Francis Bacon (1561—1626)
Sir Francis Bacon (later Lord Verulam and the Viscount St. Albans) was an English lawyer, statesman, essayist, historian, intellectual reformer, philosopher, and champion of modern science. Early in his career he claimed “all knowledge as his province” and afterwards dedicated himself to a wholesale revaluation and re-structuring of traditional learning. To take the place of the established tradition (a miscellany of Scholasticism, humanism, and natural magic), he proposed an entirely new system based on empirical and inductive principles and the active development of new arts and inventions, a system whose ultimate goal would be the production of practical knowledge for “the use and benefit of men” and the relief of the human condition.
At the same time that he was founding and promoting this new project for the advancement of learning, Bacon was also moving up the ladder of state service. His career aspirations had been largely disappointed under Elizabeth I, but with the ascension of James his political fortunes rose. Knighted in 1603, he was then steadily promoted to a series of offices, including Solicitor General (1607), Attorney General (1613), and eventually Lord Chancellor (1618). While serving as Chancellor, he was indicted on charges of bribery and forced to leave public office. He then retired to his estate where he devoted himself full time to his continuing literary, scientific, and philosophical work. He died in 1626, leaving behind a cultural legacy that, for better or worse, includes most of the foundation for the triumph of technology and for the modern world as we currently know it.
Table of Contents
- Life and Political Career
- Thought and Writings
- Literary Works
- The New Atlantis
- Scientific and Philosophical Works
- The Great Instauration
- The Advancement of Learning
- The “Distempers” of Learning
- The Idea of Progress
- The Reclassification of Knowledge
- The New Organon
- The Idols
- Reputation and Cultural Legacy
- References and Further Reading
1. Life and Political Career
Sir Francis Bacon (later Lord Verulam, the Viscount St. Albans, and Lord Chancellor of England) was born in London in 1561 to a prominent and well-connected family. His parents were Sir Nicholas Bacon, the Lord Keeper of the Seal, and Lady Anne Cooke, daughter of Sir Anthony Cooke, a knight and one-time tutor to the royal family. Lady Anne was a learned woman in her own right, having acquired Greek and Latin as well as Italian and French. She was a sister-in-law both to Sir Thomas Hoby, the esteemed English translator of Castiglione, and to Sir William Cecil (later Lord Burghley), Lord Treasurer, chief counselor to Elizabeth I, and from 1572-1598 the most powerful man in England.
Bacon was educated at home at the family estate at Gorhambury in Herfordshire. In 1573, at the age of just twelve, he entered Trinity College, Cambridge, where the stodgy Scholastic curriculum triggered his lifelong opposition to Aristotelianism (though not to the works of Aristotle himself).
In 1576 Bacon began reading law at Gray’s Inn. Yet only a year later he interrupted his studies in order to take a position in the diplomatic service in France as an assistant to the ambassador. In 1579, while he was still in France, his father died, leaving him (as the second son of a second marriage and the youngest of six heirs) virtually without support. With no position, no land, no income, and no immediate prospects, he returned to England and resumed the study of law.
Bacon completed his law degree in 1582, and in 1588 he was named lecturer in legal studies at Gray’s Inn. In the meantime, he was elected to Parliament in 1584 as a member for Melcombe in Dorsetshire. He would remain in Parliament as a representative for various constituencies for the next 36 years.
In 1593 his blunt criticism of a new tax levy resulted in an unfortunate setback to his career expectations, the Queen taking personal offense at his opposition. Any hopes he had of becoming Attorney General or Solicitor General during her reign were dashed, though Elizabeth eventually relented to the extent of appointing Bacon her Extraordinary Counsel in 1596.
It was around this time that Bacon entered the service of Robert Devereux, the Earl of Essex, a dashing courtier, soldier, plotter of intrigue, and sometime favorite of the Queen. No doubt Bacon viewed Essex as a rising star and a figure who could provide a much-needed boost to his own sagging career. Unfortunately, it was not long before Essex’s own fortunes plummeted following a series of military and political blunders culminating in a disastrous coup attempt. When the coup plot failed, Devereux was arrested, tried, and eventually executed, with Bacon, in his capacity as Queen’s Counsel, playing a vital role in the prosecution of the case.
