Hamann and Adolphs 1999 Normal Recognition of Emotional Similarity Between Facial Expressions Following Bilateral Amygdala Damage

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Neuropsychologia 37 (1999) 1135±1141

www.elsevier.com/locate/neuropsychologia

Normal recognition of emotional similarity between facial


expressions following bilateral amygdala damage
Stephan B. Hamann a,*, Ralph Adolphs b
a
Department of Psychology, Emory University, 532 North Kilgo Circle, Atlanta, GA 30322, USA
b
Department of Neurology, University of Iowa, College of Medicine, Iowa City, IA 52242, USA
Received 24 August 1998; accepted 4 February 1999

Abstract

Bilateral damage to the amygdala in humans has been previously linked to two de®cits in recognizing emotion in facial
expressions: recognition of individual basic emotions, especially fear, and recognition of similarity among emotional expressions.
Although several studies have examined recognition of individual emotions following amygdala damage, only one subject has
been examined on recognition of similarity. To assess the extent to which de®cits in recognizing similarity among facial
expressions might be a general consequence of amygdala damage, we examined this ability in two subjects with complete
bilateral amygdala damage. Both subjects had previously demonstrated entirely normal recognition of individual facial emotions.
Here we report that these two patients also are intact in their ability to recognize similarity between emotional expressions.
These results indicate that, like the recognition of individual basic emotions in facial expressions, the recognition of similarity
among emotional expressions does not have an absolute dependence on the amygdala. # 1999 Elsevier Science Ltd. All rights
reserved.

Keywords: Amygdala; Facial emotion; Expression; Similarity; Recognition

1. Introduction recognize similarity between di€erent facial expressions


of emotion that normal subjects rate as similar. When
Several recent neuropsychological studies have inves- shown two facial expressions and asked to rate their
tigated the role of the amygdala in the recognition of emotional similarity, S.M. gave abnormally low simi-
emotion in human facial expressions. The ®rst of these larity ratings to pairs of expressions that normal sub-
studies described patient S.M., a 30-year old female jects judge as similar, such as anger and disgust or fear
with nearly complete bilateral destruction of the amyg- and surprise. Further analysis indicated that S.M. gave
dala through calci®cation resulting from congenital abnormal similarity ratings because she could only
Urbach-Wiethe disease [2]. In that initial report, two recognize the most dominant or prototypical emotion
facial emotion processing de®cits were identi®ed in in each facial expression, in contrast to normal sub-
S.M. The ®rst was an impairment in recognizing jects who can recognize that a given facial expression
speci®c emotions in facial expressions, particularly can contain a blend of di€erent intensities of di€erent
fear. This de®cit was revealed by her inability to recog- emotions [17]. From these data, Adolphs et al. [2] con-
nize the emotion fear in a task that involved judging cluded that the amygdala may be indispensable to
the intensity of individual basic emotions in facial ex- recognizing individual basic emotions in facial ex-
pressions. The second de®cit involved the ability to pressions (especially fear) and in recognizing similarity
between di€erent facial expressions.
* Corresponding author. Tel.: +1-404-727-4261; fax: +1-404-727-
Following upon this initial report, several neuropsy-
0372. chological studies have investigated de®cits in recogniz-
E-mail address: shamann@emory.edu (S.B. Hamann) ing individual basic emotions in facial expressions in

0028-3932/99/$ - see front matter # 1999 Elsevier Science Ltd. All rights reserved.
PII: S 0 0 2 8 - 3 9 3 2 ( 9 9 ) 0 0 0 2 7 - 5
1136 S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141

