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EMOTIONAL INTELLIGENCE A Bantam Book PUBLISHING HISTORY Bantam hardcover edition published October 1995 Bantam trade paperback edition published July 1997 Bantam 10th anniversary trade paperback edition published October 2005 Bantam 10th anniversary hardcover edition / October 2006 Published by Bantam Dell A Division of Random House, Inc. New York, New York Illustration of brain on this page is adapted from “Emotional Memory and the Brain” by Joseph E. LeDoux. Copyright © 1994 by Scientific American, Inc. All rights reserved. Artist: Roberto Osti All rights reserved. Copyright © 1995 by Daniel Goleman Introduction copyright © 2005 by Daniel Goleman Library of Congress Catalog Card Number: 95-16685 Bantam Books and the rooster colophon are registered trademarks of Random House, Inc. eISBN: 978-0-553-90320-1 www.bantamdell.com v3.1_r2
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Contents Cover Title Page Copyright Introduction Aristotle’s Challenge PART ONE THE EMOTIONAL BRAIN 1. What Are Emotions For? 2. Anatomy of an Emotional Hijacking PART TWO THE NATURE OF EMOTIONAL INTELLIGENCE 3. When Smart Is Dumb 4. Know Thyself 5. Passion’s Slaves 6. The Master Aptitude 7. The Roots of Empathy 8. The Social Arts PART THREE EMOTIONAL INTELLIGENCE APPLIED 9. Intimate Enemies 10. Managing with Heart 11. Mind and Medicine
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PART FOUR WINDOWS OF OPPORTUNITY 12. The Family Crucible 13. Trauma and Emotional Relearning 14. Temperament Is Not Destiny PART FIVE EMOTIONAL LITERACY 15. The Cost of Emotional Illiteracy 16. Schooling the Emotions Appendix A: What Is Emotion? Appendix B: Hallmarks of the Emotional Mind Appendix C: The Neural Circuitry of Fear Appendix D: W. T. Grant Consortium: Active Ingredients of Prevention Programs Appendix E: The Self Science Curriculum Appendix F: Social and Emotional Learning: Results Resources Dedication Acknowledgments Notes Other Books by This Author About the Author
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Introduction OceanofPDF.com Tenth Anniversary Edition of Emotional Intelligence In 1990, in my role as a science reporter at The New York Times , I chanced upon an article in a small academic journal by two psychologists, John Mayer, now at the University of New Hampshire, and Yale’s Peter Salovey. Mayer and Salovey offered the first formulation of a concept they called “emotional intelligence.” Those were days when the preeminence of IQ as the standard of excellence in life was unquestioned; a debate raged over whether it was set in our genes or due to experience. But here, suddenly, was a new way of thinking about the ingredients of life success. I was electrified by the notion, which I made the title of this book in 1995. Like Mayer and Salovey, I used the phrase to synthesize a broad range of scientific findings, drawing together what had been separate strands of research—reviewing not only their theory but a wide variety of other exciting scientific developments, such as the first fruits of the nascent field of affective neuroscience, which explores how emotions are regulated in the brain. I remember having the thought, just before this book was published
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I remember having the thought, just before this book was published ten years ago, that if one day I overheard a conversation in which two strangers used the phrase emotional intelligence and both understood what it meant, I would have succeeded in spreading the concept more widely into the culture. Little did I know. The phrase emotional intelligence , or its casual shorthand EQ , has become ubiquitous, showing up in settings as unlikely as the cartoon strips Dilbert and Zippy the Pinhead and in Roz Chast’s sequential art in The New Yorker . I’ve seen boxes of toys that claim to boost a child’s EQ; lovelorn personal ads sometimes trumpet it in those seeking prospective mates. I once found a quip about EQ printed on a shampoo bottle in my hotel room. And the concept has spread to the far corners of our planet. EQ has become a word recognized, I’m told, in languages as diverse as
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German and Portuguese, Chinese, Korean, and Malay. (Even so, I prefer EI as the English abbreviation for emotional intelligence. ) My e- mail inbox often contains queries from, for example, a doctoral student in Bulgaria, a schoolteacher in Poland, a college student in Indonesia, a business consultant in South Africa, a management expert in the Sultanate of Oman, an executive in Shanghai. Business students in India read about EI and leadership; a CEO in Argentina recommends the book I later wrote on that topic. I’ve also heard from religious scholars within Christianity, Judaism, Islam, Hinduism, and Buddhism that the concept of EI resonates with outlooks in their own faith. Most gratifying for me has been how ardently the concept has been embraced by educators, in the form of programs in “social and emotional learning,” or SEL. Back in 1995 I was able to find only a handful of such programs teaching emotional intelligence skills to children. Now, a decade later, tens of thousands of schools worldwide offer children SEL. In the United States many districts and even entire states currently make SEL a curriculum requirement, mandating that just as students must attain a certain level of competence in math and
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language, so too should they master these essential skills for living. In Illinois, for instance, specific learning standards in SEL abilities have been established for every grade from kindergarten through the last year of high school. To give just one example of a remarkably detailed and comprehensive curriculum, in the early elementary years students should learn to recognize and accurately label their emotions and how they lead them to act. By the late elementary years lessons in empathy should make children able to identify the nonverbal clues to how someone else feels; in junior high they should be able to analyze what creates stress for them or what motivates their best performance. And in high school the SEL skills include listening and talking in ways that resolve conflicts instead of escalating them, and negotiating for win-win solutions. Around the world Singapore has undertaken an active initiative in SEL, as have some schools in Malaysia, Hong Kong, Japan, and Korea. In Europe the U.K. has led the way, but more than a dozen other countries have schools that embrace EI, as do Australia and New Zealand, and here and there countries in Latin America and Africa. In 2002 UNESCO began a worldwide initiative to promote SEL, sending
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a statement of ten basic principles for implementing SEL to the
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ministries of education in 140 countries. In some states and nations SEL has become the organizing umbrella under which are gathered programs in character education, violence prevention, antibullying, drug prevention, and school discipline. The goal is not just to reduce these problems among schoolchildren but to enhance the school climate and, ultimately, students’ academic performance. In 1995 I outlined the preliminary evidence suggesting that SEL was the active ingredient in programs that enhance children’s learning while preventing problems such as violence. Now the case can be made scientifically: helping children improve their self-awareness and confidence, manage their disturbing emotions and impulses, and increase their empathy pays off not just in improved behavior but in measurable academic achievement. This is the big news contained in a recently completed meta- analysis of 668 evaluation studies of SEL programs for children from preschoolers through high school. 1 The massive survey was conducted by Roger Weissberg, who directs the Collaborative for Academic, Social and Emotional Learning at the University of Illinois at Chicago —the organization that has led the way in bringing SEL into schools worldwide. The data show that SEL programs yielded a strong benefit in
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The data show that SEL programs yielded a strong benefit in academic accomplishment, as demonstrated in achievement test results and grade-point averages. In participating schools, up to 50 percent of children showed improved achievement scores, and up to 38 percent improved their grade-point averages. SEL programs also made schools safer: incidents of misbehavior dropped by an average of 28 percent; suspensions by 44 percent; and other disciplinary actions by 27 percent. At the same time, attendance rates rose, while 63 percent of students demonstrated significantly more positive behavior. In the world of social science research, these are remarkable results for any program promoting behavioral change. SEL has delivered on its promise. In 1995 I also proposed that a good part of the effectiveness of SEL came from its impact in shaping children’s developing neural circuitry, particularly the executive functions of the prefrontal cortex, which manage working memory—what we hold in mind as we learn —and inhibit disruptive emotional impulses. Now the first preliminary scientific evidence for that notion has arrived. Mark Greenberg of Pennsylvania State University, a codeveloper of the PATHS curriculum
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in SEL, reports not only that this program for elementary school students boosts academic achievement but, even more significantly, that much of the increased learning can be attributed to improvements in attention and working memory, key functions of the prefrontal cortex. 2 This strongly suggests that neuroplasticity, the shaping of the brain through repeated experiences, plays a key role in the benefits from SEL. Perhaps the biggest surprise for me has been the impact of EI in the world of business, particularly in the areas of leadership and employee development (a form of adult education). The Harvard Business Review has hailed emotional intelligence as “a ground- breaking, paradigm-shattering idea,” one of the most influential business ideas of the decade. Such claims in the business world too often prove to be fads, with no real underlying substance. But here a far-flung network of researchers has been at work, ensuring that the application of EI will be grounded in solid data. The Rutgers University-based Consortium for Research on Emotional Intelligence in Organizations (CREIO) has led the way in catalyzing this scientific work, collaborating with organizations that range from the Office of Personnel Management in the federal government to American Express.
