Capítulo 4 Prinz PDF
Capítulo 4 Prinz PDF
Capítulo 4 Prinz PDF
Moral Emotions∗
JESSE J. PRINZ AND SHAUN NICHOLS
Within Western philosophy, it’s widely recognized that emotions play a role in
moral judgment and moral motivation. Emotions help people see that certain
actions are morally wrong, for example, and they motivate behavioral responses
when such actions are identified. Philosophers who embrace such views often
present them at a high level of abstraction and without empirical support.
Emotions motivate, they say, but they don’t explain how they motivate or
why (e.g. Ayer, 1936; McDowell, 1985; Dreier, 1990). We think that empirical
moral psychology is essential for moving from imprecise formulations into more
detailed explanations.
We shall address several questions. First, we shall survey empirical evidence
supporting the conjecture that emotions regularly occur when people make
moral judgments. We shall describe several models of moral judgment that are
consistent with these data, but we won’t adjudicate which is right, since all these
models agree that emotions are important for moral psychology. Then we shall
turn to the question of which emotions are involved in moral judgment, and offer
some suggestions about how to distinguish moral emotions from non-moral
emotions. And, finally, we shall discuss two moral emotions that are central
to moral thought and action: anger and guilt. We shall discuss other moral
emotions in passing, but anger and guilt are arguably the most prevalent, at least
in Western morality, and a careful analysis of how they function will help to
underscore why they are so important. Indeed, we shall conclude by suggesting
that these moral emotions may be necessary for morality in some sense.
morality, and in others they are not. But, even those authors who deny that
emotions are essential usually find a place for them in moral psychology. This
is true even for Kant, who is notorious for arguing that morality depends on
reason rather than sentiment. In Kant’s (1997: 43) system, reason tells us that
we follow the moral law, but acting from the moral law begins with respect
for the law, which is constituted by respect for persons, which is a natural
consequence of recognizing the dignity of each person as a law-governed
agent. In addition to respect, Kant (1996: 160) claims that moral judgments are
accompanied by moral feelings. It is difficult to find a philosopher who does
not think emotions are important to morality.
Despite this consensus, there is considerable disagreement about the exact
role that emotions are supposed to play. In addition, even where moral
philosophers have invoked emotions, they seldom attend carefully to the
psychological characteristics of the emotions to which they appeal. Indeed,
it would be hard to exaggerate the extent to which philosophers, even self-
described sentimentalists, have neglected psychological research on the moral
emotions. This chapter is intended as a partial corrective.
We shall begin by considering two ways in which emotions have been alleged
to contribute to morality. Then we shall go on to discuss how empirical work
on specific emotions might be used to characterize these contributions with
greater detail and accuracy.
1.1. Motivation
It is widely assumed that emotions play a role in moral motivation. This
is hardly surprising, because emotions are thought to be major sources of
motivation in general. Some philosophers conjecture that reasons can be
motivating in the absence of emotions, but even they would likely admit that
emotions can motivate when present.
There are two contexts in which the link between emotions and moral
motivation are often explicitly discussed. The first is in discussions of prosocial
behaviors. In the social sciences, several lines of research explore that link. In
developmental psychology, there is research on correlations between emotions
and good deeds. Children are more likely to engage in various praiseworthy
behaviors if they have certain emotional responses (Chapman et al., 1987;
Eisenberg, 2000). For example, when children show concern in response
to the distress of others, they are likely to engage in consolation behaviors
(Zahn-Waxler et al., 1992). Psychologists have also investigated the relationship
between emotions and good deeds in adults. For example, Isen and Levin (1972)
show that induction of positive affect dramatically increases the likelihood that
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a person will help a stranger pick up some papers that have fallen on the street.
There is also work looking at the role of emotion in promoting cooperative
behavior in prisoner’s dilemmas and other economic games (Batson & Moran,
1999). Positive emotions and affiliative feelings may promote cooperation. Of
course, cooperative behavior might be motivated by self-interest and emotions,
such as greed. One topic of current debate is whether genuine altruism must be
motivated by certain emotional states, such as sympathy, concern, empathy, or
care (see Chapter 5; and, for a less optimistic view, see also Prinz, forthcoming).
In all these examples, emotions play a role in promoting prosocial behavior.
But it is important to notice that one can engage in prosocial behavior without
judging that it is good. This is true even in many cases of altruistic motivation.