patients with bilateral amygdala damage [4,6,22,23]. icits that S.M. previously exhibited are in fact separate.
These studies have generally supported the link Conversely, if both E.P. and G.T. can recognize simi-
between bilateral amygdala damage and facial emotion larity between emotional expressions normally, this
de®cits involving fear and other negative emotions, would indicate that the de®cit that S.M. exhibited in
although such de®cits are not invariably present [3,9]. this ability does not generalize to all cases of bilateral
Neuroimaging studies have also provided evidence that amygdala damage and would demonstrate that this
the amygdala has an important role in the perception ability does not have an absolute dependence on the
of fearful, angry, and happy facial expressions amygdala, paralleling the ®ndings of the previous
[4,12,13,21]. report that examined the ability of these two patients
In contrast to the extensive scrutiny that the relation to recognize speci®c emotions in facial expressions [9].
between amygdala damage and de®cits in recognizing
individual basic emotions in facial expressions has
received, however, no studies have investigated S.M.'s 2. Method
other de®cit, the inability to recognize similarity
between di€erent facial expressions of emotion. It is 2.1. Subjects
important to examine the nature of this de®cit further
in other patients with bilateral amygdala damage for Two males who survived herpes simplex encephalitis
two reasons. First, it is not known to what extent this (E.P. and G.T., aged 73 and 59 respectively) partici-
facial emotion de®cit is general to other cases of bilat- pated in the study. Both patients have complete bilat-
eral amygdala damage besides S.M. Secondly, it is eral lesions of the amygdala con®rmed by MRI, as
unclear whether the two facial emotion recognition described in previous case reports [2,18]. E.P.'s bilat-
de®cits that S.M. exhibited are separate or whether eral amygdala damage extends rostrally to the tem-
they simply re¯ect di€erent aspects of the same under- poral pole and caudally to include the hippocampal
lying de®cit. formation. There is also severe atrophy of the entorh-
The current study investigated these issues in two inal, perirhinal, and parahippocampal cortices. G.T.'s
postencephalitic patients, E.P. and G.T. [9], each of damage extends through the anterior 7.0 cm of the left
whom have complete bilateral amygdala lesions. We temporal lobe and through the anterior 5.0 cm of the
assessed the ability of E.P. and G.T. to recognize simi- right temporal lobe. The lesion includes bilaterally the
larity between emotional expressions using the same amygdaloid complex, hippocampus, entorhinal, peri-
task that Adolphs et al. [2] used previously with rhinal, and parahippocampal cortices as well as the in-
patient S.M. In addition to collecting these new data, ferior, middle, and superior temporal gyri. There is
we conducted a reanalysis of the raw facial emotion also bilateral damage in insular cortex, medial and
recognition data from a previous study with these orbital frontal cortex, and cingulate gyrus.
patients [9], using multidimensional scaling (MDS) Both patients are profoundly amnesic due to their
techniques to address the same issue in a di€erent way. medial temporal lobe damage but have IQ scores in
In an MDS plot, facial expressions of emotion that a the normal range (Wechsler Adult Intelligence Scale-
subject perceives as similar are represented as close Revised [19]; Verbal IQ=98 and 88, Performance
together, whereas expressions that are perceived as dis- IQ=111 and 99, Full Scale IQ=103 and 92, respect-
similar are represented as far apart. Patient S.M. ively). The severity of the amnesia is documented by
exhibited an abnormal MDS plot that indicated that their zero scores on several tests of anterograde amne-
she failed to perceive normally the similarity between sia [10,14,18]. Their mean scores were 106, 57, 66, 55,
di€erent facial expressions of emotion [2]. We com- and 53 on the ®ve indices of the Wechsler Memory
pared the MDS plots generated for E.P. and G.T. to Scale-Revised [20] (Attention-Concentration, Verbal
those obtained previously for S.M. and normal control Memory, Nonverbal Memory, General Memory, and
subjects to examine whether E.P. and G.T. would be Delayed Memory). These 5 indices yield means of 100
normal or abnormal on this additional measure. in the normal population (S.D.=15) and minimum
E.P. and G.T. are notable in that they have been scores of 50. E.P. and G.T. are also anomic (Boston
shown previously to exhibit normal recognition of Naming Test [11] score=42 and 18 out of 60, respect-
speci®c facial emotions, including fear, despite com- ively; normal score>50), and E.P. has some behavioral
plete bilateral lesions to the amygdala [9]. Thus, if E.P. evidence of frontal-lobe dysfunction.
and G.T. are impaired on recognizing similarity
between di€erent facial expressions, this would imply 2.2. Materials and procedure
both that the similarity-recognition de®cit is not
unique to S.M. and also that this ability is dissociable 2.2.1. Facial expression similarity task
from the ability to recognize speci®c emotions in facial The ability of E.P. and G.T. to recognize similarity
expressions, suggesting that the two facial emotion def- between facial expressions of emotion was assessed
S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141 1137