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the federal government to American Express. Today companies worldwide routinely look through the lens of EI in hiring, promoting, and developing their employees. For instance, Johnson & Johnson (another CREIO member) found that in divisions around the world, those identified at midcareer as having high leadership potential were far stronger in EI competencies than were their less-promising peers. CREIO continues to foster such research, which can offer evidence-based guidelines for organizations seeking to enhance their ability to achieve their business goals or fulfill a mission. When Salovey and Mayer published their seminal article in 1990, no one could have envisioned how the scholarly field they founded would be thriving just fifteen years later. Research has blossomed in this area; while in 1995 there was virtually nothing in the scientific literature on EI, today the field has legions of researchers. A search of the database for doctoral dissertations investigating aspects of emotional intelligence yields more than seven hundred completed to date, with many more in the pipeline—not to mention studies done by
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professors and others not counted in that database. 3 The growth of this area of scholarship owes much to Mayer and Salovey, who, along with their colleague David Caruso, a business consultant, have worked tirelessly on behalf of the scientific acceptance of emotional intelligence. By formulating a scientifically defensible theory of emotional intelligence and providing a rigorous measure of this capacity for effective living, they have set an impeccable research standard for the field. Another major source of the burgeoning academic findings about EI has been Reuven Bar-On, now at the University of Texas Medical Branch in Houston, whose own theory of EI—and high-energy enthusiasm—have inspired many studies using a measure he devised. Bar-On has also been instrumental in developing and editing academic books that have helped give the field a critical mass, including The Handbook of Emotional Intelligence . The growing EI field of study has met some entrenched opposition within the insular world of scholars of intelligence, particularly those who embrace IQ as the sole acceptable measure of human aptitudes. Nevertheless, the field has emerged as a vibrant paradigm. Any important theoretical model, observed the philosopher of science Thomas Kuhn, should become progressively revised and refined as
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Thomas Kuhn, should become progressively revised and refined as more stringent tests of its premises are made. That process seems well under way for EI. There are by now three main models of EI, with dozens of variations. Each represents a different perspective. That of Salovey and Mayer rests firmly in the tradition of intelligence shaped by the original work on IQ a century ago. The model put forth by Reuven Bar-On is based on his research on well-being. And my own model focuses on performance at work and organizational leadership, melding EI theory with decades of research on modeling the competencies that set star performers apart from average. Unfortunately, misreadings of this book have spawned some myths, which I would like to clear up here and now. One is the bizarre— though widely repeated—fallacy that “EQ accounts for 80 percent of success.” This claim is preposterous. The misinterpretation stems from data suggesting IQ accounts for about 20 percent of career success. Because that estimate—and it is only an estimate—leaves a large portion of success unaccounted for,
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we must seek other factors to explain the rest. It does not mean, however, that emotional intelligence represents the rest of the factors in success: they certainly include a very wide range of forces—from the wealth and education of the family we are born into, to temperament, to blind luck and the like—in addition to emotional intelligence. As John Mayer and his associates point out: “To the unsophisticated reader, bringing up the ‘80 percent unaccounted for variance’ suggests that there may indeed be a heretofore overlooked variable that truly can predict huge portions of life success. Although that is desirable, no variable studied in a century of psychology has made such a huge contribution.” 4 Another common misconception takes the form of recklessly applying this book’s subtitle—“Why it can matter more than IQ”—to domains like academic achievement, where it does not apply without careful qualification. The extreme form of this misconception is the myth that EI “matters more than IQ” in all pursuits. Emotional intelligence trumps IQ primarily in those “soft” domains where intellect is relatively less relevant for success—where, for example, emotional self-regulation and empathy may be more salient skills than purely cognitive abilities.
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skills than purely cognitive abilities. As it happens, some of these circumscribed realms are of major importance in our lives. One that comes to mind is health (as detailed in Chapter 11 ), to the extent that disturbing emotions and toxic relationships have been identified as risk factors in disease. Those who can manage their emotional lives with more calm and self- awareness seem to have a distinct and measurable health advantage, as has now been confirmed by many studies. Another such domain is romantic love and personal relationships (see Chapter 9 ), where, as we all know, very smart people can do very dumb things. A third—though I have not written about it here— occurs at the top levels of competitive endeavors such as world-class sports. At that level, as I was told by a sports psychologist who coaches U.S. Olympic teams, everyone has put in the requisite ten thousand-plus hours of practice, so success hinges on the athlete’s mental game. Research findings about leadership in business and the professions paint a more complex picture ( Chapter 10 ). IQ scores predict extremely well whether we can handle the cognitive challenges that a given position demands. Hundreds, perhaps thousands, of studies have
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shown that IQ predicts which career rungs a person can manage. No question there. But IQ washes out when it comes to predicting who, among a talented pool of candidates within an intellectually demanding profession, will become the strongest leader. In part this is because of the “floor effect”: everyone at the top echelons of a given profession, or at the top levels of a large organization, has already been sifted for intellect and expertise. At those lofty levels a high IQ becomes a “threshold” ability, one needed just to get into and stay in the game. As I proposed in my 1998 book Working with Emotional Intelligence , EI abilities rather than IQ or technical skills emerge as the “discriminating” competency that best predicts who among a group of very smart people will lead most ably. If you scan the competencies that organizations around the world have independently determined identify their star leaders, you discover that indicators of IQ and technical skill drop toward the bottom of the list the higher the position. (IQ and technical expertise are much stronger predictors of excellence in lower-rung jobs.) That point was developed more fully in my 2002 book Primal
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Primal Leadership: Learning to Lead with Emotional Intelligence (coauthored with Richard Boyatzis and Annie McKee). At the very highest levels, competence models for leadership typically consist of anywhere from 80 to 100 percent EI-based abilities. As the head of research at a global executive search firm put it, “CEOs are hired for their intellect and business expertise—and fired for a lack of emotional intelligence.” When I wrote Emotional Intelligence , I saw my role as that of a science journalist, reporting on a significant new trend in psychology, particularly the merging of neuroscience with the study of emotions. But as my involvement in the field deepened, I stepped back into my old role as psychologist to offer my insights into models of EI. As a result, my formulation of emotional intelligence has progressed since I wrote these pages. In Working with Emotional Intelligence I proposed an expanded framework that reflects how the fundamentals of EI—self-awareness, self-management, social awareness, and the ability to manage relationships—translate into on-the-job success. In doing so, I borrowed a concept from David McClelland, the Harvard psychologist who had been my mentor in graduate school: competency .
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While our emotional intelligence determines our potential for learning the fundamentals of self-mastery and the like, our emotional competence shows how much of that potential we have mastered in ways that translate into on-the-job capabilities. To be adept at an emotional competence like customer service or teamwork requires an underlying ability in EI fundamentals, specifically social awareness and relationship management. But emotional competencies are learned abilities: having social awareness or skill at managing relationships does not guarantee that one has mastered the additional learning required to handle a customer adeptly or to resolve a conflict. One simply has the potential to become skilled at these competencies. Again, an underlying EI ability is necessary, though not sufficient, to manifest a given competency or job skill. A cognitive analog would be the student who has excellent spatial abilities yet never learns geometry, let alone becomes an architect. So, too, can one be highly empathic yet poor at handling customers—without having learned the competency for customer service. (For those ultradedicated souls wanting to understand how my current model nests twenty or so emotional competencies within the four EI clusters, see the appendix to
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to Primal Leadership .) In 1995 I reported data from a nationwide, demographically representative sample of more than three thousand children aged seven to sixteen, rated by their parents and teachers, showing that over the decade or so between the mid-1970s and mid-1980s, indicators of emotional well-being among America’s kids underwent a marked decline. These children were more troubled and had more problems, ranging from loneliness and anxiety to disobedience and whining. (Of course, there are always individual exceptions—children who grow up to be outstanding human beings—whatever the overall numbers show.) But a later group of children, rated in 1999, seem to have improved markedly, rating far better than those in the late 1980s, though they were not quite restored to the levels recorded in the mid-1970s. 5 True, parents are still likely to complain in general about their kids, still concerned that their children are hanging out with “bad influences,” and whining seems worse than ever. But the trend is clearly upward. Frankly, I’m puzzled. I had conjectured that today’s children are
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unintended victims of economic and technological progress, deskilled in EI because their parents spend more time at work than in previous generations, because increased mobility has cut ties to extended family, and because “free” time has become so structured and overorganized. After all, emotional intelligence has traditionally been passed on in the midst of everyday life—with parents and relatives, and in the rough-and-tumble of free play—opportunities that are now being lost to the young. Then there’s the technological factor. Today’s children spend more time alone than ever before in human history, staring at a video monitor. That amounts to a natural experiment on an unprecedented scale. Will these tech-sawy children become adults who are as comfortable with other people as they are with their computers? I suspected, rather, that a childhood spent relating to a virtual world would deskill our young people when it came to relating person to person. So went my arguments. Nothing has happened in the last decade or so to reverse these trends. Yet children, thankfully, seem to be faring better. Thomas Achenbach, the University of Vermont psychologist who has done these studies, hypothesizes that the economic boom of the
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has done these studies, hypothesizes that the economic boom of the 1990s lifted children as well as adults; more jobs and less crime meant better childrearing. Should there be another major economic recession, he suggests, we would see another decline in this measure of children’s skills for life. That may well be; only time will tell. The hyperspeed at which EI has become a topic of importance in a wide array of fields makes prediction difficult, but let me offer some thoughts on what I hope for the field in the near future. Many of the benefits that accrue from developing emotional intelligence capabilities have gone to the privileged, such as high-level business executives and children in private schools. Of course, many children in impoverished neighborhoods have also benefited—for instance, if their schools implemented SEL. But I encourage a further democratization of this variety of human skill development, reaching into often-neglected pools, like families in poverty (where children so often suffer emotional wounds that compound their plight) and to prisons (particularly for young offenders who could benefit enormously from strengthening skills like anger management, self- awareness, and empathy). Given the right help with these abilities,
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their lives would improve, and their communities would be safer. I’d also like to see the scope of thinking about emotional intelligence itself expand, leaping from a focus on capacities within the individual to a focus on what emerges when people interact, whether one on one or in larger groups. Some research, notably the University of New Hampshire psychologist Vanessa Druskat’s work on how teams can become emotionally intelligent, has seamlessly made this leap already. But much more could be done. Finally, I envision a day when emotional intelligence will have become so widely understood that we need not mention it because it has melded with our lives. In such a future, SEL would have become standard practice in schools everywhere. Likewise, EI qualities such as self-awareness, managing destructive emotions, and empathy would be givens in the workplace, “must-haves” for being hired and promoted, and most especially for leadership. If EI were to become as widespread as IQ has become, and as ingrained in society as a measure of human qualities, then, I believe, our families, schools, jobs, and communities would be all the more humane and nourishing.