In 1603, James I succeeded Elizabeth, and Bacon’s prospects for advancement dramatically improved. After being knighted by the king, he swiftly ascended the ladder of state and from 1604-1618 filled a succession of high-profile advisory positions:
- 1604 – Appointed King’s Counsel.
- 1607 – Named Solicitor General.
- 1608 – Appointed Clerk of the Star Chamber.
- 1613 – Appointed Attorney General.
- 1616 – Made a member of the Privy Council.
- 1617 – Appointed Lord Keeper of the Royal Seal (his father’s former office).
- 1618 – Made Lord Chancellor.
As Lord Chancellor, Bacon wielded a degree of power and influence that he could only have imagined as a young lawyer seeking preferment. Yet it was at this point, while he stood at the very pinnacle of success, that he suffered his great Fall. In 1621 he was arrested and charged with bribery. After pleading guilty, he was heavily fined and sentenced to a prison term in the Tower of London. Although the fine was later waived and Bacon spent only four days in the Tower, he was never allowed to sit in Parliament or hold political office again.
The entire episode was a terrible disgrace for Bacon personally and a stigma that would cling to and injure his reputation for years to come. As various chroniclers of the case have pointed out, the accepting of gifts from suppliants in a law suit was a common practice in Bacon’s day, and it is also true that Bacon ended up judging against the two petitioners who had offered the fateful bribes. Yet the damage was done, and Bacon to his credit accepted the judgment against him without excuse. According to his own Essayes, or Counsels, he should have known and done better. (In this respect it is worth noting that during his forced retirement, Bacon revised and republished the Essayes, injecting an even greater degree of shrewdness into a collection already notable for its worldliness and keen political sense.) Macaulay in a lengthy essay declared Bacon a great intellect but (borrowing a phrase from Bacon’s own letters) a “most dishonest man,” and more than one writer has characterized him as cold, calculating, and arrogant. Yet whatever his flaws, even his enemies conceded that during his trial he accepted his punishment nobly, and moved on.
Bacon spent his remaining years working with renewed determination on his lifelong project: the reform of learning and the establishment of an intellectual community dedicated to the discovery of scientific knowledge for the “use and benefit of men.” The former Lord Chancellor died on 9 April, 1626, supposedly of a cold or pneumonia contracted while testing his theory of the preservative and insulating properties of snow.
2. Thought and Writings
In a way Bacon’s descent from political power was a fortunate fall, for it represented a liberation from the bondage of public life resulting in a remarkable final burst of literary and scientific activity. As Renaissance scholar and Bacon expert Brian Vickers has reminded us, Bacon’s earlier works, impressive as they are, were essentially products of his “spare time.” It was only during his last five years that he was able to concentrate exclusively on writing and produce, in addition to a handful of minor pieces:
- Two substantial volumes of history and biography, The History of the Reign of King Henry the Seventh and The History of the Reign of King Henry the Eighth.
- De Augmentis Scientiarum (an expanded Latin version of his earlier Advancement of Learning).
- The final 1625 edition of his Essayes, or Counsels.
- The remarkable Sylva Sylvarum, or A Natural History in Ten Centuries (a curious hodge-podge of scientific experiments, personal observations, speculations, ancient teachings, and analytical discussions on topics ranging from the causes of hiccups to explanations for the shortage of rain in Egypt). Artificially divided into ten “centuries” (that is, ten chapters, each consisting of one hundred items), the work was apparently intended to be included in Part Three of the Magna Instauratio.
- His utopian science-fiction novel The New Atlantis, which was published in unfinished form a year after his death.
- Various parts of his unfinished magnum opus Magna Instauratio (or Great Instauration), including a “Natural History of Winds” and a “Natural History of Life and Death.”
These late productions represented the capstone of a writing career that spanned more than four decades and encompassed virtually an entire curriculum of literary, scientific, and philosophical studies.
a. Literary Works
Despite the fanatical claims (and very un-Baconian credulity) of a few admirers, it is a virtual certainty that Bacon did not write the works traditionally attributed to William Shakespeare. Even so, the Lord Chancellor’s high place in the history of English literature as well as his influential role in the development of English prose style remain well-established and secure. Indeed even if Bacon had produced nothing else but his masterful Essayes (first published in 1597 and then revised and expanded in 1612 and 1625), he would still rate among the top echelon of 17th-century English authors. And so when we take into account his other writings, e.g., his histories, letters, and especially his major philosophical and scientific works, we must surely place him in the first rank of English literature’s great men of letters and among its finest masters (alongside names like Johnson, Mill, Carlyle, and Ruskin) of non-fiction prose.
