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Nonverbal Communication Literature Review:
The Benefits of Smiling
Amy Alexander
SPCH 472
The Benefits of Smiling
Introduction
“Smile and the world smiles with you, cry and you cry alone” (West, 2003).
In the “fake it till you make it” code of hopeful country music stars, even pretending to smile or laugh has been shown to help those going through the loss of a loved one (Keltner & Bonnano, 1997). A study by Kraft and Pressman (2012) found that the “grin and bear it” proverb has value and that smiling through stressful situations can be beneficial even when it seems almost impossible or even, inappropriate. Of course the perfidious smile does little to inspire trust and can even put off some individuals (Bernstein, Young, Brown, Sacco, & Claypool, 2008) but sometimes one’s own well-being needs to come first.
The cheery optimists who are accused of wearing rose-colored glasses and exhibiting Pollyanna-like perceptions, those who smile at anything and everything, might just be on the fast track to a longer, happier and healthier life. Although a smile may seem relatively easy and effortless, there is much research supporting the theory that a simple smile is wonderfully complex in its overall benefits to one’s physiological, psychological, and social well-being.
The Physiological Benefits
We have all heard a photographer say “okay, everyone say cheese!” Parents and teachers tell their children to “turn that frown upside-down”. Those requests are mostly because the smile is seen as a reflection of positive emotions and shows each person in their best light. It turns out that there are many physiological benefits to smiling. Smiling slows the heart rate, relaxes the body and may temporarily reduce blood pressure, as well as reduce stress and boost the immune system (Zhivotovskaya, 2008). But can a smile make you feel better?
Brain Activity - From Negative to Positive
A 1997 study by Dacher Keltner and George Bonnano published in the Journal of Personality and Social Psychology speculated that positive emotions might actually be generated from smiling. They hypothesized that positive emotion, like smiling and laughter would destress and enhance social interactions, even when the subject was going through a difficult time such as the loss a loved one and was in deep mourning (Keltner & Bonnano, 1997). By attaching physiological sensors to test subjects, Keltner and Bonnano found that genuine smiling and even laughter elicited physiological responses supporting their theory that linked laughter and smiling to dissociation. Keltner and Bonnano provided several qualified cautions admitting that the study was correlational and limited in its study of underlying causes for the results.
This study, however, did reinforce the 1988 work of Dr. Robert W. Levenson from the UC, Berkeley and two 1993 studies, one by Willibald Ruch from the University of Düsseldorf and one by Glenn E. Weisfeld from Wayne State University. All three studies tied positive emotions to the canceling or reducing the effects of negative emotions (Levenson, 1988). Additionally, it was noted that positive emotions helped to relax the posture and respiration rates (Ruch, 1993) and activate neurotransmitters in the brain, stimulating feelings of well-being (Weisfeld, 1993). Both Ruch and Weisfeld theorized that even faking positive emotions can "undo" the physiological reactions of negative emotion. This research supported the hypothesis that positive emotions, even when faked, not only contribute to the ease of those who are nearby, but those disingenuous emotions might also be personally beneficial.
On the other hand, a 2007 study by Goldberg & Grandey found that fake smiling, such as in a customer service role where constant positive facial expressions are required, precipitated job burnout and increased employee errors. While a business whose motto is “service with a smile” might seem a good marketing ploy, if customer service agents make more errors and become burned out because of their jobs, it is unlikely that the customer they are serving will be very happy in the end.
In another study, the actual physical heart rate and reactions were studied in a comparison of positive and negative visual stimulus. Dr. Barbara Frederickson, professor in the Department of Psychology at the UNC at Chapel Hill teamed up with her mentor, Dr. Robert Levenson, Professor of Psychology at UC Berkeley. Together they hypothesized that post-situational negative emotions were no match for the healing power of positive emotions and came up with a plan to test their theory (Fredrickson & Levenson, 1998). First they had their subjects watch a heart-pounding scary video clip. Then they split the subjects into two groups and had the one group watch a sad/neutral video clip and had the other group watch a positive/uplifting video clip. They found that heart rates calmed much faster in those who watched the soothing clips than in the subjects that watched the sad and neutral clips (Fredrickson & Levenson, 1998). Additionally, they also found that the subjects who smiled, even briefly, while watching the neutral/sad clips calmed much quicker than those who did not smile indicating that even if the smile was almost indecipherable, it appeared to have a positive effect. By monitoring cardiovascular activity and facial movement, they interpreted the results to mean that the effects of positive emotions (in this case smiling) expedite physiological recovery from stressful or negative emotions. In simpler terms, it is much like a parent who tries to comfort a heartbroken or scared child with the guidance to “think happy thoughts”.