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Aristotle’s Challenge Anyone can become angry—that is easy. But to be angry with the right person, to the right degree, at the right time, for the right purpose, and in the right way—that is not easy . A RISTOTLE , The Nichomachean Ethics It was an unbearably steamy August afternoon in New York City, the kind of sweaty day that makes people sullen with discomfort. I was heading back to a hotel, and as I stepped onto a bus up Madison Avenue I was startled by the driver, a middle-aged black man with an enthusiastic smile, who welcomed me with a friendly, “Hi! How you doing?” as I got on, a greeting he proffered to everyone else who entered as the bus wormed through the thick midtown traffic. Each passenger was as startled as I, and, locked into the morose mood of the day, few returned his greeting. But as the bus crawled uptown through the gridlock, a slow, rather magical transformation occurred. The driver gave a running monologue for our benefit, a lively commentary on the passing scene around us: there was a terrific sale at that store, a wonderful exhibit at this museum, did you hear about the new movie that just opened at
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that cinema down the block? His delight in the rich possibilities the city offered was infectious. By the time people got off the bus, each in turn had shaken off the sullen shell they had entered with, and when the driver shouted out a “So long, have a great day!” each gave a smiling response. The memory of that encounter has stayed with me for close to twenty years. When I rode that Madison Avenue bus, I had just finished my own doctorate in psychology—but there was scant attention paid in the psychology of the day to just how such a transformation could happen. Psychological science knew little or nothing of the mechanics of emotion. And yet, imagining the spreading virus of good feeling that must have rippled through the city, starting from passengers on his bus, I saw that this bus driver was an urban peacemaker of sorts, wizardlike in his power to transmute the sullen irritability that seethed in his passengers, to soften and open their hearts a bit. In stark contrast, some items from this week’s paper:
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• At a local school, a nine-year-old goes on a rampage, pouring paint over school desks, computers, and printers, and vandalizing a car in the school parking lot. The reason: some third-grade classmates called him a “baby” and he wanted to impress them. • Eight youngsters are wounded when an inadvertent bump in a crowd of teenagers milling outside a Manhattan rap club leads to a shoving match, which ends when one of those affronted starts shooting a .38 caliber automatic handgun into the crowd. The report notes that such shootings over seemingly minor slights, which are perceived as acts of disrespect, have become increasingly common around the country in recent years. • For murder victims under twelve, says a report, 57 percent of the murderers are their parents or stepparents. In almost half the cases, the parents say they were “merely trying to discipline the child.” The fatal beatings were prompted by “infractions” such as the child blocking the TV, crying, or soiling diapers. • A German youth is on trial for murdering five Turkish women and girls in a fire he set while they slept. Part of a neo-Nazi group, he tells
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of failing to hold jobs, of drinking, of blaming his hard luck on foreigners. In a barely audible voice, he pleads, “I can’t stop being sorry for what we’ve done, and I am infinitely ashamed.” Each day’s news comes to us rife with such reports of the disintegration of civility and safety, an onslaught of mean-spirited impulse running amok. But the news simply reflects back to us on a larger scale a creeping sense of emotions out of control in our own lives and in those of the people around us. No one is insulated from this erratic tide of outburst and regret; it reaches into all of our lives in one way or another. The last decade has seen a steady drumroll of reports like these, portraying an uptick in emotional ineptitude, desperation, and recklessness in our families, our communities, and our collective lives. These years have chronicled surging rage and despair, whether in the quiet loneliness of latchkey kids left with a TV for a babysitter, or in the pain of children abandoned, neglected, or abused, or in the ugly intimacy of marital violence. A spreading emotional malaise can be
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read in numbers showing a jump in depression around the world, and in the reminders of a surging tide of aggression—teens with guns in schools, freeway mishaps ending in shootings, disgruntled ex-
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employees massacring former fellow workers. Emotional abuse, drive- by shooting , and post-traumatic stress all entered the common lexicon over the last decade, as the slogan of the hour shifted from the cheery “Have a nice day” to the testiness of “Make my day.” This book is a guide to making sense of the senselessness. As a psychologist, and for the last decade as a journalist for The New York Times , I have been tracking the progress of our scientific understanding of the realm of the irrational. From that perch I have been struck by two opposing trends, one portraying a growing calamity in our shared emotional life, the other offering some hopeful remedies. WHY THIS EXPLORATION NOW The last decade, despite its bad news, has also seen an unparalleled burst of scientific studies of emotion. Most dramatic are the glimpses of the brain at work, made possible by innovative methods such as new brain-imaging technologies. They have made visible for the first time in human history what has always been a source of deep mystery: exactly how this intricate mass of cells operates while we think and feel, imagine and dream. This flood of neurobiological data
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lets us understand more clearly than ever how the brain’s centers for emotion move us to rage or to tears, and how more ancient parts of the brain, which stir us to make war as well as love, are channeled for better or worse. This unprecedented clarity on the workings of emotions and their failings brings into focus some fresh remedies for our collective emotional crisis. I have had to wait till now before the scientific harvest was full enough to write this book. These insights are so late in coming largely because the place of feeling in mental life has been surprisingly slighted by research over the years, leaving the emotions a largely unexplored continent for scientific psychology. Into this void has rushed a welter of self-help books, well-intentioned advice based at best on clinical opinion but lacking much, if any, scientific basis. Now science is finally able to speak with authority to these urgent and perplexing questions of the psyche at its most irrational, to map with some precision the human heart. This mapping offers a challenge to those who subscribe to a narrow view of intelligence, arguing that IQ is a genetic given that cannot be
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changed by life experience, and that our destiny in life is largely fixed by these aptitudes. That argument ignores the more challenging question: What can we change that will help our children fare better in life? What factors are at play, for example, when people of high IQ flounder and those of modest IQ do surprisingly well? I would argue that the difference quite often lies in the abilities called here emotional intelligence , which include self-control, zeal and persistence, and the ability to motivate oneself. And these skills, as we shall see, can be taught to children, giving them a better chance to use whatever intellectual potential the genetic lottery may have given them. Beyond this possibility looms a pressing moral imperative. These are times when the fabric of society seems to unravel at ever-greater speed, when selfishness, violence, and a meanness of spirit seem to be rotting the goodness of our communal lives. Here the argument for the importance of emotional intelligence hinges on the link between sentiment, character, and moral instincts. There is growing evidence that fundamental ethical stances in life stem from underlying emotional capacities. For one, impulse is the medium of emotion; the
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seed of all impulse is a feeling bursting to express itself in action. Those who are at the mercy of impulse—who lack self-control—suffer a moral deficiency: The ability to control impulse is the base of will and character. By the same token, the root of altruism lies in empathy, the ability to read emotions in others; lacking a sense of another’s need or despair, there is no caring. And if there are any two moral stances that our times call for, they are precisely these, self-restraint and compassion. OUR JOURNEY In this book I serve as a guide in a journey through these scientific insights into the emotions, a voyage aimed at bringing greater understanding to some of the most perplexing moments in our own lives and in the world around us. The journey’s end is to understand what it means—and how—to bring intelligence to emotion. This understanding itself can help to some degree; bringing cognizance to the realm of feeling has an effect something like the impact of an observer at the quantum level in physics, altering what is being observed. Our journey begins in Part One with new discoveries about the
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brain’s emotional architecture that offer an explanation of those most baffling moments in our lives when feeling overwhelms all rationality. Understanding the interplay of brain structures that rule our moments of rage and fear—or passion and joy—reveals much about how we learn the emotional habits that can undermine our best intentions, as well as what we can do to subdue our more destructive or self- defeating emotional impulses. Most important, the neurological data suggest a window of opportunity for shaping our children’s emotional habits. The next major stop on our journey, Part Two of this book, is in seeing how neurological givens play out in the basic flair for living called emotional intelligence: being able, for example, to rein in emotional impulse; to read another’s innermost feelings; to handle relationships smoothly—as Aristotle put it, the rare skill “to be angry with the right person, to the right degree, at the right time, for the right purpose, and in the right way.” (Readers who are not drawn to neurological detail may want to proceed directly to this section.) This expanded model of what it means to be “intelligent” puts emotions at the center of aptitudes for living. Part Three examines
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Part Three examines some key differences this aptitude makes: how these abilities can preserve our most prized relationships, or their lack corrode them; how the market forces that are reshaping our worklife are putting an unprecedented premium on emotional intelligence for on-the-job success; and how toxic emotions put our physical health at as much risk as does chain-smoking, even as emotional balance can help protect our health and well-being. Our genetic heritage endows each of us with a series of emotional set-points that determines our temperament. But the brain circuitry involved is extraordinarily malleable; temperament is not destiny. As Part Four shows, the emotional lessons we learn as children at home and at school shape the emotional circuits, making us more adept—or inept—at the basics of emotional intelligence. This means that childhood and adolescence are critical windows of opportunity for setting down the essential emotional habits that will govern our lives. Part Five explores what hazards await those who, in growing to maturity, fail to master the emotional realm—how deficiencies in emotional intelligence heighten a spectrum of risks, from depression or a life of violence to eating disorders and drug abuse. And it
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documents how pioneering schools are teaching children the emotional and social skills they need to keep their lives on track.