Bacon’s style, though elegant, is by no means as simple as it seems or as it is often described. In fact it is actually a fairly complex affair that achieves its air of ease and clarity more through its balanced cadences, natural metaphors, and carefully arranged symmetries than through the use of plain words, commonplace ideas, and straightforward syntax. (In this connection it is noteworthy that in the revised versions of the essays Bacon seems to have deliberately disrupted many of his earlier balanced effects to produce a style that is actually more jagged and, in effect, more challenging to the casual reader.)
Furthermore, just as Bacon’s personal style and living habits were prone to extravagance and never particularly austere, so in his writing he was never quite able to resist the occasional grand word, magniloquent phrase, or orotund effect. (As Dr. Johnson observed, “A dictionary of the English language might be compiled from Bacon’s works alone.”) Bishop Sprat in his 1667 History of the Royal Society honored Bacon and praised the society membership for supposedly eschewing fine words and fancy metaphors and adhering instead to a natural lucidity and “mathematical plainness.” To write in such a way, Sprat suggested, was to follow true, scientific, Baconian principles. And while Bacon himself often expressed similar sentiments (praising blunt expression while condemning the seductions of figurative language), a reader would be hard pressed to find many examples of such spare technique in Bacon’s own writings. Of Bacon’s contemporary readers, at least one took exception to the view that his writing represented a perfect model of plain language and transparent meaning. After perusing the New Organon, King James (to whom Bacon had proudly dedicated the volume) reportedly pronounced the work “like the peace of God, which passeth all understanding.”
b. The New Atlantis
As a work of narrative fiction, Bacon’s novel New Atlantis may be classified as a literary rather than a scientific (or philosophical) work, though it effectively belongs to both categories. According to Bacon’s amanuensis and first biographer William Rawley, the novel represents the first part (showing the design of a great college or institute devoted to the interpretation of nature) of what was to have been a longer and more detailed project (depicting the entire legal structure and political organization of an ideal commonwealth). The work thus stands in the great tradition of the utopian-philosophical novel that stretches from Plato and More to Huxley and Skinner.
The thin plot or fable is little more than a fictional shell to contain the real meat of Bacon’s story: the elaborate description of Salomon’s House (also known as the College of the Six Days Works), a centrally organized research facility where specially trained teams of investigators collect data, conduct experiments, and (most importantly from Bacon’s point of view) apply the knowledge they gain to produce “things of use and practice for man’s life.” These new arts and inventions they eventually share with the outside world.
In terms of its sci-fi adventure elements, the New Atlantis is about as exciting as a government or university re-organization plan. But in terms of its historical impact, the novel has proven to be nothing less than revolutionary, having served not only as an effective inspiration and model for the British Royal Society, but also as an early blueprint and prophecy of the modern research center and international scientific community.
c. Scientific and Philosophical Works
It is never easy to summarize the thought of a prolific and wide-ranging philosopher. Yet Bacon somewhat simplifies the task by his own helpful habits of systematic classification and catchy mnemonic labeling. (Thus, for example, there are three “distempers” – or diseases – of learning,” eleven errors or “peccant humours,” four “Idols,” three primary mental faculties and categories of knowledge, etc.) In effect, by following Bacon’s own methods it is possible to produce a convenient outline or overview of his main scientific and philosophical ideas.
d. The Great Instauration
As early as 1592, in a famous letter to his uncle, Lord Burghley, Bacon declared “all knowledge” to be his province and vowed his personal commitment to a plan for the full-scale rehabilitation and reorganization of learning. In effect, he dedicated himself to a long-term project of intellectual reform, and the balance of his career can be viewed as a continuing effort to make good on that pledge. In 1620, while he was still at the peak of his political success, he published the preliminary description and plan for an enormous work that would fully answer to his earlier declared ambitions. The work, dedicated to James, was to be called Magna Instauratio (that is, the “grand edifice” or Great Instauration), and it would represent a kind of summa or culmination of all Bacon’s thought on subjects ranging from logic and epistemology to practical science (or what in Bacon’s day was called “natural philosophy,” the word science being then but a general synonym for “wisdom” or “learning”).