You might help someone who is drowning, for example, without first thinking
to yourself that doing so would be what morality demands. The term ‘‘moral
motivation’’ is ambiguous between motivation to act in a way that (as a
matter of fact) fits with the demands of morality and motivation to act in
a way because one judges that morality demands such action. Research on
altruism, cooperation, and prosocial behavior in children typically falls in the
former category. But helping because you care is different, psychologically
speaking, from helping because you think it is what morality demands. Both
forms of motivation should be distinguished, and both can be empirically
investigated.
Like altruistic motivation, the motivation to do something because it is what
morality demands is also widely thought to involve emotions. Doing something
because it is demanded by morality requires making a moral judgment. A moral
judgment is a judgment that something has moral significance. In expressing
moral judgments we use terms such as right and wrong, good and bad, just and
unjust, virtuous and base. Typically, when people judge that something has
moral significance they become motivated to behave in accordance with those
judgments. Emotions are widely believed to contribute to that motivation.
This conjecture has been widely discussed within philosophy. There is a
raging debate about whether moral judgments are intrinsically motivating (see
Frankena, 1973; Brink, 1989; Smith, 1994). Motivation internalists claim that
we cannot make moral judgments without thereby being motivated to act in
accordance with them. To make this case, they sometimes suppose that moral
judgments are constituted, at least in part, by emotions. Judgments are mental
states, and to say that they are partially constituted by emotions is to say that the
mental state of judging, for example, that killing is immoral is constituted by a
mental representation of killing along with an emotional state directed toward
that represented act. Externalists argue that judgments can be made without
motivation, but they often agree with internalists that, when motivation
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no matter what the moral task, and induction of emotions prior to moral
evaluation can influence responses, suggesting that the link between emotion
and moral cognition is not merely correlational or epiphenomenal.
Still, the data we have reviewed are consistent with several different models
of how emotions and moral judgment relate. We shall briefly describe these
here, though we shall not adjudicate. We think that on any of these models
the study of moral emotions will be of considerable importance.
The first model, which we shall call affective rationalism, combines what
we shall call judgment rationalism with motivation emotionism. As we shall
define these terms, judgment rationalism combines the following two views:
• Rational genesis: the judgment that something is moral or immoral is
typically arrived at through a process of reasoning that can occur without
emotions.
• Rational essence: when emotions arise in the context of moral judgment,
they are contingent in the sense that a token of the very same judgment
could have occurred in the absence of those emotions.
The affective rationalist accepts this, but also adds:
• Emotional motivation: emotions play a central and reliable role in moti-
vating people to act in accordance with their moral judgments.
For the affective rationalist, we need only reason to recognize the moral law,
but we may need emotion to care about the moral law. Since most of us care,
emotions normally arise when we make moral judgments. Affective rationalists
must also admit that emotions can influence moral judgments (as the data
clearly demonstrate), but they chalk this up to a more general phenomenon of
emotional influence: emotions can have an impact on judgment quite generally
and, when this happens, it is usually a form of bias or noise that we should try
to guard against.
The second model is Haidt’s social intuitionism. According to Haidt, we do
not typically arrive at moral judgments through reasoning, so he rejects rational
genesis. Rather, we typically arrive at moral judgments through ‘‘intuitions’’
which are gut feelings that lead us to conclude that something is right or wrong:
• Emotional genesis: the judgment that something is moral or immoral is
typically arrived at as a consequence of emotional feelings.
Haidt probably also accepts emotional motivation, but his stance on rational
essence is a bit hard to determine. He sometimes implies that a moral
judgment is a cognitive state that could, in principle, arise without emotions,
even if this happens only rarely in practice.
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reliably give rise to such judgments or are caused by such judgments). Finally,
moral emotions might be defined as emotions that promote moral behaviors.
Some of these definitions are compatible. One could define one class of moral
emotions as the emotions that promote moral behaviors, and another class as
the ones that are either constitutively or causally related to moral judgments.
Notice that these ways of defining moral emotions will work only if we
can find some way of defining morality, because the definition builds in the
concept moral. In philosophy, morality is concerned with norms, where norms
are construed as rules about how we should act or what kind of people we
should be. But this is, at best, a necessary condition for qualifying as moral.