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Perhaps the most disturbing single piece of data in this book comes from a massive survey of parents and teachers and shows a worldwide trend for the present generation of children to be more troubled emotionally than the last: more lonely and depressed, more angry and unruly, more nervous and prone to worry, more impulsive and aggressive. If there is a remedy, I feel it must lie in how we prepare our young for life. At present we leave the emotional education of our children to chance, with ever more disastrous results. One solution is a new vision of what schools can do to educate the whole student, bringing together mind and heart in the classroom. Our journey ends with visits to innovative classes that aim to give children a grounding in the basics of emotional intelligence. I can foresee a day when education will routinely include inculcating essential human competencies such as self-awareness, self-control, and empathy, and the arts of listening, resolving conflicts, and cooperation. In The Nichomachean Ethics , Aristotle’s philosophical enquiry into virtue, character, and the good life, his challenge is to manage our emotional life with intelligence. Our passions, when well exercised,
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have wisdom; they guide our thinking, our values, our survival. But they can easily go awry, and do so all too often. As Aristotle saw, the problem is not with emotionality, but with the appropriateness of emotion and its expression. The question is, how can we bring intelligence to our emotions—and civility to our streets and caring to our communal life?
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PART ONE THE EMOTIONAL BRAIN
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1 What Are Emotions For? It is with the heart that one sees rightly; what is essential is invisible to the eye . A NTOINE DE S AINT -E XUPÉRY , The Little Prince Ponder the last moments of Gary and Mary Jane Chauncey, a couple completely devoted to their eleven-year-old daughter Andrea, who was confined to a wheelchair by cerebral palsy. The Chauncey family were passengers on an Amtrak train that crashed into a river after a barge hit and weakened a railroad bridge in Louisiana’s bayou country. Thinking first of their daughter, the couple tried their best to save Andrea as water rushed into the sinking train; somehow they managed to push Andrea through a window to rescuers. Then, as the car sank beneath the water, they perished. 1 Andrea’s story, of parents whose last heroic act is to ensure their child’s survival, captures a moment of almost mythic courage. Without doubt such incidents of parental sacrifice for their progeny have been repeated countless times in human history and prehistory, and countless more in the larger course of evolution of our species. 2 Seen from the perspective of evolutionary biologists, such parental
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2 Seen from the perspective of evolutionary biologists, such parental self-sacrifice is in the service of “reproductive success” in passing on one’s genes to future generations. But from the perspective of a parent making a desperate decision in a moment of crisis, it is about nothing other than love. As an insight into the purpose and potency of emotions, this exemplary act of parental heroism testifies to the role of altruistic love —and every other emotion we feel—in human life. 3 It suggests that our deepest feelings, our passions and longings, are essential guides, and that our species owes much of its existence to their power in human affairs. That power is extraordinary: Only a potent love—the urgency of saving a cherished child—could lead a parent to override the impulse for personal survival. Seen from the intellect, their self- sacrifice was arguably irrational; seen from the heart, it was the only
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choice to make. Sociobiologists point to the preeminence of heart over head at such crucial moments when they conjecture about why evolution has given emotion such a central role in the human psyche. Our emotions, they say, guide us in facing predicaments and tasks too important to leave to intellect alone—danger, painful loss, persisting toward a goal despite frustrations, bonding with a mate, building a family. Each emotion offers a distinctive readiness to act; each points us in a direction that has worked well to handle the recurring challenges of human life. 4 As these eternal situations were repeated and repeated over our evolutionary history, the survival value of our emotional repertoire was attested to by its becoming imprinted in our nerves as innate, automatic tendencies of the human heart. A view of human nature that ignores the power of emotions is sadly shortsighted. The very name Homo sapiens , the thinking species, is misleading in light of the new appreciation and vision of the place of emotions in our lives that science now offers. As we all know from experience, when it comes to shaping our decisions and our actions, feeling counts every bit as much—and often more—than thought. We
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have gone too far in emphasizing the value and import of the purely rational—of what IQ measures—in human life. For better or worse, intelligence can come to nothing when the emotions hold sway. WHEN PASSIONS OVERWHELM REASON It was a tragedy of errors. Fourteen-year-old Matilda Crabtree was just playing a practical joke on her father: she jumped out of a closet and yelled “Boo!” as her parents came home at one in the morning from visiting friends. But Bobby Crabtree and his wife thought Matilda was staying with friends that night. Hearing noises as he entered the house, Crabtree reached for his .357 caliber pistol and went into Matilda’s bedroom to investigate. When his daughter jumped from the closet, Crabtree shot her in the neck. Matilda Crabtree died twelve hours later. 5 One emotional legacy of evolution is the fear that mobilizes us to protect our family from danger; that impulse impelled Bobby Crabtree to get his gun and search his house for the intruder he thought was prowling there. Fear primed Crabtree to shoot before he could fully register what he was shooting at, even before he could recognize his
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daughter’s voice. Automatic reactions of this sort have become etched in our nervous system, evolutionary biologists presume, because for a long and crucial period in human prehistory they made the difference between survival and death. Even more important, they mattered for the main task of evolution: being able to bear progeny who would carry on these very genetic predispositions—a sad irony, given the tragedy at the Crabtree household. But while our emotions have been wise guides in the evolutionary long run, the new realities civilization presents have arisen with such rapidity that the slow march of evolution cannot keep up. Indeed, the first laws and proclamations of ethics—the Code of Hammurabi, the Ten Commandments of the Hebrews, the Edicts of Emperor Ashoka— can be read as attempts to harness, subdue, and domesticate emotional life. As Freud described in Civilization and Its Discontents , society has had to enforce from without rules meant to subdue tides of emotional excess that surge too freely within. Despite these social constraints, passions overwhelm reason time and again. This given of human nature arises from the basic architecture of mental life. In terms of biological design for the basic
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architecture of mental life. In terms of biological design for the basic neural circuitry of emotion, what we are born with is what worked best for the last 50,000 human generations, not the last 500 generations—and certainly not the last five. The slow, deliberate forces of evolution that have shaped our emotions have done their work over the course of a million years; the last 10,000 years—despite having witnessed the rapid rise of human civilization and the explosion of the human population from five million to five billion— have left little imprint on our biological templates for emotional life. For better or for worse, our appraisal of every personal encounter and our responses to it are shaped not just by our rational judgments or our personal history, but also by our distant ancestral past. This leaves us with sometimes tragic propensities, as witness the sad events at the Crabtree household. In short, we too often confront postmodern dilemmas with an emotional repertoire tailored to the urgencies of the Pleistocene. That predicament is at the heart of my subject. Impulses to Action One early spring day I was driving along a highway over a mountain pass in Colorado, when a snow flurry suddenly blotted out the car a few lengths
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few lengths ahead of me. As I peered ahead I couldn’t make out
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anything; the swirling snow was now a blinding whiteness. Pressing my foot on the brake, I could feel anxiety flood my body and hear the thumping of my heart. The anxiety built to full fear: I pulled over to the side of the road, waiting for the flurry to pass. A half hour later the snow stopped, visibility returned, and I continued on my way—only to be stopped a few hundred yards down the road, where an ambulance crew was helping a passenger in a car that had rear-ended a slower car in front; the collision blocked the highway. If I had continued driving in the blinding snow, I probably would have hit them. The caution fear forced on me that day may have saved my life. Like a rabbit frozen in terror at the hint of a passing fox—or a protomammal hiding from a marauding dinosaur—I was overtaken by an internal state that compelled me to stop, pay attention, and take heed of a coming danger. All emotions are, in essence, impulses to act, the instant plans for handling life that evolution has instilled in us. The very root of the word emotion is motere , the Latin verb “to move,” plus the prefix “e-” to connote “move away,” suggesting that a tendency to act is implicit
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in every emotion. That emotions lead to actions is most obvious in watching animals or children; it is only in “civilized” adults we so often find the great anomaly in the animal kingdom, emotions—root impulses to act—divorced from obvious reaction. 6 In our emotional repertoire each emotion plays a unique role, as revealed by their distinctive biological signatures (see Appendix A for details on “basic” emotions). With new methods to peer into the body and brain, researchers are discovering more physiological details of how each emotion prepares the body for a very different kind of response: 7 • With anger blood flows to the hands, making it easier to grasp a weapon or strike at a foe; heart rate increases, and a rush of hormones such as adrenaline generates a pulse of energy strong enough for vigorous action. • With fear blood goes to the large skeletal muscles, such as in the legs, making it easier to flee—and making the face blanch as blood is shunted away from it (creating the feeling that the blood “runs cold”). At the same time, the body freezes, if only for a moment, perhaps allowing time to gauge whether hiding might be a better reaction.