Like several of Bacon’s projects, the Instauratio in its contemplated form was never finished. Of the intended six parts, only the first two were completed, while the other portions were only partly finished or barely begun. Consequently, the work as we have it is less like the vast but well-sculpted monument that Bacon envisioned than a kind of philosophical miscellany or grab-bag. Part I of the project, De Dignitate et Augmentis Scientiarum (“Nine Books of the Dignity and Advancement of Learning”), was published in 1623. It is basically an enlarged version of the earlier Proficience and Advancement of Learning, which Bacon had presented to James in 1605. Part II, the Novum Organum (or “New Organon”) provides the author’s detailed explanation and demonstration of the correct procedure for interpreting nature. It first appeared in 1620. Together these two works present the essential elements of Bacon’s philosophy, including most of the major ideas and principles that we have come to associate with the terms “Baconian” and “Baconianism.”
e. The Advancement of Learning
Relatively early in his career Bacon judged that, owing mainly to an undue reverence for the past (as well as to an excessive absorption in cultural vanities and frivolities), the intellectual life of Europe had reached a kind of impasse or standstill. Yet he believed there was a way beyond this stagnation if persons of learning, armed with new methods and insights, would simply open their eyes and minds to the world around them. This at any rate was the basic argument of his seminal 1605 treatise The Proficience and Advancement of Learning, arguably the first important philosophical work to be published in English.
It is in this work that Bacon sketched out the main themes and ideas that he continued to refine and develop throughout his career, beginning with the notion that there are clear obstacles to or diseases of learning that must be avoided or purged before further progress is possible.
f. The “Distempers” of Learning
“There be therefore chiefly three vanities in studies, whereby learning hath been most traduced.” Thus Bacon, in the first book of the Advancement. He goes on to refer to these vanities as the three “distempers” of learning and identifies them (in his characteristically memorable fashion) as “fantastical learning,” “contentious learning,” and “delicate learning” (alternatively identified as “vain imaginations,” “vain altercations,” and “vain affectations”).
By fantastical learning (“vain imaginations”) Bacon had in mind what we would today call pseudo-science: i.e., a collection of ideas that lack any real or substantial foundation, that are professed mainly by occultists and charlatans, that are carefully shielded from outside criticism, and that are offered largely to an audience of credulous true believers. In Bacon’s day such “imaginative science” was familiar in the form of astrology, natural magic, and alchemy.
By contentious learning (“vain altercations”) Bacon was referring mainly to Aristotelian philosophy and theology and especially to the Scholastic tradition of logical hair-splitting and metaphysical quibbling. But the phrase applies to any intellectual endeavor in which the principal aim is not new knowledge or deeper understanding but endless debate cherished for its own sake.
Delicate learning (“vain affectations”) was Bacon’s label for the new humanism insofar as (in his view) it seemed concerned not with the actual recovery of ancient texts or the retrieval of past knowledge but merely with the revival of Ciceronian rhetorical embellishments and the reproduction of classical prose style. Such preoccupation with “words more than matter,” with “choiceness of phrase” and the “sweet falling of clauses” – in short, with style over substance – seemed to Bacon (a careful stylist in his own right) the most seductive and decadent literary vice of his age.
Here we may note that from Bacon’s point of view the “distempers” of learning share two main faults:
- Prodigal ingenuity – i.e., each distemper represents a lavish and regrettable waste of talent, as inventive minds that might be employed in more productive pursuits exhaust their energy on trivial or puerile enterprises instead.
- Sterile results – i.e., instead of contributing to the discovery of new knowledge (and thus to a practical “advancement of learning” and eventually to a better life for all), the distempers of learning are essentially exercises in personal vainglory that aim at little more than idle theorizing or the preservation of older forms of knowledge.
In short, in Bacon’s view the distempers impede genuine intellectual progress by beguiling talented thinkers into fruitless, illusory, or purely self-serving ventures. What is needed – and this is a theme reiterated in all his later writings on learning and human progress – is a program to re-channel that same creative energy into socially useful new discoveries.
g. The Idea of Progress
Though it is hard to pinpoint the birth of an idea, for all intents and purposes the modern idea of technological “progress” (in the sense of a steady, cumulative, historical advance in applied scientific knowledge) began with Bacon’s The Advancement of Learning and became fully articulated in his later works.
