Biological Underpinnings
© The Author(s) 2015
Bruce K. FriesenMoral Systems and the Evolution of Human RightsSpringerBriefs in Sociology10.1007/978-94-017-9551-7_44. Biological Underpinnings
Keywords
FairnessAversion to inequalityEmpathyMoralityEvolutionNew research has greatly added to our understanding of human behavioral propensities which many connect to the study of morality. Evolutionary approaches to human behavior readily acknowledge the existence of innate tendencies in the human species. Evolved psychological tendencies have been well documented in both biological and neuropsychological literatures, including the survival instinct, sex drive, nurturing capabilities towards young children, attraction to aesthetics, and a psychological connection to nature. Innate tendencies towards social bonding and cooperation have also been observed. These proclivities serve as motivational forces and continue to operate even when new learning occurs. Learning is thought to add to instinctual behavior, but cannot replace it. Rare exceptions to these observed tendencies can hardly be taken as evidence of the negation of these observed traits, and can be accounted for either in the evolutionary tendency towards mutation or variability, or other hereditary or environmental influences on the particular organism in question (Pinker 2003). Research suggests that a universal moral language may be part of the human condition.
Most sociologists today find the contents of the previous paragraph contentious. Though credible evidence from the natural sciences is incorporated into subfields like the Sociology of Health and Medicine or Biosociology (Hopcroft 2010). Sociology has demonstrated its overall resilience in rejecting or ignoring insights into human behavior from other disciplines. The reasons may be understandable, if not always excusable. Most of the outright rejection of information suggesting innate predispositions is motivated by politics rather than science. Of course, most researchers read studies in their own field, and Sociology is, after all, a field that focuses on society rather than biology. The bigger explanation, though, deals with the incredible dangers of using the authority of a scientific voice to justify racism, sexism, classism, and the like; ideologies of group superiority that have cost the lives of millions in the last 400 years of world history. Modern race-based slavery, the Nazi Holocaust, the subjugation of women, and the widespread sterilization of the infirm are contemporary examples of draconian movements who justified their activities by the selective and biased use of science. Though thorough critiques of past errors have been produced (Gould 1996; Tavris 1993), racism, sexism, and classism remain dangerous undercurrents in human societies. For some sociologists, validating any evidence of innate differences opens a pandora’s box of potential dangers. This, despite the fact that authors like Tavris (1993) draw on good quality studies to illustrate ways in which men and women are different but argue against the privileging of some traits over others.
If the dangers of overgeneralization or selective interpretation of natural science data are real, so too is the possibility that a sociological approach which ignores quality information from the natural sciences will render itself irrelevant and naïve. The rigor of a negativistic logic in science remains a primary defense against science in the service of ideology, along with interdisciplinary peer review. Negativistic logic begins with the premise that no patterns or causal connections exist until overwhelming evidence to the contrary renders that default position as untenable. Examining information outside of one’s field can assist in building more complex models of human behavior that provide a fuller account than those produced in academic silos. The trend towards convergence in science, described in Chap. 1, makes more immediate the challenge for sociologists to read work outside their field and to allow non-sociologists the opportunity to critique sociological work. Researchers outside of one’s discipline can be particularly adept at identifying implicit assumptions in behavioral models that need to be made explicit.
I review in this chapter but a small sample of scientific research which appears to demonstrate certain innate human tendencies defined as moral in almost all societies; at least as it pertains to in-group members in good standing with the community. I will avoid committing the naturalistic fallacy by suggesting that what is innate is necessarily good, since certain social situations can also stimulate natural aggressive instincts many would define as bad or dangerous. I simply demonstrate that the themes of equality and cooperation so often finding expression in new social movements are far from random. Such proclivities find their origins deep within the human condition. The process of attributing value to innate tendencies of cooperation over aggression in moral systems may indeed be the result of social processes, but they are far from arbitrary. In Evolution and Human Behavior, Cartwright (2008: 353) articulates a Darwinian approach in defining morality as “…a set of procedures to help humans, in the face of limited sympathies, personal diversity and competitive instincts, to secure the fruits of cooperation and arrange their equitable distribution.” Far more than aggression, cooperation and resource-sharing tendencies among in-group members is what produces a sustainable, cohesive, and rich society.