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allowing time to gauge whether hiding might be a better reaction. Circuits in the brain’s emotional centers trigger a flood of hormones
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that put the body on general alert, making it edgy and ready for action, and attention fixates on the threat at hand, the better to evaluate what response to make. • Among the main biological changes in happiness is an increased activity in a brain center that inhibits negative feelings and fosters an increase in available energy, and a quieting of those that generate worrisome thought. But there is no particular shift in physiology save a quiescence, which makes the body recover more quickly from the biological arousal of upsetting emotions. This configuration offers the body a general rest, as well as readiness and enthusiasm for whatever task is at hand and for striving toward a great variety of goals. • Love , tender feelings, and sexual satisfaction entail parasympathetic arousal—the physiological opposite of the “fight-or- flight” mobilization shared by fear and anger. The parasympathetic pattern, dubbed the “relaxation response,” is a bodywide set of reactions that generates a general state of calm and contentment, facilitating cooperation. • The lifting of the eyebrows in surprise allows the taking in of a larger visual sweep and also permits more light to strike the retina. This offers more information about the unexpected event, making it
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This offers more information about the unexpected event, making it easier to figure out exactly what is going on and concoct the best plan for action. • Around the world an expression of disgust looks the same, and sends the identical message: something is offensive in taste or smell, or metaphorically so. The facial expression of disgust—the upper lip curled to the side as the nose wrinkles slightly—suggests a primordial attempt, as Darwin observed, to close the nostrils against a noxious odor or to spit out a poisonous food. • A main function for sadness is to help adjust to a significant loss, such as the death of someone close or a major disappointment. Sadness brings a drop in energy and enthusiasm for life’s activities, particularly diversions and pleasures, and, as it deepens and approaches depression, slows the body’s metabolism. This introspective withdrawal creates the opportunity to mourn a loss or frustrated hope, grasp its consequences for one’s life, and, as energy returns, plan new beginnings. This loss of energy may well have kept saddened—and vulnerable—early humans close to home, where they were safer. These biological propensities to act are shaped further by our life
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experience and our culture. For instance, universally the loss of a loved one elicits sadness and grief. But how we show our grieving— how emotions are displayed or held back for private moments—is molded by culture, as are which particular people in our lives fall into the category of “loved ones” to be mourned. The protracted period of evolution when these emotional responses were hammered into shape was certainly a harsher reality than most humans endured as a species after the dawn of recorded history. It was a time when few infants survived to childhood and few adults to thirty years, when predators could strike at any moment, when the vagaries of droughts and floods meant the difference between starvation and survival. But with the coming of agriculture and even the most rudimentary human societies, the odds for survival began to change dramatically. In the last ten thousand years, when these advances took hold throughout the world, the ferocious pressures that had held the human population in check eased steadily. Those same pressures had made our emotional responses so valuable for survival; as they waned, so did the goodness of fit of
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parts of our emotional repertoire. While in the ancient past a hair- trigger anger may have offered a crucial edge for survival, the availability of automatic weaponry to thirteen-year-olds has made it too often a disastrous reaction. 8 Our Two Minds A friend was telling me about her divorce, a painful separation. Her husband had fallen in love with a younger woman at work, and suddenly announced he was leaving to live with the other woman. Months of bitter wrangling over house, money, and custody of the children followed. Now, some months later, she was saying that her independence was appealing to her, that she was happy to be on her own. “I just don’t think about him anymore—I really don’t care,” she said. But as she said it, her eyes momentarily welled up with tears. That moment of teary eyes could easily pass unnoted. But the empathic understanding that someone’s watering eyes means she is sad despite her words to the contrary is an act of comprehending just as surely as is distilling meaning from words on a printed page. One is an act of the emotional mind, the other of the rational mind. In a very
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real sense we have two minds, one that thinks and one that feels. These two fundamentally different ways of knowing interact to
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construct our mental life. One, the rational mind, is the mode of comprehension we are typically conscious of: more prominent in awareness, thoughtful, able to ponder and reflect. But alongside that there is another system of knowing: impulsive and powerful, if sometimes illogical—the emotional mind. (For a more detailed description of the characteristics of the emotional mind, see Appendix B .) The emotional/rational dichotomy approximates the folk distinction between “heart” and “head”; knowing something is right “in your heart” is a different order of conviction—somehow a deeper kind of certainty—than thinking so with your rational mind. There is a steady gradient in the ratio of rational-to-emotional control over the mind; the more intense the feeling, the more dominant the emotional mind becomes—and the more ineffectual the rational. This is an arrangement that seems to stem from eons of evolutionary advantage to having emotions and intuitions guide our instantaneous response in situations where our lives are in peril—and where pausing to think over what to do could cost us our lives. These two minds, the emotional and the rational, operate in tight harmony for the most part, intertwining their very different ways of
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knowing to guide us through the world. Ordinarily there is a balance between emotional and rational minds, with emotion feeding into and informing the operations of the rational mind, and the rational mind refining and sometimes vetoing the inputs of the emotions. Still, the emotional and rational minds are semi-independent faculties, each, as we shall see, reflecting the operation of distinct, but interconnected, circuitry in the brain. In many or most moments these minds are exquisitely coordinated; feelings are essential to thought, thought to feeling. But when passions surge the balance tips: it is the emotional mind that captures the upper hand, swamping the rational mind. The sixteenth-century humanist Erasmus of Rotterdam wrote in a satirical vein of this perennial tension between reason and emotion: 9 Jupiter has bestowed far more passion than reason—you could calculate the ratio as 24 to one. He set up two raging tyrants in opposition to Reason’s solitary power: anger and lust. How far Reason can prevail against the combined forces of these two the common life of man makes quite clear. Reason does the only thing she can and shouts
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herself hoarse, repeating formulas of virtue, while the other two bid her go hang herself, and are increasingly noisy and offensive, until at last their Ruler is exhausted,
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gives up, and surrenders. HOW THE BRAIN GREW To better grasp the potent hold of the emotions on the thinking mind —and why feeling and reason are so readily at war—consider how the brain evolved. Human brains, with their three pounds or so of cells and neural juices, are about triple the size of those in our nearest cousins in evolution, the nonhuman primates. Over millions of years of evolution, the brain has grown from the bottom up, with its higher centers developing as elaborations of lower, more ancient parts. (The growth of the brain in the human embryo roughly retraces this evolutionary course.) The most primitive part of the brain, shared with all species that have more than a minimal nervous system, is the brainstem surrounding the top of the spinal cord. This root brain regulates basic life functions like breathing and the metabolism of the body’s other organs, as well as controlling stereotyped reactions and movements. This primitive brain cannot be said to think or learn; rather it is a set of preprogrammed regulators that keep the body running as it should and reacting in a way that ensures survival. This brain reigned supreme in the Age of the Reptiles: Picture a snake hissing to signal
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the threat of an attack. From the most primitive root, the brainstem, emerged the emotional centers. Millions of years later in evolution, from these emotional areas evolved the thinking brain or “neocortex,” the great bulb of convoluted tissues that make up the top layers. The fact that the thinking brain grew from the emotional reveals much about the relationship of thought to feeling; there was an emotional brain long before there was a rational one. The most ancient root of our emotional life is in the sense of smell, or, more precisely, in the olfactory lobe, the cells that take in and analyze smell. Every living entity, be it nutritious, poisonous, sexual partner, predator or prey, has a distinctive molecular signature that can be carried in the wind. In those primitive times smell commended itself as a paramount sense for survival. From the olfactory lobe the ancient centers for emotion began to evolve, eventually growing large enough to encircle the top of the brainstem. In its rudimentary stages, the olfactory center was
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composed of little more than thin layers of neurons gathered to analyze smell. One layer of cells took in what was smelled and sorted it out into the relevant categories: edible or toxic, sexually available, enemy or meal. A second layer of cells sent reflexive messages throughout the nervous system telling the body what to do: bite, spit, approach, flee, chase. 10 With the arrival of the first mammals came new, key layers of the emotional brain. These, surrounding the brainstem, look roughly like a bagel with a bite taken out at the bottom where the brainstem nestles into them. Because this part of the brain rings and borders the brainstem, it was called the “limbic” system, from “limbus,” the Latin word for “ring.” This new neural territory added emotions proper to the brain’s repertoire. 11 When we are in the grip of craving or fury, head-over-heels in love or recoiling in dread, it is the limbic system that has us in its grip. As it evolved, the limbic system refined two powerful tools: learning and memory. These revolutionary advances allowed an animal to be much smarter in its choices for survival, and to fine-tune its responses to adapt to
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to adapt to changing demands rather than having invariable and automatic reactions. If a food led to sickness, it could be avoided next time. Decisions like knowing what to eat and what to spurn were still determined largely through smell; the connections between the olfactory bulb and the limbic system now took on the tasks of making distinctions among smells and recognizing them, comparing a present smell with past ones, and so discriminating good from bad. This was done by the “rhinencephalon,” literally, the “nose brain,” a part of the limbic wiring, and the rudimentary basis of the neocortex, the thinking brain. About 100 million years ago the brain in mammals took a great growth spurt. Piled on top of the thin two-layered cortex—the regions that plan, comprehend what is sensed, coordinate movement—several new layers of brain cells were added to form the neocortex. In contrast to the ancient brain’s two-layered cortex, the neocortex offered an extraordinary intellectual edge. The Homo sapiens neocortex, so much larger than in any other species, has added all that is distinctly human. The neocortex is the seat of thought; it contains the centers that put together and
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seat of thought; it contains the centers that put together and comprehend what the senses perceive. It adds to a feeling what we think about it—and allows us to have feelings about ideas, art, symbols, imaginings.