Knowledge is power, and when embodied in the form of new technical inventions and mechanical discoveries it is the force that drives history – this was Bacon’s key insight. In many respects this idea was his single greatest invention, and it is all the more remarkable for its having been conceived and promoted at a time when most English and European intellectuals were either reverencing the literary and philosophical achievements of the past or deploring the numerous signs of modern degradation and decline. Indeed, while Bacon was preaching progress and declaring a brave new dawn of scientific advance, many of his colleagues were persuaded that the world was at best creaking along towards a state of senile immobility and eventual darkness. “Our age is iron, and rusty too,” wrote John Donne, contemplating the signs of universal decay in a poem published six years after Bacon’s Advancement.
That history might in fact be progressive, i.e., an onward and upward ascent – and not, as Aristotle had taught, merely cyclical or, as cultural pessimists from Hesiod to Spengler have supposed, a descending or retrograde movement, became for Bacon an article of secular faith which he propounded with evangelical force and a sense of mission. In the Advancement, the idea is offered tentatively, as a kind of hopeful hypothesis. But in later works such as the New Organon, it becomes almost a promised destiny: Enlightenment and a better world, Bacon insists, lie within our power; they require only the cooperation of learned citizens and the active development of the arts and sciences.
h. The Reclassification of Knowledge
In Book II of De Dignitate (his expanded version of the Advancement) Bacon outlines his scheme for a new division of human knowledge into three primary categories: History, Poesy, and Philosophy (which he associates respectively with the three fundamental “faculties” of mind – memory, imagination, and reason). Although the exact motive behind this reclassification remains unclear, one of its main consequences seems unmistakable: it effectively promotes philosophy – and especially Baconian science – above the other two branches of knowledge, in essence defining history as the mere accumulation of brute facts, while reducing art and imaginative literature to the even more marginal status of “feigned history.”
Evidently Bacon believed that in order for a genuine advancement of learning to occur, the prestige of philosophy (and particularly natural philosophy) had to be elevated, while that of history and literature (in a word, humanism) needed to be reduced. Bacon’s scheme effectively accomplishes this by making history (the domain of fact, i.e., of everything that has happened) a virtual sub-species of philosophy (the domain of realistic possibility, i.e., of everything that can theoretically or actually occur). Meanwhile, poesy (the domain of everything that is imaginable or conceivable) is set off to the side as a mere illustrative vehicle. In essence, it becomes simply a means of recreating actual scenes or events from the past (as in history plays or heroic poetry) or of allegorizing or dramatizing new ideas or future possibilities (as in Bacon’s own interesting example of “parabolic poesy,” the New Atlantis.)
i. The New Organon
To the second part of his Great Instauration Bacon gave the title New Organon (or “True Directions concerning the Interpretation of Nature”). The Greek word organon means “instrument” or “tool,” and Bacon clearly felt he was supplying a new instrument for guiding and correcting the mind in its quest for a true understanding of nature. The title also glances at Aristotle’s Organon (a collection that includes his Categories and his Prior and Posterior Analytics) and thus suggests a “new instrument” destined to transcend or replace the older, no longer serviceable one. (This notion of surpassing ancient authority is aptly illustrated on the frontispiece of the 1620 volume containing the New Organon by a ship boldly sailing beyond the mythical pillars of Hercules, which supposedly marked the end of the known world.)
The New Organon is presented not in the form of a treatise or methodical demonstration but as a series of aphorisms, a technique that Bacon came to favor as less legislative and dogmatic and more in the true spirit of scientific experiment and critical inquiry. Combined with his gift for illustrative metaphor and symbol, the aphoristic style makes the New Organon in many places the most readable and literary of all Bacon’s scientific and philosophical works.
j. The Idols
In Book I of the New Organon (Aphorisms 39-68), Bacon introduces his famous doctrine of the “idols.” These are characteristic errors, natural tendencies, or defects that beset the mind and prevent it from achieving a full and accurate understanding of nature. Bacon points out that recognizing and counteracting the idols is as important to the study of nature as the recognition and refutation of bad arguments is to logic. Incidentally, he uses the word “idol” – from the Greek eidolon (“image” or “phantom”) – not in the sense of a false god or heathen deity but rather in the sense employed in Epicurean physics. Thus a Baconian idol is a potential deception or source of misunderstanding, especially one that clouds or confuses our knowledge of external reality.
Bacon identifies four different classes of idol. Each arises from a different source, and each presents its own special hazards and difficulties.