Not all norms have moral content. There are norms of etiquette, for example,
and norms of chess playing (Foot, 1972). Psychologists try to narrow down
the moral domain by drawing a distinction between moral and conventional
rules (Turiel, 1983; Smetana, 1993; Nucci, 2001). If we can define morality
by appeal to moral, as opposed to conventional, rules, then we can define
moral emotions as those that promote behavior that accords with moral rules
or those that play a causal or constitutive role in mentally representing such
rules. Of course, this will avoid circularity only if we can cash out the concept
of moral rules without using the concept moral. On the standard approach
in psychology, moral rules are operationalized as being distinctive in three
ways. We have already alluded to this operationalization in sketching Nichols’s
sentimental rules model above. In comparison to conventional rules, moral
rules are regarded as more serious, less dependent on authority, and more
likely to be justified with reference to empathy and the suffering of others
(Turiel, 1983). The attempt to use these features to define the notion of
morality has been challenged (Shweder et al., 1987; Kelly et al., 2007). For
example, there may be moral rules that are authority contingent and don’t
involve suffering (e.g. rules prohibiting consensual incest with birth control),
and conventional rules that are very serious (e.g. driving on the right-hand side
of the road). Moreover, researchers persuaded by moral relativism believe that
all rules may depend on convention (Prinz, 2007). We find these objections
compelling. Nevertheless, we think the evidence from this tradition is getting
at important differences in the way people think about different classes of
violations. Many people seem to have strong intuitions about whether certain
rules (say, prohibitions against joy killing) are moral or merely conventional.
We think such intuitions must ultimately be explained.
Here we mention two ways of trying to make sense of people’s intuitions
about a moral/conventional distinction. One option is to define moral rules
negatively as rules that are not believed to depend on any specific social
conventions. The idea is that, when people construe a norm as conventional,
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they know that it depends on the opinions or practices of others. With moral
rules, people presume this is not the case. This straightforward suggestion may
be workable, but there are a few concerns. One is that some moral rules may be
construed as depending on others, such as the rule that one should follow the
ways of one’s elders or the rule that one should obey dietary customs. These
rules are sometimes construed morally in some cultures. Another concern is that
this formulation implies that a rule’s status as moral or conventional depends
on how we think about its ultimate source or justification. This is intellectually
demanding. It’s not implausible that we acquire both moral and conventional
rules before having any beliefs about how they are justified or where they come
from. Young children may be sensitive to the moral/conventional distinction
without having a concept of social conventions. A third concern is that there
may be non-moral norms that do not depend on conventions, such as personal
norms or prudential norms. A fourth concern is that, if relativism is right,
moral rules may depend on conventions, but people who embrace relativism
need not deny that moral rules exist.
Another strategy for defining moral norms makes reference to the emotions.
There is evidence that moral norms are associated with different emotions than
conventional norms (Arsenio & Ford, 1985; Tangney et al., 1996; Takahashi
et al., 2004; see also Grusec & Goodnow, 1994, for indirect evidence). If one
violates a rule of etiquette, one might feel embarrassed, but one is unlikely to
feel guilty or ashamed. On this approach, moral norms are defined as norms
whose violation tends to elicit moral emotions. This definition overcomes
many of the worries we have been discussing, but it is problematic in the
present context. We were trying to define moral emotions in terms of moral
norms, and now we are defining moral norms in terms of moral emotions. One
could break out of it by simply listing the moral emotions. Moral norms could
be defined as norms that implicate the emotions on that list. On this view,
moral norms are defined in terms of moral emotions, and moral emotions are
simply stipulated.
Perhaps one of these approaches to the moral/conventional distinction can
be made to float. Perhaps other options are available. We shall not take a
stand. When we invoke the moral/conventional distinction in what follows,
we shall try to rely on uncontroversial examples of each (e.g. the assassination
of Martin Luther King was morally wrong, and eating with a hat on is
merely conventionally wrong). We’ll rely on these folk intuitions, which are
confirmed—at least among North America respondents in the literature on
moral development. The fact that people have strong intuitions about whether
certain rules are moral or conventional suggests that there is some psychological
basis for the distinction.
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as loyalty, affection, and love, which create and promote morally relevant
commitments (for a useful survey, see Fessler & Haley, 2003 and Haidt, 2003).
These are clearly worthy of further investigation.
We cannot possibly review the research on each moral emotion here. We
leave aside prosocial emotions (but see Preston & de Waal, 2002 and Hoffman,
2000). We focus instead on emotions associated with blame, and, more
specifically, on anger and guilt. These illustrate the other-blame and self-
blame categories respectively, and have been extensively studied by researchers
interested in morality. We choose anger and guilt because they are associated
with violations of autonomy norms, which are perhaps the most familiar
kinds of moral norms. Autonomy norms are ones that regulate how we
treat individual persons, and canonical violations of autonomy norms involve
harming another person. Sometimes the person is physically hurt; sometimes
property is taken. In other cases, nothing is taken, but the person doesn’t get
what they deserve or are entitled to. In still others, a person is prevented from
doing something even though the prevention is unwarranted. Most broadly,
autonomy norms are characteristically construed in terms of harms or rights.