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In evolution the neocortex allowed a judicious fine-tuning that no doubt has made enormous advantages in an organism’s ability to survive adversity, making it more likely that its progeny would in turn pass on the genes that contain that same neural circuitry. The survival edge is due to the neocortex’s talent for strategizing, long-term planning, and other mental wiles. Beyond that, the triumphs of art, of civilization and culture, are all fruits of the neocortex. This new addition to the brain allowed the addition of nuance to emotional life. Take love. Limbic structures generate feelings of pleasure and sexual desire—the emotions that feed sexual passion. But the addition of the neocortex and its connections to the limbic system allowed for the mother-child bond that is the basis of the family unit and the long-term commitment to childrearing that makes human development possible. (Species that have no neocortex, such as reptiles, lack maternal affection; when their young hatch, the newborns must hide to avoid being cannibalized.) In humans the protective bond between parent and child allows much of maturation to go on over the course of a long childhood—during which the brain continues to develop.
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continues to develop. As we proceed up the phylogenetic scale from reptile to rhesus to human, the sheer mass of the neocortex increases; with that increase comes a geometrie rise in the interconnections in brain circuitry. The larger the number of such connections, the greater the range of possible responses. The neocortex allows for the subtlety and complexity of emotional life, such as the ability to have feelings about our feelings. There is more neocortex-to-limbic system in primates than in other species—and vastly more in humans—suggesting why we are able to display a far greater range of reactions to our emotions, and more nuance. While a rabbit or rhesus has a restricted set of typical responses to fear, the larger human neocortex allows a far more nimble repertoire—including calling 911. The more complex the social system, the more essential is such flexibility—and there is no more complex social world than our own. 12 But these higher centers do not govern all of emotional life; in crucial matters of the heart—and most especially in emotional emergencies—they can be said to defer to the limbic system. Because so many of the brain’s higher centers sprouted from or extended the
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scope of the limbic area, the emotional brain plays a crucial role in neural architecture. As the root from which the newer brain grew, the emotional areas are intertwined via myriad connecting circuits to all
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parts of the neocortex. This gives the emotional centers immense power to influence the functioning of the rest of the brain—including its centers for thought.
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2 Anatomy of an Emotional Hijacking Life is a comedy for those who think and a tragedy for those who feel . H ORACE W ALPOLE It was a hot August afternoon in 1963, the same day that the Rev. Martin Luther King, Jr., gave his “I Have a Dream” speech to a civil rights march on Washington. On that day Richard Robles, a seasoned burglar who had just been paroled from a three-year sentence for the more than one hundred break-ins he had pulled to support a heroin habit, decided to do one more. He wanted to renounce crime, Robles later claimed, but he desperately needed money for his girlfriend and their three-year-old daughter. The apartment he broke into that day belonged to two young women, twenty-one-year-old Janice Wylie, a researcher at Newsweek magazine, and twenty-three-year-old Emily Hoffert, a grade-school teacher. Though Robles chose the apartment on New York’s swanky Upper East Side to burglarize because he thought no one would be there, Wylie was home. Threatening her with a knife, Robles tied her
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up. As he was leaving, Hoffert came home. To make good his escape, Robles began to tie her up, too. As Robles tells the tale years later, while he was tying up Hoffert, Janice Wylie warned him he would not get away with this crime: She would remember his face and help the police track him down. Robles, who had promised himself this was to have been his last burglary, panicked at that, completely losing control. In a frenzy, he grabbed a soda bottle and clubbed the women until they were unconscious, then, awash in rage and fear, he slashed and stabbed them over and over with a kitchen knife. Looking back on that moment some twenty- five years later, Robles lamented, “I just went bananas. My head just exploded.” To this day Robles has lots of time to regret those few minutes of rage unleashed. At this writing he is still in prison, some three decades later, for what became known as the “Career Girl Murders.”
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Such emotional explosions are neural hijackings. At those moments, evidence suggests, a center in the limbic brain proclaims an emergency, recruiting the rest of the brain to its urgent agenda. The hijacking occurs in an instant, triggering this reaction crucial moments before the neocortex, the thinking brain, has had a chance to glimpse fully what is happening, let alone decide if it is a good idea. The hallmark of such a hijack is that once the moment passes, those so possessed have the sense of not knowing what came over them. These hijacks are by no means isolated, horrific incidents that lead to brutal crimes like the Career Girl Murders. In less catastrophic form —but not necessarily less intense—they happen to us with fair frequency. Think back to the last time you “lost it,” blowing up at someone—your spouse or child, or perhaps the driver of another car— to a degree that later, with some reflection and hindsight, seemed uncalled for. In all probability, that, too, was such a hijacking, a neural takeover which, as we shall see, originates in the amygdala, a center in the limbic brain. Not all limbic hijackings are distressing. When a joke strikes
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someone as so uproarious that their laughter is almost explosive, that, too, is a limbic response. It is at work also in moments of intense joy: When Dan Jansen, after several heartbreaking failures to capture an Olympic Gold Medal for speed skating (which he had vowed to do for his dying sister), finally won the Gold in the 1,000-meter race in the 1994 Winter Olympics in Norway, his wife was so overcome by the excitement and happiness that she had to be rushed to emergency physicians at rinkside. THE SEAT OF ALL PASSION In humans the amygdala (from the Greek word for “almond”) is an almond-shaped cluster of interconnected structures perched above the brainstem, near the bottom of the limbic ring. There are two amygdalas, one on each side of the brain, nestled toward the side of the head. The human amygdala is relatively large compared to that in any of our closest evolutionary cousins, the primates. The hippocampus and the amygdala were the two key parts of the primitive “nose brain” that, in evolution, gave rise to the cortex and then the neocortex. To this day these limbic structures do much or
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most of the brain’s learning and remembering; the amygdala is the specialist for emotional matters. If the amygdala is severed from the rest of the brain, the result is a striking inability to gauge the emotional significance of events; this condition is sometimes called “affective blindness.” Lacking emotional weight, encounters lose their hold. One young man whose amygdala had been surgically removed to control severe seizures became completely uninterested in people, preferring to sit in isolation with no human contact. While he was perfectly capable of conversation, he no longer recognized close friends, relatives, or even his mother, and remained impassive in the face of their anguish at his indifference. Without an amygdala he seemed to have lost all recognition of feeling, as well as any feeling about feelings. 1 The amygdala acts as a storehouse of emotional memory, and thus of significance itself; life without the amygdala is a life stripped of personal meanings. More than affection is tied to the amygdala; all passion depends on it. Animals that have their amygdala removed or severed lack fear and rage, lose the urge to compete or cooperate, and no longer have any
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sense of their place in their kind’s social order; emotion is blunted or absent. Tears, an emotional signal unique to humans, are triggered by the amygdala and a nearby structure, the cingulate gyrus; being held, stroked, or otherwise comforted soothes these same brain regions, stopping the sobs. Without an amygdala, there are no tears of sorrow to soothe. Joseph LeDoux, a neuroscientist at the Center for Neural Science at New York University, was the first to discover the key role of the amygdala in the emotional brain. 2 LeDoux is part of a fresh breed of neuroscientists who draw on innovative methods and technologies that bring a previously unknown level of precision to mapping the brain at work, and so can lay bare mysteries of mind that earlier generations of scientists have found impenetrable. His findings on the circuitry of the emotional brain overthrow a long-standing notion about the limbic system, putting the amygdala at the center of the action and placing other limbic structures in very different roles. 3 LeDoux’s research explains how the amygdala can take control over what we do even as the thinking brain, the neocortex, is still coming to a decision.
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to a decision. As we shall see, the workings of the amygdala and its interplay with the neocortex are at the heart of emotional intelligence.
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THE NEURAL TRIPWIRE Most intriguing for understanding the power of emotions in mental life are those moments of impassioned action that we later regret, once the dust has settled; the question is how we so easily become so irrational. Take, for example, a young woman who drove two hours to Boston to have brunch and spend the day with her boyfriend. During brunch he gave her a present she’d been wanting for months, a hard- to-find art print brought back from Spain. But her delight dissolved the moment she suggested that after brunch they go to a matinee of a movie she’d been wanting to see and her friend stunned her by saying he couldn’t spend the day with her because he had softball practice. Hurt and incredulous, she got up in tears, left the cafe, and, on impulse, threw the print in a garbage can. Months later, recounting the incident, it’s not walking out she regrets, but the loss of the print. It is in moments such as these—when impulsive feeling overrides the rational—that the newly discovered role for the amygdala is pivotal. Incoming signals from the senses let the amygdala scan every
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experience for trouble. This puts the amygdala in a powerful post in mental life, something like a psychological sentinel, challenging every situation, every perception, with but one kind of question in mind, the most primitive: “Is this something I hate? That hurts me? Something I fear?” If so—if the moment at hand somehow draws a “Yes”—the amygdala reacts instantaneously, like a neural tripwire, telegraphing a message of crisis to all parts of the brain. In the brain’s architecture, the amygdala is poised something like an alarm company where operators stand ready to send out emergency calls to the fire department, police, and a neighbor whenever a home security system signals trouble. When it sounds an alarm of, say, fear, it sends urgent messages to every major part of the brain: it triggers the secretion of the body’s fight-or-flight hormones, mobilizes the centers for movement, and activates the cardiovascular system, the muscles, and the gut. 4 Other circuits from the amygdala signal the secretion of emergency dollops of the hormone norepinephrine to heighten the reactivity of key brain areas, including those that make the senses more alert, in effect setting the brain on edge. Additional signals from the amygdala tell
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the brainstem to fix the face in a fearful expression, freeze unrelated movements the muscles had underway, speed heart rate and raise blood pressure, slow breathing. Others rivet attention on the source of
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the fear, and prepare the muscles to react accordingly. Simultaneously, cortical memory systems are shuffled to retrieve any knowledge relevant to the emergency at hand, taking precedence over other strands of thought. And these are just part of a carefully coordinated array of changes the amygdala orchestrates as it commandeers areas throughout the brain (for a more detailed account, see Appendix C ). The amygdala’s extensive web of neural connections allows it, during an emotional emergency, to capture and drive much of the rest of the brain— including the rational mind. THE EMOTIONAL SENTINEL A friend tells of having been on vacation in England, and eating brunch at a canalside cafe. Taking a stroll afterward along the stone steps down to the canal, he suddenly saw a girl gazing at the water, her face frozen in fear. Before he knew quite why, he had jumped in the water—in his coat and tie. Only once he was in the water did he realize that the girl was staring in shock at a toddler who had fallen in —whom he was able to rescue. What made him jump in the water before he knew why? The answer, very likely, was his amygdala.
