primary emotions, the opinions concerning
Emotion: History of the Concept 475
their kind and number being widely apart still today (Ulich and countries in the 1970s and 1980s. For both approaches the
Mayring, 1992: 3637, 132133). macro-level is in the fore. The constructivist approach refers to
Since the 1960s, the complexity of the human emotional the macro-level by way of normative feeling rules regulating the
process, which includes biological, social, and cultural way in which emotions are expressed, thus serving as a link
components, has also produced systemtheory-oriented theo- between the social or cultural context (as well as its historical
ries of emotion such as in Carroll E. Izard or Silvan S. Tomkins development) and the emotions of the individuals. By way of
(Tomkins, 1962; Izard, 1971) which attempt descriptions of interactions between participants there occur negotiations
the interaction of these different components. More recently, about which emotions are felt or may be felt in each case.
the analysis of neuronal processes has played an important role Aspects of social control play an important role for this
also for systemtheory-oriented theories of emotions. modulation of emotions (in the form of sanctions by others or
In contrast to the debates of the 1960s and 1970s, which of internalized self-control learned in the course of socializa-
were characterized by the cognitive sciences, currently the tion). It is the individuals who create and redesign emotions
physical dimension of the emotional process is in the fore of in the sense of emotion work or emotion management
scientic attention (most of all in the neurosciences) again. (Hochschild, 1983) adjusted to the respective social context.
However, since the 1970s also a sociology of emotions has As has been shown also by recent ethnological studies, the
established as a special eld within sociology, trying to shed respective cultural context is quite decisive for the way in which
light on the signicance of social factors for the emotional emotions are expressed. Furthermore, it must be taken into
process and to nd out about their interaction with other consideration that feeling rules change in the course of history.
factors (such as physiological ones). Quite a number of studies deal with the development or
change of emotional concepts such as the concept of
Romantic love which is mostly a product of the nineteenth
Sociology of Emotions century and has essentially contributed to the way in which
partner relationships have been lived since then (Illouz, 1997).
Two main lines can be distinguished within the sociology of The positivist approach assumes that emotions are more or
emotions: one line making the social development of emotions less directly created by socialstructural positions or relations
a topic of discussion, and the other investigating the social of interaction partners, without considering processes of
effects of emotions (Scherke, 2009: 5862). This is only a very emotion management. Partly, most of all in Theodore D.
rough structure which, however, is suitable for illustrating the Kemper, this idea also implies that socialstructural positions,
basic direction of studies. physiological mechanisms, and perceived emotions are closely
Authors considering them to be characterized or changed by linked (Kemper, 1978). Also, this approach refers predomi-
social structures analyze emotions for the way in which they are nantly to the micro-level, by sketching in a model possible
created. In this context, emotions are not only considered interaction situations between two individuals or among small
something biologically predetermined, but also as a phenom- groups concerning their power and status relations and by
enon that is essentially (co)inuenced by the social and/or analyzing them for their emotional consequences. However,
cultural environment (like already Schachter/Singer have also for this approach we may state a reference to the meso- or
shown). The question about the nature of emotions, that is, macro-level, as the social position of social groups (thus also
about their fundamental characteristics and ways of appear- a model of social segregation) can be included into the analysis.
ance, is in the fore for these studies. This is a topic also dealt Those approaches as analyzing the inuence of emotions on
with by other disciplines, which is why this eld shows the social plane can be further divided into those discussing
a number of interdisciplinary interfaces. emotional states as general preconditions for human behavior
However, in the context of the sociology of emotions we also (and thus also social behavior) and those dealing with the
nd studies analyzing the effect of emotions on social situa- various social consequences triggered by concrete emotions.
tions. According to this approach, emotions are assumed to be From the point of view of the interpretative approach within
mostly given (without any implicit decision about their bio- the sociology of emotions, emotions are attributed a considerable
logical and/or social nature). Here the question of how role for the construction of reality. Emotions inuence social
emotions are created is postponed, and instead one discusses situations in a way as to contributing to a (mostly nonverbal)
the effects of emotions on the structuring of social contexts. structuring of social situations, by reducing the range of
Basically, this approach also shows interfaces with other possible meanings in the context of interactions. Thus,
disciplines; however, in terms of research practice they may be emotions are part of the unquestioned preconditions for social
more neglected to a certain degree than it is the case with the situations, thus allowing for everyday processes. By way of
former approach. In other words, new bioscientic insights facial gestures and emotions are expressed most of all by
concerning the way in which emotions are created do not facial expressions fundamental attitudes toward the world
necessarily result in a revision of sociological explanations for and the current situation are communicated, thus reducing the
the social effects of emotional behavior. The social conse- possible leeway for interpretation, as interactions are always
quences of emotions may, so to speak, be considered to belong connected to a certain degree of insecurity. In other words,
to tasks of sociology in the stricter sense. a sentence which is said with a smile is attributed a different
Among the approaches dealing with how emotions are meaning than the same sentence expressed in an angry voice
characterized by social structures and interactions we may and by the appropriate facial expression. Without analyzing the
distinguish a positivist and a constructivist approach. Between content in detail, the respective interaction partner will already
these two there was an extensive debate in the Anglo-Saxon react to the emotional tone of the message, which will steer the
476 Emotion: History of the Concept