It is not difficult to see that, across societies, cooperation between in-group members is valued over aggression, and most certainly when it comes to physical aggression. Societies of all sorts have mechanisms in place to limit physical aggression against other in-group members, to allow its expression only in limited circumstances, and to channel it into approved social outlets such as games where the possibility of doing harm to others is limited. The evidence presented here implies certain behavioral tendencies in human beings; evidence that renders as naïve the negativistic assumption that, because moral systems are social constructions, any expression of morality is an equally likely outcome. Theorists must either render an account of the evidence reviewed herein, or resort to a defensive position within the critiques of positivism that imply that science itself is only, and completely, a social construction.
A Theory of Emotions
To label a behavior as moral is to assume a prescriptive stance. This is different than merely observing that certain social stimuli elicit particular emotional states in organisms. Predictive models are complex, but a basic framework of a theory of emotions could go like this. Certain social situations elicit a narrow range of emotional responses in humans. These emotions produce either a positive state (i.e. pleasurable feelings such as joy) or negative state (i.e. uncomfortable feelings such as anger or envy) within individuals. Positive states often produce action as an organism seeks to sustain or reproduce positive emotional states. Negative states motivate actions intended to alleviate the emotional discomfort, and are often accompanied by a sense of urgency. Positive social attention, a feeling of righteousness, power over others, as well as connection and intimacy almost always produce positive emotional states, whereas social disapproval, disconnection, social inequality, and a subordinate status elicit negative emotional states such as guilt, fear, envy, anxiety, or depression.
Interdependency is the hallmark of our emotional makeup, since it is social situations that elicit emotional states in others. Interdependence is further illustrated in the way that even an absence of social contact produces negative emotional states like loneliness and depression. Of particular concern are the behaviors that produce a positive emotional state in one member but a simultaneous negative emotional state in another. For example, hoarders may experience a positive emotional state by laying claim to items valued by the group. The same action, however, can elicit feelings of envy among the disenfranchised. Groups are adaptive and will tolerate a certain amount of inequality, but increasing disparity, especially to the point of deprivation, will produce behaviors which challenge the hoarder. These challenges are often collective in nature, taking the form of coalitions.
Strong emotional states are induced most notably in face-to-face situations. Because actions produced by negative emotional states can be socially destructive, human beings and other social species have developed complex abilities to read the emotional state of others. Empathic abilities have evolved where people can read the facial expressions of others and infer their internal disposition. A deep sense of fairness has evolved, making people ever sensitive to differences in material and social status. Because survival depends on the strength of the group, the dominant form of social organization in hunting and gathering societies was egalitarian. Social and material equality reduced the likelihood that negative emotional states and their incumbent destructive social tendencies would manifest themselves in face-to-face societies. Moral systems also evolved which placed value on prosocial activities and devalued anti-social or selfish tendencies. Prosocial activities generated positive emotional states in others and reduced the likelihood of conflict. Moral systems further motivated members of the group to take proactive action to avoid violent confrontations and to offer assistance, solace, consolation, or compensation after a conflict has occurred.
Emotional systems evolved as a way to promote positive behaviors conducive to life in groups. Turner (2000), however, points out that the evolution of emotions also created the potential for horrific acts of violence through the expression of vengeance. Three areas of research are described below to demonstrate the presence of these two-sided dispositions: research on primates and other species, research with human children and babies, and research in experimental economics.
Research on Primates
The present generation is the benefactor of insights gleaned from more than five decades of in-depth research on Great Ape Societies. Great Apes—gorillas, orangutans, chimpanzees, and bonobos—are our closest evolutionary relatives. Because apes are presumably less influenced by the powers of socialization than are humans, it follows that strong behavioral similarities in Great Apes and humans are likely the result of shared genetic and neuropsychological compositions. Longitudinal ethnographic studies of chimpanzees in their natural habitat by Jane Goodall and others (Goodall 1986; Boehm 1999) have observed the routine presence of a host of cooperative practices. Nonhuman primates groom one another, provide support in agonistic encounters, collectively defend access to mates, food resources, and territories from outsiders, and actively donate food to each other. Like humans, most apes live in stable social groups, recognize group members as individuals, and have large brains and good memories. These conditions both increase the need for cooperation and facilitate positive relationships with other community members over time.