Cognition – Putting Positivity to Work
“Happy thoughts” are beneficial in other situations too. Any elementary school teacher will tell you that children who are grumpy do not learn as well as those who are cheerful. Negative attitudes reduce motivation and the ability to focus. Conversely, positive attitudes and emotions enable the brain to more efficiently process information and generate solutions, not to mention the increased possibility of others wanting to work with a person who displays these emotions (Isen, 1987).
In a 2010 study, Kareem J. Johnson of Temple University, Christian E. Waugh of Stanford University and Barbara L. Fredrickson of UNC Chapel Hill expanded on some of Frederickson’s early work. They theorized that increasing positive facial emotions (smiling) can increase cognition. In order to test their hypothesis, Johnson, Waugh and Frederickson inspired thoughts of positive emotion in 62 test subjects, monitored their smiles with facial EMGs and measured their attention flexibility. The results appeared to show a strong link between those subjects who displayed a genuine, eye crinkling smile with a definable increase in cognition. The results suggested that those who are able to find reasons within their life to express genuine positive emotions would likely experience expanded cognitive abilities.
The study by Johnson, Waugh and Frederickson appears to dispute the assertions of a research prospectus written by Dr. Robert Levenson in 1998 that was published as a chapter in Social Psychophysiology and Emotion: Theory and Clinical Applications (edited by Hugh Wagner). Dr. Levenson questioned whether different emotions corresponded to independent nervous system feedback and purported that while autonomic nervous system responses are definitive, he did not believe that emotions would influence cognition (Levenson, 1998, p.39).
Despite a couple conflicting studies, there appears to be ample observations throughout the last 30+ years to support the theory that smiling and positive emotions do have an impact on one’s physiological health. Even if the evidence was 50/50, it would seem prudent to err on the side of positivity and find a reason to smile.
The Psychological Benefits
Do we laugh because we are happy or are we happy because we laugh? Complementing the physiological benefits of displaying positive facial expressions, there also appear to be psychological benefits. It is has been said that “stress kills”. When one is stressed, the sympathetic nervous system takes control triggering the “fight or flight” reaction embedded in our brains from long ago. Muscles tense, the heart pounds and adrenaline courses through our system. Unlike our ancestors who were fighting off lions and tigers and bears (oh my!), the vast majority of stressors these days are psychological. Stresses from careers, financial obligations, familial and relationship commitments all weigh heavily on our mind. Several studies have related cardiovascular issues to negative emotions in both primates and humans (Kaplan, Manuck, Williams, & Strawn, 1993; Barnett, Spense, Manuck, & Jennings, 1996). However, positive emotions initiate the production of endorphins. Endorphins contact and collaborate with opiate receptors in your brain, helping one to relax and destress. Interestingly, those receptors also minimize the feeling of pain. Therefore, it could be alleged that a smile is a Tylenol that is always within reach.
Depression – Activate your Dopamine
Wenyi Lin, Jing Hu and Yanfei Gong of the East China Normal University hypothesized that instigating smiles in their 11 research subjects would have a positive influence on the subject’s emotional state. In addition, they observed and recorded the difference in reactions in emotional status by categorizing what they referred to as general smiles (those that do not engage the eyes) vs a genuine smile. They found that induced general smiles (physical manipulated facial configuration into a smile without the positive emotion) did in fact have an effect on dopamine activity. They measured dopamine activity again with genuine smiles (without manipulation). They theorized that smiling, even manipulated smiles could help those experiencing minor depression, for example, in those who were depressed due to dwelling on their mistakes. Most interesting though, is that there appeared to be no statistical difference in dopamine activity between the “general” and “genuine” smiles. It should be noted that the findings may be due to the limited number of subjects in the study. Lin, Hu and Gong found that the observations in this study mirror the findings in many other studies inspiring much hope for future treatment of depression without the use of SSRI and psychotropic medications.