Someone is harmed when they are hurt or lose property. Someone’s rights are
violated when they are not given certain benefits or allowances.
Autonomy norms are privileged in Western philosophy and Western culture.
Most normative ethical theories in the West (with the possible exception of
virtue ethics) focus on autonomy in one way or another. Even utilitarianism
counts as an autonomy-focused theory, on the technical definition used in
psychology, because it focuses on benefits and harms to persons (as opposed to,
say, status hierarchies or victimless sexual acts that strike members of traditional
societies as impure). Patterns of justification in the West tend to focus on
how a victim has been affected. If asked whether a certain sexual behavior is
wrong, for example, Westerners often try to determine whether it was harmful.
Victimless behaviors such as masturbation are considered morally permissible
in contemporary Western societies because no one is harmed, although, in
earlier times, masturbation (or onanism) was viewed as a crime (Tissot, 1766).
In contrast, bestiality and incest are regarded as wrong by contemporary
Westerners, because they assume that one party does not consent. Westerners
do moralize some acts that have no unwilling victims, such as consensual
incest (Haidt, 2001). But they seem to exhibit discomfort or puzzlement in not
being able to provide a victim-based justification. Members of non-Western
cultures and people with low socioeconomic status are often more comfortable
with saying that there can be victimless crimes (Haidt et al., 1993). This
tendency may also be found to some degree in Westerners who are politically
conservative (Haidt, 2007). Traditional value systems regulate everything from
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sex to dress and diet. Those who endorse traditional values may be more
willing than modern Western liberals to condemn behavior that is not harmful
to anyone. Moral theories in modern Western philosophy shift away from
traditional values and try to identify norms that may be more universal. Norms
regulating harm are purported to have this status (although their universality
may be challenged; Prinz, 2008). By focusing on the emotions that arise in
response to violations of autonomy norms, we present those that are most
directly relevant to Western ethical theories. But we don’t mean to imply
that these emotions, anger and guilt, are exclusively Western. They may be
culturally widespread emotions with deep biological roots.
3. Anger
Of all the emotions that look to play a prominent role in moral psychology,
anger is the one most commonly thought to have clear analogues in lower
mammals (e.g. Panksepp, 2000). Indeed, anger has been explored extensively
by biologically oriented emotion theorists. It is included on most lists of ‘‘basic
emotions.’’ Basic emotions, as they are understood in contemporary emotion
research, are evolved emotions that do not contain other emotions as parts.
They are usually associated with distinctive elicitors, physiological responses,
action tendencies, and expressive behaviors. This is certainly true of anger. It is
associated with a distinctive facial expression (furrowed brow, thin lips, raised
eyelids, square mouth) (Ekman, 1971), and it is physiologically differentiated
from other basic emotions (high heart rate and high skin temperature) (Ekman
et al., 1983: 1209). In infants, anger is thought to be triggered by goal obstruc-
tions (Lemerise & Dodge, 2008). Affective neuroscientific work indicates that
anger is associated with activations in the amygdala, the hypothalamus, and
the periaqueductal gray of the midbrain (Panksepp, 1998: 187, 195–196). And
already with Darwin, we get a proposal about the adaptive function of anger:
it serves to motivate retaliation. Darwin writes: ‘‘animals of all kinds, and their
progenitors before them, when attacked or threatened by an enemy, have
exerted their utmost powers in fighting and in defending themselves. Unless
an animal does thus act, or has the intention, or at least the desire, to attack its
enemy, it cannot properly be said to be enraged’’ (1872: 74).
Because anger seems to be present in all mammals, and because weasels
are perhaps not typically regarded as having moral emotions, it is tempting
for the moral psychologist to restrict attention to ‘‘moral anger’’ or ‘‘moral
outrage’’ (cf. Fessler & Haley, 2003; Gibbard, 1990). But we want to begin our
discussion of anger without explicitly restricting it to moral anger.
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knows the total amount of money to be divided. The responder then decides
whether to accept or reject the offer. If he rejects the offer, then neither he nor
the proposer gets any of the money. The consistent finding (in most cultures,
but see Henrich et al., 2004) is that low offers (e.g. 20% of the total allocation)
often get rejected. That is, the responder often decides to take nothing rather
than a low offer.