with the same task that Adolphs et al. [2] had used to
assess this ability with patient S.M. Twenty-one facial
expressions, depicting happy, surprised, afraid, angry,
disgusted, sad and neutral emotion (three of each
emotion) were each converted from the Ekman [7]
slide set into glossy 5  7 in black-and-white photo-
graphs and presented as pairs for subjects to rate for
similarity (see Appendix for a list of the speci®c stimuli
used).
For each pair, subjects directly judged the similarity
between the emotions expressed in each face using a 5-
point Likert-type rating scale. Presentation rate was
subject-paced, although subjects were encouraged to
make their rating as soon as they were sure of their re-
sponse. The rating scale was printed on a card that
was placed below the pair of photographs. At the top Fig. 1. Similarity ratings in the facial expression similarity task for
patients E.P. and G.T. (indicated by their initials) for facial ex-
of the card was printed the question, `How similar do
pression pairs in which the expressions depicted di€erent emotions.
you think these two people are feeling?' Below this Each category shows average similarity ratings of all 54 possible
question were the numbers 0±5 ordered from left to pairings of expressions (three expressions of the given emotion six
right. Short explanations were presented below each other emotions three expressions of each of these six emotions). All
number: `0: feeling completely the opposite emotion; 1: other data points are from Adolphs et al. [2]. Circles indicate the
performance of each of eight brain-damaged control subjects whose
not feeling the same emotion; 2: feeling maybe a little lesions spared the amygdala. The ®lled triangles indicate the per-
similar emotion; 3: feeling a similar emotion but not formance of patient S.M., who was tested twice.
the same one; 4: feeling the same emotion but not
equally strongly; 5: feeling identical (same degree of
the same emotion)'. The rating scale was thoroughly
explained to subjects, and subjects were frequently
reminded of the meaning and use of the scale during 2.2.2. Multidimensional scaling analysis
the procedure. Despite E.P. and G.T.'s profound To further explore whether E.P. and G.T. were nor-
amnesia, both patients could understand and use the mal in their ability to recognize similarity between
rating scale, albeit with frequent reference to the rating facial expressions of emotion, we performed a multidi-
card and frequent reminding from the experimenter. mensional scaling (MDS) analysis of the facial emotion
These patients have also demonstrated normal compre- intensity rating task data for these patients using the
hension and use of other, similar Likert-type rating raw data corresponding to the summary statistics pre-
scales [8,9]. viously reported in Hamann et al. [9]. This task
The following procedure was used to present the involves presentation of 39 facial expressions of
facial emotion photographs. On the ®rst trial, one emotion (six each of happy, surprised, afraid, angry,
photograph was selected randomly and placed either disgusted, or sad emotion plus three neutral faces) nine
to the left or right (randomly determined) of midline times. Each time the set of 39 facial expressions were
on the table in front of the subject. Each of the presented they were in a di€erent random order and
remaining photographs was then placed next to this were paired with a di€erent adjective (the emotional
photograph one at a time (on the other side of the adjectives happy, surprised, afraid, angry, disgusted,
midline), and then was removed after the subject made and sad in addition to the three non-emotional adjec-
a response. After all of the remaining photographs tives awake, sleepy, and interested). Subjects rated
were presented, the ®rst selected photograph was each face on a scale of 0±5 (0=not at all; 5=very
removed from the set and was not presented again. much) with respect to each adjective (the same adjec-
The order of the remaining photographs was then ran- tive for each block of 39 faces).
domized and the procedure was repeated with a new For each subject, rating pro®les for each of the 39
randomly selected card. This procedure was repeated expressions were correlated with one another. This cor-
until all photographs were exhausted. In this way, all relation matrix was used to compute non-metric MDS
possible pairwise combinations of these 21 facial ex- of dissimilarities in Euclidean 2-space with two algor-
pression photographs (210 total pairs, irrespective of ithms that yielded identical results. Similarity varied
left-right position) were presented as horizontally adja- with Euclidean distance as a smooth, nearly linear,
cent pairs, one pair at a time. monotonically decreasing function.
1138 S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141