One of the stronger studies reviewing smiling (or the lack there of) and the propensity for depression was performed by VanSwearingen, Cohn and Bajaj-Luthra (1999). They hypothesized that patients who had facial paralysis and could not form a smile were at an increased risk for depression and monitored 29 patients. The researchers found that specific impairment of smiling muscles (vs other areas of facial paralysis) were a key factor in observed and self-reported depression in the patients who were monitored (VanSwearingen, Cohn, & Bajaj-Luthra, 1999, p. 416). While recovery of injuries and physical ability to lead an independent life is important, emotional well-being is too. The observations from this study illustrated that the physical ability to smile may be directly linked to one’s mental health and it would seem that this subject should be researched further in order to better treat those who have suffered strokes or other facial paralysis.
Mood – Smile your way to Happy
Not all of the philosophy regarding the benefits of smiling comes from researchers in the social science field. Emiliya Zhivotovskaya, who has Masters in Applied Positive Psychology from the University of Pennsylvania, is the founder of Flourish; a company that combines Eastern philosophy with Western medicine to help people ascertain what works for their personal mental well-being. She teaches that when one uses the muscles that are linked to specific emotions, a body will react as if one is experiencing that emotion. She recommends smiling, even if you are depressed and not feeling positive. Once again, the suggestion is that even pretending to be happy can actually help to reduce negative emotions (Zhivotovskaya, 2008). Instead of a cup of coffee, may be smiling is the best way to start the day.
According to research by Keltner and Bonnano, that could work. They hypothesized that one might be able to smile themselves into a good mood. Those who use humor and have a positive outlook may be able to recover faster from negative events. Keltner and Bonnano (1997) found that participants who smiled reported significantly lesser amounts of anxiety and fear. This mirrors the work of Silvan Tomkins 1984 work published as Chapter 7: Affect Theory in Approaches to Emotion (edited by Ekman and Scherer). Those who naturally smile more were able to bounce back from stressful events better than those who do lean toward a more negative natural state (Keltner & Bonnano, 1997). Although there are many who have suffered through things that are unimaginable, there is also much research that supporting the benefits of smiling for the long term.
Harker and Keltner hypothesized that the intensity of the smile in a senior yearbook photograph would predict that student’s future life positive or negative trajectory (2001, p. 114). Their study suggested that the smile in the yearbook photo represented that person’s personality and their propensity toward positive emotions. After following the students for 30 years, they we found their initial assessments of the yearbook photo smiles correlated to stability, marital satisfaction and personal well-being (Harker & Keltner, 2001, p. 122). This is not completely surprising. A positive attitude goes a long way but for those who have suffered losses or trauma at a young age – showing up in a yearbook photo as a perceived “negative personality trait”, finding that positivity might be next to impossible.
If finding positivity could be life changing, it would absolutely be worth the effort. Johnson, Waugh and Fredrickson (2010) conducted a series of experiments on over 100 participants reviewing genuine and non-genuine smiles and the smile’s effect on those participants and did not find that induced smiles have a substantial affect. They expected to see a large impact on the mood of their subjects, especially those displaying genuine smiles. Although they did find that there were increases in positive emotion using a differential emotions scale, it was nowhere near the benefit they thought they would find to substantiate the theory that frequent positive facial emotions improve mood.
It is very interesting that the studies involving a larger number of participants, like that of Johnson, Waugh and Frederickson compared to those with a smaller number of participants like Lin, Hu and Gong tend not to find as dramatic results as expected. While it appears that there is justification to hope for a non-pharmaceutical treatment to depression and mood disorders, continued research should be conducted on larger participant groups in order to even out some of the skewing that one or two individuals can cause in a smaller subject set.
The Social Benefits
While there are certainly arguments as to the physiological and psychological benefits of smiling, the greatest benefit might just be in what a great smile can do for social networking. Smiles are pervasive in American society. We smile when we are happy to see someone. We smile in gratitude and when complementing someone. It is not overreaching to say that we often judge and are judged by our smile. While the origins of the oft spoken quote “you never get a second chance to make a first impression” are unclear, its wisdom is long-standing. According to a survey conducted on behalf of the American Academy of Cosmetic Dentistry, almost half (48%) of those surveyed consider a smile as the most memorable component of a first impression, ranking far above the verbal interaction (25%), clothing (9%) and smell (8%) (Salemi, 2013). When one is picking out an outfit for an important meeting or an interview, a genuine smile should be the first thing to put on.