1. The Idols of the Tribe.
These are the natural weaknesses and tendencies common to human nature. Because they are innate, they cannot be completely eliminated, but only recognized and compensated for. Some of Bacon’s examples are:
- Our senses – which are inherently dull and easily deceivable. (Which is why Bacon prescribes instruments and strict investigative methods to correct them.)
- Our tendency to discern (or even impose) more order in phenomena than is actually there. As Bacon points out, we are apt to find similitude where there is actually singularity, regularity where there is actually randomness, etc.
- Our tendency towards “wishful thinking.” According to Bacon, we have a natural inclination to accept, believe, and even prove what we would prefer to be true.
- Our tendency to rush to conclusions and make premature judgments (instead of gradually and painstakingly accumulating evidence).
2. The Idols of the Cave.
Unlike the idols of the tribe, which are common to all human beings, those of the cave vary from individual to individual. They arise, that is to say, not from nature but from culture and thus reflect the peculiar distortions, prejudices, and beliefs that we are all subject to owing to our different family backgrounds, childhood experiences, education, training, gender, religion, social class, etc. Examples include:
- Special allegiance to a particular discipline or theory.
- High esteem for a few select authorities.
- A “cookie-cutter” mentality – that is, a tendency to reduce or confine phenomena within the terms of our own narrow training or discipline.
3. The Idols of the Market Place.
These are hindrances to clear thinking that arise, Bacon says, from the “intercourse and association of men with each other.” The main culprit here is language, though not just common speech, but also (and perhaps particularly) the special discourses, vocabularies, and jargons of various academic communities and disciplines. He points out that “the idols imposed by words on the understanding are of two kinds”: “they are either names of things that do not exist” (e.g., the crystalline spheres of Aristotelian cosmology) or faulty, vague, or misleading names for things that do exist (according to Bacon, abstract qualities and value terms – e.g., “moist,” “useful,” etc. – can be a particular source of confusion).
4. The Idols of the Theatre.
Like the idols of the cave, those of the theatre are culturally acquired rather than innate. And although the metaphor of a theatre suggests an artificial imitation of truth, as in drama or fiction, Bacon makes it clear that these idols derive mainly from grand schemes or systems of philosophy – and especially from three particular types of philosophy:
- Sophistical Philosophy – that is, philosophical systems based only on a few casually observed instances (or on no experimental evidence at all) and thus constructed mainly out of abstract argument and speculation. Bacon cites Scholasticism as a conspicuous example.
- Empirical Philosophy – that is, a philosophical system ultimately based on a single key insight (or on a very narrow base of research), which is then erected into a model or paradigm to explain phenomena of all kinds. Bacon cites the example of William Gilbert, whose experiments with the lodestone persuaded him that magnetism operated as the hidden force behind virtually all earthly phenomena.
- Superstitious Philosophy – this is Bacon’s phrase for any system of thought that mixes theology and philosophy. He cites Pythagoras and Plato as guilty of this practice, but also points his finger at pious contemporary efforts, similar to those of Creationists today, to found systems of natural philosophy on Genesis or the book of Job.
At the beginning of the Magna Instauratio and in Book II of the New Organon, Bacon introduces his system of “true and perfect Induction,” which he proposes as the essential foundation of scientific method and a necessary tool for the proper interpretation of nature. (This system was to have been more fully explained and demonstrated in Part IV of the Instauratio in a section titled “The Ladder of the Intellect,” but unfortunately the work never got beyond an introduction.)
According to Bacon, his system differs not only from the deductive logic and mania for syllogisms of the Schoolmen, but also from the classic induction of Aristotle and other logicians. As Bacon explains it, classic induction proceeds “at once from . . . sense and particulars up to the most general propositions” and then works backward (via deduction) to arrive at intermediate propositions. Thus, for example, from a few observations one might conclude (via induction) that “all new cars are shiny.” One would then be entitled to proceed backward from this general axiom to deduce such middle-level axioms as “all new Lexuses are shiny,” “all new Jeeps are shiny,” etc. – axioms that presumably would not need to be verified empirically since their truth would be logically guaranteed as long as the original generalization (“all new cars are shiny”) is true.