Over the last several years, evidence has accumulated that suggests that anger
plays an important role in leading to rejections in these sorts of games. In
one of the earliest published findings on the matter, Pillutla and Murninghan
(1996) had subjects play an ultimatum game after which they were invited to
give open-ended responses to two questions: ‘‘How did you react when you
received your offer? How did you feel?’’ (p. 215). Independent coders rated the
responses for anger and perceived unfairness. Reports of anger and perceived
unfairness were significantly correlated. Anger (which was almost always
accompanied by perceived unfairness) was a strong predictor of when a subject
would reject an offer. Unfairness alone also predicted rejections, but more
weakly than anger. Pillutla and Murninghan’s suggestion is straightforward:
when subjects view the offer as unfair, this often leads to anger, and this
response increases the tendency to reject the offer (p. 220).
Using somewhat different economic games, other researchers have also
found that perceived unfairness in offers generates anger, which leads to
retaliatory actions (Bosman & van Winden, 2002: 159; Hopfensitz & Reuben,
forthcoming, ms: 13–14). But there is one finding, using public-goods games,
that deserves special mention. In a public-goods game, anonymous participants
are each allotted a sum of money that they can invest in a common pool.
Their investment will lead to increased overall wealth for the group, but
the payoff for the investing individual will always be a loss. So, for instance,
for each $1 a person invests, each of the four group members will get
$0.40, so that the investor will get back only 40% of his own investment.
Fehr and Gächter (2002) had subjects play a series of public-goods games
in which it was made clear that no two subjects would be in the same
game more than once. After each game, subjects were given an opportunity
to punish people in their group—for each 1 monetary unit the punisher
pays, 3 monetary units are taken from the punishee. Since the subjects know
that they will never again interact with any agent that they are allowed
to punish, punishing apparently has no future economic benefit for the
punisher. Nonetheless, punishment was in fact frequent in the experiment.
Most people punished at least once, and most punishment was directed at
free-riders (individuals who contributed less than average) (Fehr & Gächter
2002: 137).
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Figure 4.2. Average contributions without and with punishment (from Fehr &
Gächter, 2000)
behaviors. And the awareness of anger serves to provide further motivation for
prosocial behaviors.
In the previous section, we noted that free-riding in public-goods games
generates anger and a corresponding motivation to punish the free-rider by
paying to deplete his funds. What we didn’t mention is that punishment is
remarkably powerful in shaping behavior in these games. Over a number
of experiments, Fehr and his colleagues have consistently found that when
punishment is an available option in public-goods games, cooperation increases
dramatically (Fehr & Gächter, 2000; Fehr & Fischbacher, 2004). Perhaps the
most impressive illustration of this occurs when subjects first play several
rounds in which punishment is not an option. In one such experiment (Fehr &
Gächter, 2000), ten rounds are played in which punishment is not an option;
by the tenth round the average contribution dropped to very low levels (below
20%). Punishment becomes available for the eleventh round, and the average
contribution skyrockets. By the fourth round in which punishment is available,
average contributions are at 90%! (see Figure 4.2). If Fehr and Gächter are
right that this punishment is driven by anger, then anger is a formidable force
for motivating cooperation.
Since cooperation is a morally valued behavior, and since punishment in
public-goods games is plausibly driven by anger, it seems that anger plays
a powerful role to the good. For anger apparently secures cooperation by
motivating punishment. In addition, there’s a second indirect role for anger in
moral motivation. In Fehr and Gächter’s experiments, as soon as subjects are
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4. Guilt
Guilt is perhaps the quintessential moral emotion. No other emotion is more
directly associated with morality. As we pointed out, it’s plausible that anger
can occur in non-moral contexts. By contrast, guilt almost always plays a moral
role and, arguably, guilt occurs in non-moral contexts only when people take
a moral stance toward something that does not warrant such a stance. If you
feel guilty about breaking your diet, for example, you may be unwittingly
moralizing weight ideals and self-control. Guilt is also closely associated with
the idea of conscience. It is construed as a guide that tells us when an
action is wrong. Guilt may play important roles in moral development, moral
motivation, and moral judgment.
recent years, conceptions of guilt have been changing, and it is now widely
regarded as a fundamentally social emotion, which plays a positive prosocial
role. We shall focus on this emerging conception of guilt (for a useful overview,
see Baumeister et al., 1994).