Mimicry – Service with a Smile
Have you ever caught yourself watching a movie and making the same facial expression as the character you are watching? If not, pay closer attention to your facial expressions or maybe watch others in the room with you. Dr. Ursula Hess and Dr. Slyvie Blairy conducted a study that studied emotion contagion and mimicry (2001). They found that when the subjects in their study watched video clips, those subjects mimicked the emotional expressions of the actors on the clip they were watching (Hess & Blairy, 2001). This subject has been studied by others (Barger & Grandy, 2006; Pugh, 2001; Tsai & Huang, 2002) with much the same results. When someone smiles at you, we have been taught it is polite to smile back – but when one is watching a movie, there is no requirement for manners. It is almost instinctual. Although, as was discussed earlier in a study by Goldberg & Grandey (2007), a fake smile (as in a customer service role) is draining on the person who is required to smile, it is still instinctive to smile back. A positive mood, even when faked, is more likely to result in a positive response and, of course, that leads to social acceptance.
Appearance – Smile off the Years
There are volumes of research linking the positive perceptions that are deduced from a mere smile. People who smile are described as being friendlier and more honest (Tsai & Huang, 2002). People who are smiling appear trustworthy (Harker & Keltner, 2001), more credible (Keltner & Bonanno, 1997) and of course, more attractive (Wang, He & Liu, 2015). There is a reason for this. According to a study published in Neuropsychologia, just looking at an attractive face stimulates the sensory reward center of the brain’s frontal cortex (O’Doherty, Winston, Critchley, Perrett, Burt & Dolan, 2003). The easiest way to appear more attractive is to smile. According to Wang, He and Liu’s 2015 research, a genuine smile consistently and overwhelming reduced the perceived age of the smiler over four different studies and gauging five different levels of smile from neutral to maximal smile. Between the four studies, there were almost 1000 undergraduates with ages ranging from 18 to 61 and in all four, estimated ages were reduced in direct proportion to the intensity of the subject’s smile (Wang, He & Liu, 2015). Interestingly, the age estimates for the neutral smile were found to be the closest to the actual age of the subject (Wang, He & Liu, 2015). A smile may be the quickest, least painful and most cost effective facelift on the market.
Conclusion
There are clearly an overwhelming number of studies on the very simple act of smiling. This paper did not even begin to scratch the surface or delve into the some of the physical aspects or the categorical differences in the types of smiles. The subject is vast and intriguing and although it seems like everything that could be studied has been, it is clear there is much more to do, clarify and reinforce.
One of the glaring variables in the dozens of studies reviewed for this paper was the number of the participants in the research groups. Many of the studies employed very small groups (a clear weakness) and as a result, one single participant’s input may have skewed the findings of the study. In order to assess a theory effectively, studies need to be able to be duplicated and the many variables controlled to the extent possible (future research). A number of the studies reinforced previous work and there were surprisingly very few contradictory findings (clear strengths in the research).
It appears that some of the studies of smiling intentionally overlook or ignore the personal awareness factor (a weakness). In order to support any hypothesis of the effects of smiling (or the lack of effect), it would be prudent to consider the impact of self-perception and self-reporting when ranking data (future studies should address this weakness). Several of the studies relied heavily on the opinions of the participants and while this is unavoidable, repetition under different variables (days of the week; weather conditions; morning or evening; and with female participants, at different points in their menstrual cycle) would help to eliminate external factors when reviewing data and summarizing for conclusions. While environmental variables are unlikely to impact the social perceptions of smiling, those variables should be considered when studying physiological or psychological concentrations in future research.
In conclusion, the information gleaned from studies on the benefits of smiling is vast…enough so that it is easy to make an argument regarding the positive dividends rewarded from a simple, innate gesture.
“Sometimes your joy is the source of your smile,
but sometimes your smile can be the source of your joy.”
– Thich Nhất Hanh
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