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answer, very likely, was his amygdala. In one of the most telling discoveries about emotions of the last decade, LeDoux’s work revealed how the architecture of the brain gives the amygdala a privileged position as an emotional sentinel, able to hijack the brain. 5 His research has shown that sensory signals from eye or ear travel first in the brain to the thalamus, and then— across a single synapse—to the amygdala; a second signal from the thalamus is routed to the neocortex—the thinking brain. This branching allows the amygdala to begin to respond before the neocortex, which mulls information through several levels of brain circuits before it fully perceives and finally initiates its more finely tailored response. LeDoux’s research is revolutionary for understanding emotional life because it is the first to work out neural pathways for feelings that bypass the neocortex. Those feelings that take the direct route through the amygdala include our most primitive and potent; this circuit does much to explain the power of emotion to overwhelm rationality. The conventional view in neuroscience had been that the eye, ear,
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and other sensory organs transmit signals to the thalamus, and from there to sensory processing areas of the neocortex, where the signals are put together into objects as we perceive them. The signals are sorted for meanings so that the brain recognizes what each object is and what its presence means. From the neocortex, the old theory held, the signals are sent to the limbic brain, and from there the appropriate response radiates out through the brain and the rest of the body. That is the way it works much or most of the time—but LeDoux discovered a smaller bundle of neurons that leads directly from the thalamus to the amygdala, in addition to those going through the larger path of neurons to the cortex. This smaller and shorter pathway—something like a neural back alley—allows the amygdala to receive some direct inputs from the senses and start a response before they are fully registered by the neocortex. This discovery overthrows the notion that the amygdala must depend entirely on signals from the neocortex to formulate its emotional reactions. The amygdala can trigger an emotional response via this emergency route even as a parallel reverberating circuit begins between the amygdala and neocortex. The amygdala can have
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us spring to action while the slightly slower—but more fully informed —neocortex unfolds its more refined plan for reaction. LeDoux overturned the prevailing wisdom about the pathways traveled by emotions through his research on fear in animals. In a crucial experiment he destroyed the auditory cortex of rats, then exposed them to a tone paired with an electric shock. The rats quickly learned to fear the tone, even though the sound of the tone could not register in their neocortex. Instead, the sound took the direct route from ear to thalamus to amygdala, skipping all higher avenues. In short, the rats had learned an emotional reaction without any higher cortical involvement: The amygdala perceived, remembered, and orchestrated their fear independently. “Anatomically the emotional system can act independently of the neocortex,” LeDoux told me. “Some emotional reactions and emotional memories can be formed without any conscious, cognitive participation at all.” The amygdala can house memories and response repertoires that we enact without quite realizing why we do so because the shortcut from thalamus to amygdala completely bypasses the neocortex. This bypass seems to allow the amygdala to be a
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repository for emotional impressions and memories that we have never known about in full awareness. LeDoux proposes that it is the
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amygdala’s subterranean role in memory that explains, for example, a startling experiment in which people acquired a preference for oddly shaped geometric figures that had been flashed at them so quickly that they had no conscious awareness of having seen them at all! 6 A visual signal first goes from the retina to the thalamus, where it is translated into the language of the brain. Most of the message then goes to the visual cortex, where it is analyzed and assessed for meaning and appropriate response; if that response is emotional, a signal goes to the amygdala to activate the emotional centers. But a smaller portion of the original signal goes straight from the thalamus to the amygdala in a quicker transmission, allowing a faster (though less precise) response. Thus the amygdala can trigger an emotional response before the cortical centers have fully understood what is happening . Other research has shown that in the first few milliseconds of our perceiving something we not only unconsciously comprehend what it is, but decide whether we like it or not; the “cognitive unconscious” presents our awareness with not just the identity of what we see, but an opinion about it. 7 Our emotions have a mind of their own, one
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7 Our emotions have a mind of their own, one which can hold views quite independently of our rational mind.
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THE SPECIALIST IN EMOTIONAL MEMORY Those unconscious opinions are emotional memories; their storehouse is the amygdala. Research by LeDoux and other neuroscientists now seems to suggest that the hippocampus, which has long been considered the key structure of the limbic system, is more involved in registering and making sense of perceptual patterns than with emotional reactions. The hippocampus’s main input is in providing a keen memory of context, vital for emotional meaning; it is the hippocampus that recognizes the differing significance of, say, a bear in the zoo versus one in your backyard. While the hippocampus remembers the dry facts, the amygdala retains the emotional flavor that goes with those facts. If we try to pass a car on a two-lane highway and narrowly miss having a head-on collision, the hippocampus retains the specifics of the incident, like what stretch of road we were on, who was with us, what the other car looked like. But it is the amygdala that everafter will send a surge of anxiety through us whenever we try to pass a car in similar circumstances. As LeDoux put it to me, “The hippocampus is crucial in
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recognizing a face as that of your cousin. But it is the amygdala that adds you don’t really like her.” The brain uses a simple but cunning method to make emotional memories register with special potency: the very same neurochemical alerting systems that prime the body to react to life-threatening emergencies by fighting or fleeing also stamp the moment in memory with vividness. 8 Under stress (or anxiety, or presumably even the intense excitement of joy) a nerve running from the brain to the adrenal glands atop the kidneys triggers a secretion of the hormones epinephrine and norepinephrine, which surge through the body priming it for an emergency. These hormones activate receptors on the vagus nerve; while the vagus nerve carries messages from the brain to regulate the heart, it also carries signals back into the brain, triggered by epinephrine and norepinephrine. The amygdala is the main site in the brain where these signals go; they activate neurons within the amygdala to signal other brain regions to strengthen memory for what is happening. This amygdala arousal seems to imprint in memory most moments of emotional arousal with an added degree of strength—that’s why we
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are more likely, for example, to remember where we went on a first date, or what we were doing when we heard the news that the space
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shuttle Challenger had exploded. The more intense the amygdala arousal, the stronger the imprint; the experiences that scare or thrill us the most in life are among our most indelible memories. This means that, in effect, the brain has two memory systems, one for ordinary facts and one for emotionally charged ones. A special system for emotional memories makes excellent sense in evolution, of course, ensuring that animals would have particularly vivid memories of what threatens or pleases them. But emotional memories can be faulty guides to the present. OUT-OF-DATE NEURAL ALARMS One drawback of such neural alarms is that the urgent message the amygdala sends is sometimes, if not often, out-of-date—especially in the fluid social world we humans inhabit. As the repository for emotional memory, the amygdala scans experience, comparing what is happening now with what happened in the past. Its method of comparison is associative: when one key element of a present situation is similar to the past, it can call it a “match”—which is why this circuit is sloppy: it acts before there is full confirmation. It frantically commands that we react to the present in ways that were imprinted long ago, with thoughts, emotions, reactions learned in
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response to events perhaps only dimly similar, but close enough to alarm the amygdala. Thus a former army nurse, traumatized by the relentless flood of ghastly wounds she once tended in wartime, is suddenly swept with a mix of dread, loathing, and panic—a repeat of her battlefield reaction triggered once again, years later, by the stench when she opens a closet door to find her toddler had stashed a stinking diaper there. A few spare elements of the situation is all that need seem similar to some past danger for the amygdala to trigger its emergency proclamation. The trouble is that along with the emotionally charged memories that have the power to trigger this crisis response can come equally outdated ways of responding to it. The emotional brain’s imprecision in such moments is added to by the fact that many potent emotional memories date from the first few years of life, in the relationship between an infant and its caretakers. This is especially true for traumatic events, like beatings or outright neglect. During this early period of life other brain structures,
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particularly the hippocampus, which is crucial for narrative memories, and the neocortex, seat of rational thought, have yet to become fully developed. In memory, the amygdala and hippocampus work hand-in-hand; each stores and retrieves its special information independently. While the hippocampus retrieves information, the amygdala determines if that information has any emotional valence. But the amygdala, which matures very quickly in the infant’s brain, is much closer to fully formed at birth. LeDoux turns to the role of the amygdala in childhood to support what has long been a basic tenet of psychoanalytic thought: that the interactions of life’s earliest years lay down a set of emotional lessons based on the attunement and upsets in the contacts between infant and caretakers. 9 These emotional lessons are so potent and yet so difficult to understand from the vantage point of adult life because, believes LeDoux, they are stored in the amygdala as rough, wordless blueprints for emotional life. Since these earliest emotional memories are established at a time before infants have words for their experience, when these emotional memories are triggered in later life