As we noted in Section 2, emotions can be distinguished by their ‘‘core
relational themes’’ (Lazarus, 1991). The core relational theme for guilt seems to
be transgression of moral rules. But this simple formulation cannot distinguish
guilt from shame, or, for that matter, from anger. There are several different
emotions that arise when rules are violated. One obvious difference between
guilt and anger is that we typically feel anger at other people when they violate
rules. By contrast, if I feel guilty, it is typically when I myself have violated
a rule. There may also be cases where I feel angry at myself, but that may
be most common when thinking of the self in the second person (as in the
familiar [to us] self-recrimination, ‘‘You idiot!’’). We suspect such self-directed
anger plays a different role than guilt. People get angry at themselves when
they behave stupidly, but guilt arises when people violate norms. In fact guilt
arises only for a specific class of norms. I don’t feel guilty about jay-walking,
and many people don’t feel any guilt about cheating on their taxes, although
they may feel afraid of getting caught. Guilt is especially likely to arise when
we cause harm to another person, and the likelihood and intensity increase if
that person is close to us in some way. We feel more guilty about harming
members of the in-group than of the out-group, and guilt is most intense when
the victim of our transgression is a loved one. This finding leads Baumeister
et al. (1994) to conclude that guilt is an emotion that arises especially when
there is a threat of separation or exclusion. When you jay-walk or cheat
on your taxes, it is unlikely that you will be socially ostracized, much less
that your primary relationship partners will abandon you. In contrast, when
you harm someone close to you, you potentially undermine the attachment
relation that you have with that person and with other members of your social
group.
As a first pass, then, the core theme for guilt is something like: I have harmed
someone whose well-being is a matter of concern to me. But it is important to
note that the person who experiences guilt is not always actually responsible
for harming anyone. As Baumeister et al. (1994) point out in their review,
people feel guilty when they fare better than other people, even if they are not
responsible for the inequity. The most famous and troubling example of this
is survivor guilt. People who survived the Holocaust, the nuclear attack on
Hiroshima, the AIDS epidemic among gay men, and other great catastrophes
often report feeling guilty about surviving, especially if friends and family
members were killed. Guilt is also experienced by those who keep their jobs
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when others are laid off, those who receive greater benefits than someone
who worked just as hard, and even those who are recipients of unrequited
love.
In the face of all these examples, one might be inclined to conclude that guilt
has no special connection to transgression, but is rather an emotion whose core
relational theme is: I am the recipient of a benefit that others whom I care about
did not receive. But this proposal is difficult to reconcile with the fact that we
often feel guilty about causing harm. It would seem that there are two forms
of guilt: one elicited by causing harm and the other elicited by inequitable
benefits. This is inelegant; it doesn’t explain why people use the term ‘‘guilt’’ to
describe these seemingly different cases. We are inclined to think that survivor
guilt and other cases of guilt without transgression are actually over-extensions
of cases involving transgression. People who experience survivor guilt feel
responsible for the misery of others. They sometimes say that they should have
done more to help. It seems that survivors erroneously believe that they have
violated a norm; they think they were obligated to protect their loved ones and
in a position to do so. In cases of guilt stemming from inequity, people often
think, I didn’t deserve this. The idea of desert, again, implies responsibility.
People who feel guilty about, say, earning more than someone else who works
equally hard may believe that they have violated a norm that says we should
share our benefits with anyone who is equally deserving. Even if I am not the
cause of an inequity, I am in a position to do something about it; I can protest
it. Our conjecture is that all these cases hinge crucially on the fact that the
people who experience guilt think that they are responsible for harming others.
The difference between these cases and core cases is that the responsibility
comes from omission rather than commission. If you feel guilty about cheating
on your lover, then, in effect, you feel guilty about causing harm, and if you
feel guilty about earning more than the person in the next cubicle, then you
feel guilty about failing to prevent harm (e.g. failing to protest the unequal
distribution).
In light of the foregoing, we conclude that the core relational theme for
guilt is something like: someone I am concerned about has been harmed and
I have responsibility for that in virtue of what I have done or failed to do.
Guilt also, of course, has characteristic effects. Guilt is an unpleasant emotion,
and, when it is experienced, people try to get rid of it in various ways. The
most common coping strategies are confession, reparation, self-criticism, and
punishment. The last of these was once believed to be especially central to
guilt. Psychoanalysts thought that guilt would lead people to seek punishment
from others, but evidence suggests that this tendency is not especially common
(Baumeister et al., 1994). It more common for guilty people to try to clear
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one to feel ashamed, but in feeling ashamed, one feels like a bad or corrupt
person. One can feel guilty without feeling like a bad person.
The contrast between guilt and shame is reminiscent of the contrast between
anger and disgust. Anger tends to be associated with actions. We think it is
likely that one can be angry at a person for doing something wrong without
feeling as if that person is intrinsically bad. Disgust, in contrast, tends to transfer
from action to person. If someone does something that you find repellent
(a sexually perverse act, for example), you might find that person repellent
thereafter. A person who does something disgusting becomes a disgusting
person, but a person that does something irksome does not necessarily qualify
as irksome thereby. These parallels suggest that guilt and shame might be
first-person analogues of anger and disgust respectively (Prinz, 2007). We saw
in Rozin et al.’s (1999) CAD model that anger occurs when someone violates
an autonomy norm and disgust occurs when someone commits an unnatural
act. These emotions are other-directed. If you yourself violate someone’s
autonomy, that qualifies as a form of harm, and if you harm someone, you are
likely to feel guilty. If you perform an unnatural act, you are more likely to
feel ashamed.