Experimental research has likewise confirmed a preference for prosocial behaviors in chimpanzees and other primates. de Waal (2013: 120) describes an experiment in which a chimp could choose between two different colored coins. One coin resulted in a food reward for the chimp alone, while the selection of a second coin resulted in a food reward for both the chimp and another chimp in the same room but separated by a wire screen. Chimpanzees chose the prosocial coin three times for every one time they made the selfish choice. The same experiment with human children produced virtually identical results (de Waal et al. 2008).
In another experiment with capuchin monkeys, Wolkenten et al. (2007) had capuchins exchange a rock for a food reward. A piece of cucumber was accepted by a capuchin if alone in the room, but bedlam would ensue if the capuchin receiving the cucumber observed a second capuchin receiving a more desirable grape in a similar exchange. The capuchin receiving the “lesser” cucumber would often yell and throw the cucumber slice at the experimenter or drop it on the floor, walking away in disgust. Similar inequity aversion has been observed in domestic dogs, where a dog receiving no food reward for a trick would eventually walk away when observing another dog receiving a reward for the same trick (Range et al. 2009).
A wide body of research involving chimps and other non-human primates has produced similar evidence of a preference for fairness and inequality aversion (see, for example, Melis et al. 2009; Brosnan et al. 2011; Bullinger et al. 2011; Proctor et al. 2013). Humans, chimpanzees and capuchin monkeys show similar preferences for the division of rewards, which researchers attribute to a shared evolutionary history. Research also indicates the evolution of neural networks which elicit positive emotional rewards for prosocial behaviors and negative emotional rewards for anti-social behaviors. Chang et al. (2012) found positive neural activity in the orbitofrontal cortex of rhesus monkeys when giving juice to a companion, but not when receiving such. Evidence from neuroscience also demonstrates that the anticipation of negative emotional states such as guilt can lead to cooperative behavior. In this instance, the behavior is guilt-aversive (Chang et al. 2011). Other primate research has shown that chimpanzees punish others who steal food from them (Jensen 2007). Drawing on years of observations of the chimpanzees at Gombe, Boehm (1999) argues that the prevalence of egalitarianism among non-human primates and human hunter-gatherers is that the weapon of the disenfranchised has always been collective rebellion, especially when the hoarding by the haves results in absolute deprivation of the have-nots. With chimpanzees, the most frequent collectivized sanctioning occurs when a dominant male has monopolized sexual access to females.
Despite these observations, caution must be exercised when inferring root causes of human behavior from research on primates. Humans are obviously unique among primates in many ways, and behavior can differ considerably even between different species of Great Apes. Indeed, de Waal (2013)’s research on bonobos earned him considerable notoriety as he documented the species’ unique proclivity for indiscriminate sexual relations. Further, what may be instinctual in some species may be learned in others. Though research presented here illustrates that prosocial behavior among non-human primates is widespread, some studies suggest it is more likely to be expressed in certain ways. Silk (2007) notes that cooperative behavior is more likely to be exhibited between kin relations, though cooperation among nonkin is not infrequent. Brosnan’s (2011) theory of primate cooperation is that aversion to inequity is an evolutionary mechanism developed to promote successful long-term cooperative relationships among non-kin. Work in the biological sciences continues to investigate the root causes of behavioral similarities between humans and other primates.
Research with Babies and Children
Research with young children continues to affirm an aversion to inequality (Fehr and Rockenbach 2008; Gummerum et al. 2010; Rochat et al. 2009). Though 3 and 4 year olds often act selfishly, older children have been observed discarding a resource to avoid inequality (Shaw and Olson 2012), and weighing the relative worth of resources (Shaw and Olson 2013) and merit (Kanngiesser and Warneken 2012) to facilitate equitable distribution. Five to eight-year olds prefer to develop and follow impartial rules regarding resource allocation (Shaw and Olson 2013). Researchers continue to investigate the conditions under which behaviors demonstrating a desire for fairness and/or inequity aversion are most likely to be expressed. McAuliffe et al. (2013), for example, compared the rejection rates of unequal offers among children ages five through nine. Disadvantageous distributions were rejected at a higher rate when the larger amounts would go to a peer as opposed to simply not being allocated. Advantageous allocations were rejected almost exclusively in the social context, suggesting that social situations are an important stimulus in inequity aversion; particularly where one is advantaged over another person.