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experience, when these emotional memories are triggered in later life there is no matching set of articulated thoughts about the response that takes us over. One reason we can be so baffled by our emotional outbursts, then, is that they often date from a time early in our lives when things were bewildering and we did not yet have words for comprehending events. We may have the chaotic feelings, but not the words for the memories that formed them. WHEN EMOTIONS ARE FAST AND SLOPPY It was somewhere around three in the morning when a huge object came crashing through the ceiling in a far corner of my bedroom, spilling the contents of the attic into the room. In a second I leapt out of bed and ran out of the room, terrified the entire ceiling would cave in. Then, realizing I was safe, I cautiously peered back in the bedroom to see what had caused all the damage—only to discover that the sound I had taken to be the ceiling caving in was actually the fall of a tall pile of boxes my wife had stacked in the corner the day before while she sorted out her closet. Nothing had fallen from the attic:
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there was no attic. The ceiling was intact, and so was I. My leap from bed while half-asleep—which might have saved me from injury had it truly been the ceiling falling—illustrates the power
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of the amygdala to propel us to action in emergencies, vital moments before the neocortex has time to fully register what is actually going on. The emergency route from eye or ear to thalamus to amygdala is crucial: it saves time in an emergency, when an instantaneous response is required. But this circuit from thalamus to amygdala carries only a small portion of sensory messages, with the majority taking the main route up to the neocortex. So what registers in the amygdala via this express route is, at best, a rough signal, just enough for a warning. As LeDoux points out, “You don’t need to know exactly what something is to know that it may be dangerous.” 10 The direct route has a vast advantage in brain time, which is reckoned in thousandths of a second. The amygdala in a rat can begin a response to a perception in as little as twelve milliseconds—twelve thousandths of a second. The route from thalamus to neocortex to amygdala takes about twice as long. Similar measurements have yet to be made in the human brain, but the rough ratio would likely hold. In evolutionary terms, the survival value of this direct route would have been great, allowing a quick-response option that shaves a few
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critical milliseconds in reaction time to dangers. Those milliseconds could well have saved the lives of our protomammalian ancestors in such numbers that this arrangement is now featured in every mammalian brain, including yours and mine. In fact, while this circuit may play a relatively limited role in human mental life, largely restricted to emotional crises, much of the mental life of birds, fish, and reptiles revolves around it, since their very survival depends on constantly scanning for predators or prey. “This primitive, minor brain system in mammals is the main brain system in non-mammals,” says LeDoux. “It offers a very rapid way to turn on emotions. But it’s a quick-and-dirty process; the cells are fast, but not very precise.” Such imprecision in, say, a squirrel, is fine, since it leads to erring on the side of safety, springing away at the first sign of anything that might signal a looming enemy, or springing toward a hint of something edible. But in human emotional life that imprecision can have disastrous consequences for our relationships, since it means, figuratively speaking, we can spring at or away from the wrong thing —or person. (Consider, for example, the waitress who dropped a tray
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of six dinners when she glimpsed a woman with a huge, curly mane of red hair—exactly like the woman her ex-husband had left her for.) Such inchoate emotional mistakes are based on feeling prior to thought. LeDoux calls it “precognitive emotion,” a reaction based on
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neural bits and pieces of sensory information that have not been fully sorted out and integrated into a recognizable object. It’s a very raw form of sensory information, something like a neural Name That Tune , where, instead of snap judgments of melody being made on the basis of just a few notes, a whole perception is grasped on the basis of the first few tentative parts. If the amygdala senses a sensory pattern of import emerging, it jumps to a conclusion, triggering its reactions before there is full confirming evidence—or any confirmation at all. Small wonder we can have so little insight into the murk of our more explosive emotions, especially while they still hold us in thrall. The amygdala can react in a delirium of rage or fear before the cortex knows what is going on because such raw emotion is triggered independent of, and prior to, thought. THE EMOTIONAL MANAGER A friend’s six-year-old daughter Jessica was spending her first night ever sleeping over at a playmate’s, and it was unclear who was more nervous about it, mother or daughter. While the mother tried not to let Jessica see the intense anxiety she felt, her tension peaked near
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midnight that night, as she was getting ready for bed and heard the phone ring. Dropping her toothbrush, she raced to the phone, her heart pounding, images of Jessica in terrible distress racing through her mind. The mother snatched the receiver, and blurted, “Jessica!” into the phone—only to hear a woman’s voice say, “Oh, I think this must be a wrong number.…” At that, the mother recovered her composure, and in a polite, measured tone, asked, “What number were you calling?” While the amygdala is at work in priming an anxious, impulsive reaction, another part of the emotional brain allows for a more fitting, corrective response. The brain’s damper switch for the amygdala’s surges appears to lie at the other end of a major circuit to the neocortex, in the prefrontal lobes just behind the forehead. The prefrontal cortex seems to be at work when someone is fearful or enraged, but stifles or controls the feeling in order to deal more effectively with the situation at hand, or when a reappraisal calls for a completely different response, as with the worried mother on the phone. This neocortical area of the brain brings a more analytic or
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appropriate response to our emotional impulses, modulating the amygdala and other limbic areas. Ordinarily the prefrontal areas govern our emotional reactions from the start. The largest projection of sensory information from the thalamus, remember, goes not to the amygdala, but to the neocortex and its many centers for taking in and making sense of what is being perceived; that information and our response to it is coordinated by the prefrontal lobes, the seat of planning and organizing actions toward a goal, including emotional ones. In the neocortex a cascading series of circuits registers and analyzes that information, comprehends it, and, through the prefrontal lobes, orchestrates a reaction. If in the process an emotional response is called for, the prefrontal lobes dictate it, working hand-in-hand with the amygdala and other circuits in the emotional brain. This progression, which allows for discernment in emotional response, is the standard arrangement, with the significant exception of emotional emergencies. When an emotion triggers, within moments the prefrontal lobes perform what amounts to a risk/benefit ratio of myriad possible reactions, and bet that one of them is best. 11 For
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11 For animals, when to attack, when to run. And for we humans … when to attack, when to run—and also, when to placate, persuade, seek sympathy, stonewall, provoke guilt, whine, put on a facade of bravado, be contemptuous—and so on, through the whole repertoire of emotional wiles. The neocortical response is slower in brain time than the hijack mechanism because it involves more circuitry. It can also be more judicious and considered, since more thought precedes feeling. When we register a loss and become sad, or feel happy after a triumph, or mull over something someone has said or done and then get hurt or angry, the neocortex is at work. Just as with the amygdala, absent the workings of the prefrontal lobes, much of emotional life would fall away; lacking an understanding that something merits an emotional response, none comes. This role of the prefrontal lobes in emotions has been suspected by neurologists since the advent in the 1940s of that rather desperate—and sadly misguided—surgical “cure” for mental illness: the prefrontal lobotomy, which (often sloppily) removed part of the
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prefrontal lobes or otherwise cut connections between the prefrontal cortex and the lower brain. In the days before any effective medications for mental illness, the lobotomy was hailed as the answer
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to grave emotional distress—sever the links between the prefrontal lobes and the rest of the brain, and patients’ distress was “relieved.” Unfortunately, the cost was that most of patients’ emotional lives seemed to vanish, too. The key circuitry had been destroyed. Emotional hijackings presumably involve two dynamics: triggering of the amygdala and a failure to activate the neocortical processes that usually keep emotional response in balance—or a recruitment of the neocortical zones to the emotional urgency. 12 At these moments the rational mind is swamped by the emotional. One way the prefrontal cortex acts as an efficient manager of emotion—weighing reactions before acting—is by dampening the signals for activation sent out by the amygdala and other limbic centers—something like a parent who stops an impulsive child from grabbing and tells the child to ask properly (or wait) for what it wants instead. 13 The key “off” switch for distressing emotion seems to be the left prefrontal lobe. Neuropsychologists studying moods in patients with injuries to parts of the frontal lobes have determined that one of the tasks of the left frontal lobe is to act as a neural thermostat, regulating
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unpleasant emotions. The right prefrontal lobes are a seat of negative feelings like fear and aggression, while the left lobes keep those raw emotions in check, probably by inhibiting the right lobe. 14 In one group of stroke patients, for example, those whose lesions were in the left prefrontal cortex were prone to catastrophic worries and fears; those with lesions on the right were “unduly cheerful”; during neurological exams they joked around and were so laid back they clearly did not care how well they did. 15 And then there was the case of the happy husband: a man whose right prefrontal lobe had been partially removed in surgery for a brain malformation. His wife told physicians that after the operation he underwent a dramatic personality change, becoming less easily upset and, she was happy to say, more affectionate. 16 The left prefrontal lobe, in short, seems to be part of a neural circuit that can switch off, or at least dampen down, all but the strongest negative surges of emotion. If the amygdala often acts as an emergency trigger, the left prefrontal lobe appears to be part of the
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