In summary, G.T.'s overall performance was lower


than that of E.P. and lower than any individual con-
trol subject, but at the same time his performance was
much closer to being completely normal than was
S.M.'s.
Fig. 2 shows the results for the facial expression
similarity task for patients E.P. and G.T. for facial ex-
pression pairs in which the two faces depicted the
same emotion. Each category shows average similarity
ratings of all three possible pairings of the three facial
expressions depicting the same emotion. The data for
E.P. and G.T. are plotted against the data from
Adolphs et al. [2] in the same manner as in Fig. 1.
S.M. was not impaired in the ability to recognize simi-
larity between two faces depicting the same emotion, a
Fig. 2. Similarity ratings in the facial expression similarity task for task which requires only the ability to detect the most
patients E.P. and G.T. (indicated by their initials) for facial ex- prototypical emotion in a facial expression. E.P. and
pression pairs in which the expressions depicted the same emotion. G.T. showed normal performance on this task.
Each category shows average similarity ratings of all three possible
pairings of the three facial expressions depicting the same emotion.
All other data points are from Adolphs et al. [2]. Circles indicate the 3.2. Multidimensional scaling analysis
performance of each of eight brain-damaged control subjects whose
lesions spared the amygdala. The ®lled triangles indicate the per- Fig. 3 shows the MDS plots for the average of seven
formance of patient S.M., who was tested twice. normal controls (CON), G.T. (GT) and S.M. (SM).
For technical reasons related to the MDS procedure, a
3. Results valid MDS plot could not be computed for the data
from E.P. The nearly continuous circular ordering of
3.1. Facial expression similarity task emotional faces in the MDS plot for G.T. shows that
he perceived similarity between the emotional faces
Fig. 1 shows the results for the facial expression normally. For example, in both the CON and GT
similarity task for patients E.P. and G.T. for facial ex- plots, surprised and afraid faces were adjacent, indicat-
pression pairs in which the two faces depicted di€erent ing that they were perceived as being relatively similar.
emotions. Each category shows average similarity rat- The overall arrangement of emotions in the MDS
ings of all 54 possible pairings of expressions (three ex- plots for CON and GT was also similar to what has
pressions of the given emotion six other emotions been found in previous studies of judgments of
three expressions of each of these six emotions). The emotional facial expressions [16] and emotional words
data for E.P. and G.T. are plotted against the data [15]. In contrast, S.M.'s abnormal MDS plot showed
from Adolphs et al. [2] obtained using the same task clustering of the emotional faces into three discrete
(data are from two experiments with S.M. and one ex- groups. The gaps in S.M.'s MDS plots corresponded
periment with eight brain-damaged control subjects). to the endorsement of very low ratings when judging
Unlike control subjects, who perceived a moderate expressions of di€erent emotions on each other's adjec-
degree of similarity between faces expressing di€erent tives (e.g., how much fear is there in surprised ex-
emotions, S.M.'s ratings re¯ected a tendency not to pressions, and vice versa?), as illustrated quantitatively
endorse any emotions other than the protypical or in Fig. 1.
dominant ones depicted in a facial expression. In con-
trast, patient E.P. clearly exhibited normal perform-
ance on this task, giving similarity ratings in the upper 4. Discussion
range of control performance for every emotion cat-
egory. G.T.'s performance was also within the per- The results from both the facial emotion similarity
formance range of the control subjects for all facial task and the multidimensional scaling analysis of the
expression categories except two, happiness and fear. data from Hamann et al. [9] indicate that both E.P.
G.T.'s similarity ratings for these fell just outside the and G.T. can recognize similarity between facial ex-
range of control performance, and G.T.'s scores were pressions of emotion, despite complete bilateral loss of
also well above both of S.M.'s scores in the category the amygdala. For di€erent-emotion face pairs, E.P.
of fear. The one category in which G.T.'s performance gave similarity ratings that were clearly normal. G.T.'s
matched S.M.'s (happiness) was the one in which con- similarity ratings were near the lower range of control
trol subjects tended to give very low similarity ratings. performance but were clearly well above those of S.M.
S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141 1139

Fig. 3. Multidimensional scaling (MDS) of perceived similarity judgments of emotions expressed by faces. Each colored point represents one of
the 39 facial expressions which subjects rated. Euclidean distance between points corresponds to perceived dissimilarity between simuli.
CON=normal control subjects (N = 7); GT=patient G.T.; SM=patient S.M.. Data for CON and SM are from Adolphs et al. [2].

In contrast to G.T.'s borderline performance in the emotions can occur independently of the amygdala.
facial comparison task, his MDS plot clearly indicated Combined with the results of a previous study that
normal recognition of similarity between di€erent found E.P. and G.T. to be normal in recognizing indi-
facial expressions. Thus, G.T. also appears to be able vidual basic emotions in facial expression [9] the pre-
to recognize similarity between di€erent facial ex- sent ®ndings indicate that these two patients are intact
pressions normally. Patient S.M.'s facial emotion rec- on both of the facial recognition abilities that were
ognition de®cits on the same tasks examined here were found to be impaired in patient S.M. [2].
attributed to her selective bilateral amygdala lesions The question of why only some patients with bilat-
[2]. Because E.P. and G.T. also have complete bilateral eral amygdala damage exhibit particular facial emotion
amygdala lesions, the present results indicate that nor- recognition de®cits cannot be de®nitively answered
mal recognition of similarity between di€erent facial from the current data. However, the hypotheses which
1140 S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141