Both guilt and shame are sometimes regarded as basic emotions (Ekman,
1994). It is not implausible that they both evolved to play roles in regulating
social behavior. But another possibility is that these emotions are learned by-
products of other emotions that are more fundamental. We will not explore
this idea with respect to shame, but consider guilt (both are discussed by Prinz,
2004). On the face of it, guilt has striking similarities to other emotions. In
particular, it has much in common with sadness and, to a lesser extent, fear.
Like sadness, guilt is often associated with feeling downtrodden. Excessive guilt
is a core symptom of clinical depression (American Psychiatric Association,
1994); young children who score high in sadness ratings, also score high in guilt
(Eisenberg, 2000); when adults recall events that caused them to feel intense
guilt, they also report feeling sadness (Shin et al., 2000); and when asked to
select facial expressions to associate with guilt vignettes, people tend to select
frowning faces (Prinz, unpublished study). The relation between guilt and fear
may be a little weaker, but fear is correlated with guilt in children (Kochanska
et al., 2002). One explanation for these findings is that guilt is actually a form of
sadness, or sadness mixed with a little anxiety. It might be acquired as follows.
When young children misbehave, parents withdraw love. Love withdrawal
threatens the attachment relationship that children have with their parents, and
losing attachments is a paradigm cause of sadness. It can also cause anxiety,
insofar as attachment relations are a source of security. The threat of losing
love leads children to associate sadness with transgression. Initially, they are sad
137
about losing their parents’ affection, but, through associative learning, sadness
becomes associated with the transgressions themselves. The anxiety-tinged
sadness about wrongdoing is then labeled ‘‘guilt.’’ This would help explain
why guilt is so linked with transgressions that involve harm. Harming another
person is especially likely to threaten that relationship. If a child is caught
breaking a rule that does not involve harm (e.g. taking off clothing in public),
parents may react differently (e.g. scolding or displaying disgust). This story
would also explain why guilt leads people to make amends. If guilt arises in
contexts of potential loss, those all-important relationships can be repaired by
apology or confession. And it also explains the fact that we feel guilt about
harming people even when the harm was not intended, because inadvertent
harm can also threaten attachment relations.
this tendency is so deeply engrained that people even avoid defection in cases
where the other party is not a likely partner in future exchanges. For example,
people leave good tips in roadside restaurants even though they are unlikely to
ever encounter the waitstaff again. Both Trivers and Frank assume that guilt is
the result of biological evolution, and this would support the hypothesis that
guilt is a basic emotion. But it is equally possible that guilt emerged under
cultural pressure as a tool for ensuring that people cooperate. Cross-cultural
variation in economic games suggests that culture may contribute to how
people construe fairness. The Machiguenga of Peru, for example, seem to
accept very inequitable offers as fair, even when North Americans would judge
otherwise (Henrich & Smith, 2004). In their slash–and-burn economy, the
Machiguenga do not depend much on strangers, so cultural pressure has not
led them to morally condemn those who hoard resources rather than dividing
them equitably.
The forms of moral motivation that we have mentioned so far relate to
transgression; guilt motivates us to make up for misdeeds, and it deters us from
behaving badly. What about good behavior? When we introduced the topic
of moral motivation, we suggested that emotions might lead people to behave
prosocially. It’s not obvious that guilt should play a role in prosocial behavior.
Folk psychology would have us believe that we do nice things for people out of
empathy or concern. There is evidence, however, that guilt can promote good
deeds as well. Carlsmith and Gross (1969) demonstrated that guilt can promote
altruistic behavior. They set up a situation similar to the one used by Stanley
Milgram in his famous obedience studies. Subjects were asked to administer
electric shocks to another person, ‘‘the learner,’’ whenever he failed to answer
questions correctly. The learner was introduced as a volunteer for the study,
but he was actually a confederate in the experiment. Afterwards, the subject
was asked to make phone calls on behalf of an environmental organization. In
one condition, subjects are asked to make the calls by the learner, in another
condition subjects are asked by a witness who observes the whole affair, and
in a third control condition the subject is never asked to administer electric
shocks. Subjects who are asked by the learner to make the calls are not more
likely to do so than subjects in the control condition. This suggests that people
are not inclined to be more altruistic as a way of making amends to victims
of their transgressions. But subjects who are asked to make the calls by a
witness make dramatically more calls than in the other two conditions. This
suggests that, when people feel guilty, they are more inclined to engage in
altruism when the request comes from a third-party witness. This implies that
while good deeds might not serve as form of restitution, they can mitigate the
aversive effects of guilt.
139
The Carlsmith and Gross study shows that guilt can promote prosocial
behavior. Subsequent work has shown that it is most likely to do so when
individuals have no other way of coping with their guilt. In an ingenious
study, Harris et al. (1975) set up a donation stand for the March of Dimes in
a Catholic church. They solicited donations from people who were either just
coming from confession or on their way to confession. Almost 40% of those
who were on their way to confess made a donation, but under 20% of those
who had already confessed made a donation. The likely interpretation is that,
once confessions are made, guilt is reduced, and that leads to the reduction in
altruism. Guilt may promote altruistic behavior by default, but that disposition
drops precipitously if people can cope with their guilt in a less costly way.
Shame may play a role in this study too, but guilt is more likely to be doing
the work: guilt is behaviorally associated with both confession and making
amends, whereas shame tends to promote inward focus, and it is not easily
assuaged by confession.
Another limitation of guilt is that it may not promote prosocial behavior
toward members of an out-group. As noted above, guilt mostly arises when
harm comes to someone we care about. With out-groups, care is mitigated.
We often find strong popular support for government programs that bring
immense suffering to citizens of other nations. Guilt is especially unlikely if we
construe the victim as an enemy or, in some other respect, undeserving of our
concern. Studies have show that when we harm a member of an out-group,
there is a tendency to justify the transgression by denigrating the victim. In
a chilling Milgram-style study, Katz et al. (1973) had white males administer
electric shocks to a ‘‘learner’’ before and after filling out a questionnaire to assess
the learner’s personality. The responses to the personality questionnaires did
not change when the learner was white, but, after administering strong shocks
to a black learner, subjects tended to dramatically lower the assessment of his
personality. Subjects would denigrate the black man after treating him cruelly.
One explanation is that the subjects felt more guilt about harming a black man,
given the history of injustice toward that group. To diminish the guilt, they
confabulate a justification for their actions, by implying that the black man
somehow deserved to receive shocks. It is unclear from these findings whether
subjects felt guilty and assuaged those feelings through denigration, or whether
the denigration prevented the onset of guilt. In any case, the intensity and
duration of guilt seem to depend on attitudes toward the victim.
In summary, guilt can play a significant role in promoting prosocial behavior,
although that role may be limited. Those who want to expand the impact of
guilt must find ways to broaden the range of people for whom we feel a sense
of responsibility and concern.
140
the social self could be replaced by something like customs and conventions
that are not regarded moralistically. They would be regarded as optional forms
of self-expression and group affiliation rather than norms that must be followed.
There is evidence that this trend has occurred in the West, where, for example,
victimless sexual perversions are not seen as morally wrong, at least by high
SES groups (Haidt et al., 1993). But we can’t so easily replace the norms
associated with anger and guilt. These are autonomy norms, and their violation
leads to harms. If these were treated as optional, harms might proliferate and
social stability would be threatened. Norms pertaining to the social self may
be important for identity, but norms pertaining to harm are important for
preservation of life. They are, therefore, less dispensable.
Now one might argue that we can preserve our autonomy norms while
dropping the concomitant emotions. There are several reasons for thinking this
won’t work. First, it may be that these norms are constituted by the emotions,
as suggested by constitution models (Prinz, 2007), or depend on such emotions
for their characteristic moral profile, as suggested by the sentimental rules
theory (Nichols, 2004). Second, even if this is not the case, the emotions
may play a crucial role in maintaining the norms and acting on them. Recall
that anger promotes retaliation (as when we punish free-riders), and retaliation
leads to norm conformity. Anticipation of guilt leads to norm conformity even
when retaliation won’t arise (as when we can get away with being free-riders).
When we anticipate the wrath of others or our own guilt, this can defeat the
temptation to engage in harmful behavior. If these costs were removed, then
norm conformity might drop off dramatically.
We think this lesson follows from the empirical research. Those who regard
emotions as inessential to morality—or even as disruptive to morality—should
study the roles that these emotions play before recommending their elimination.
In our view, anger and guilt may play roles that are especially important.
Whether or not moral judgments essentially involve emotions, as the authors
of this chapter have argued elsewhere, emotions may be essential for the
preservation and practice of morality. If anger and guilt are not core ingredients
of a moral outlook, they may still be the sine qua non.
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