were advanced to answer this question in the context satisfactory as general explanations for the di€erences
of facial recognition of speci®c emotions [9] also among amygdala-lesioned patients in both recognizing
appear to be the most plausible explanations for the individual basic emotions and recognizing emotional
current results involving recognition of similarity similarity. A potentially important factor in explaining
between facial expressions of emotion. these between-subject di€erences is the frequent pre-
The ®rst possibility is that amygdala lesions lead to sence in these cases of varying degrees of brain damage
facial emotion recognition de®cits when such damage to areas outside of the amygdala [5,6,9]. Depending on
is sustained during development but not when it is sus- the speci®c areas a€ected, the e€ects of these ad-
tained in adulthood. These two patients E.P. and G.T. ditional lesions may either interact with the e€ects of
di€er from patient S.M. in several respects, but per- amygdala damage or may independently cause facial
haps the most important of these di€erences is the fact emotion recognition de®cits. Data from additional
that E.P. and G.T. both acquired their lesions in adult- selective cases of bilateral amygdala lesions will be
hood, after the age of 50, whereas the disease that needed to help resolve the issue of why only some
caused S.M.'s lesions was congenital. Abnormal devel- patients with bilateral amygdala damage exhibit par-
opment of facial recognition abilities may result in the ticular facial emotion recognition de®cits.
agenesis of the ability to recognize similarity between Because no dissociation was observed between the
facial expressions showing di€erent emotions and the ability to recognize individual basic emotions and the
related ability to recognize the presence of multiple ability to recognize similarity between di€erent
emotions in a single face. Alternately, some subjects emotions in the current study, the question of whether
may adopt strategies that allow brain regions other the de®cits observed in both of these abilities in S.M.
than the amygdala to mediate these facial recognition [2] are separate is still unresolved. Regardless of
abilities. Adolphs et al. [1] identi®ed speci®c cortical whether the de®cits are independent, however, it is im-
areas in the right hemisphere which participate in portant to note that these two de®cits may interact.
facial emotion recognition. Conceivably, after damage For example, inability to recognize emotions in an ex-
to the amygdala some subjects may continue to be pression other than the most intense or dominant one
able to recognize facial emotion using these intact cor- might exacerbate a speci®c fear recognition de®cit.
tical areas. Finally, other between-subject di€erences in This could occur if the fear recognition de®cit were to
IQ and other neuropsychological characteristics cannot reduce the perceived intensity of fear in fearful facial
be de®nitively excluded as possible contributing fac- expressions such that that fear became less intense
tors. For example, both E.P. and G.T. had higher IQ than other emotions that were also present (e.g., sur-
scores (102 and 92, respectively) than S.M. (86) which prise). In such a case, recognition of fear might be
may have facilitated their use of alternative facial entirely prevented because of masking by more domi-
emotion recognition strategies (Wechsler Adult nant emotions.
Intelligence Scale-Revised Full Scale IQ) [19]. Although G.T. was normal on the recognition of
Recently, other cases of bilateral amygdala damage facial similarity as assessed by the MDS analysis, he
have been reported which do not appear to support performed near the lower range of control perform-
either the developmental hypothesis or the hypothesis ance on the facial similarity recognition task. This dis-
involving between-subject di€erences in neuropsycho- crepancy may be related to di€erences in diculty
logical characteristics [5,6]. These cases involve patients between the two tasks. The facial similarity recognition
who sustained bilateral amygdala damage in adulthood task would appear to be a more dicult task that
who have de®cits in recognizing fear and other nega- could potentially reveal a more subtle de®cit in facial
tive emotions in facial expressions. Because their emotion recognition than the speci®c basic emotion
lesions were acquired after a normal course of cogni- recognition task that provided the data for the MDS
tive development and their neuropsychological pro®les analysis. In the facial similarity task, two di€erent ex-
(including IQ and other factors) overlap substantially pressions must be compared to judge their relative
with those of E.P. and G.T., neither of the hypotheses similarity with respect to multiple possible emotions.
involving these factors appear to be able to accommo- In contrast, the speci®c facial emotion recognition task
date these data. requires subjects to rate the intensity of one emotion
Importantly, however, these new cases with bilateral in a single facial expression. It remains possible, there-
amygdala damage [5,6] were not assessed on the ability fore, that on even more sensitive tests than those used
to recognize similarity between di€erent emotions. in the current study patient G.T. might have exhibited
Therefore, these cases are not directly relevant to the signi®cant impairments in facial emotion recognition.
issue of explaining between-subject di€erences in the However, there is no suggestion that this would have
ability to recognize emotional similarity. However, been the case for patient E.P., who was clearly normal
these cases do suggest that the developmental and neu- on the putatively more sensitive task.
ropsychological factors hypotheses are unlikely to be To our knowledge, with the exception of the current
S.B. Hamann, R. Adolphs / Neuropsychologia 37 (1999) 1135±1141 1141

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