As Bacon rightly points out, one problem with this procedure is that if the general axioms prove false, all the intermediate axioms may be false as well. All it takes is one contradictory instance (in this case one new car with a dull finish) and “the whole edifice tumbles.” For this reason Bacon prescribes a different path. His method is to proceed “regularly and gradually from one axiom to another, so that the most general are not reached till the last.” In other words, each axiom – i.e., each step up “the ladder of intellect” – is thoroughly tested by observation and experimentation before the next step is taken. In effect, each confirmed axiom becomes a foothold to a higher truth, with the most general axioms representing the last stage of the process.
Thus, in the example described, the Baconian investigator would be obliged to examine a full inventory of new Chevrolets, Lexuses, Jeeps, etc., before reaching any conclusions about new cars in general. And while Bacon admits that such a method can be laborious, he argues that it eventually produces a stable edifice of knowledge instead of a rickety structure that collapses with the appearance of a single disconfirming instance. (Indeed, according to Bacon, when one follows his inductive procedure, a negative instance actually becomes something to be welcomed rather than feared. For instead of threatening an entire assembly, the discovery of a false generalization actually saves the investigator the trouble of having to proceed further in a particular direction or line of inquiry. Meanwhile the structure of truth that he has already built remains intact.)
Is Bacon’s system, then, a sound and reliable procedure, a strong ladder leading from carefully observed particulars to true and “inevitable” conclusions? Although he himself firmly believed in the utility and overall superiority of his method, many of his commentators and critics have had doubts. For one thing, it is not clear that the Baconian procedure, taken by itself, leads conclusively to any general propositions, much less to scientific principles or theoretical statements that we can accept as universally true. For at what point is the Baconian investigator willing to make the leap from observed particulars to abstract generalizations? After a dozen instances? A thousand? The fact is, Bacon’s method provides nothing to guide the investigator in this determination other than sheer instinct or professional judgment, and thus the tendency is for the investigation of particulars – the steady observation and collection of data – to go on continuously, and in effect endlessly.
One can thus easily imagine a scenario in which the piling up of instances becomes not just the initial stage in a process, but the very essence of the process itself; in effect, a zealous foraging after facts (in the New Organon Bacon famously compares the ideal Baconian researcher to a busy bee) becomes not only a means to knowledge, but an activity vigorously pursued for its own sake. Every scientist and academic person knows how tempting it is to put off the hard work of imaginative thinking in order to continue doing some form of rote research. Every investigator knows how easy it is to become wrapped up in data – with the unhappy result that one’s intended ascent up the Baconian ladder gets stuck in mundane matters of fact and never quite gets off the ground.
It was no doubt considerations like these that prompted the English physician (and neo-Aristotelian) William Harvey, of circulation-of-the-blood fame, to quip that Bacon wrote of natural philosophy “like a Lord Chancellor” – indeed like a politician or legislator rather than a practitioner. The assessment is just to the extent that Bacon in the New Organon does indeed prescribe a new and extremely rigid procedure for the investigation of nature rather than describe the more or less instinctive and improvisational – and by no means exclusively empirical – method that Kepler, Galileo, Harvey himself, and other working scientists were actually employing. In fact, other than Tycho Brahe, the Danish astronomer who, overseeing a team of assistants, faithfully observed and then painstakingly recorded entire volumes of astronomical data in tidy, systematically arranged tables, it is doubtful that there is another major figure in the history of science who can be legitimately termed an authentic, true-blooded Baconian. (Darwin, it is true, claimed that The Origin of Species was based on “Baconian principles.” However, it is one thing to collect instances in order to compare species and show a relationship among them; it is quite another to theorize a mechanism, namely evolution by mutation and natural selection, that elegantly and powerfully explains their entire history and variety.)
Science, that is to say, does not, and has probably never advanced according to the strict, gradual, ever-plodding method of Baconian observation and induction. It proceeds instead by unpredictable – and often intuitive and even (though Bacon would cringe at the word) imaginative – leaps and bounds. Kepler used Tycho’s scrupulously gathered data to support his own heart-felt and even occult belief that the movements of celestial bodies are regular and symmetrical, composing a true harmony of the spheres. Galileo tossed unequal weights from the Leaning Tower as a mere public demonstration of the fact (contrary to Aristotle) that they would fall at the same rate. He had long before satisfied himself that this would happen via the very un-Bacon-like method of mathematical reasoning and deductive thought-experiment. Harvey, by a similar process of quantitative analysis and deductive logic, knew that the blood must circulate, and it was only to provide proof of this fact that he set himself the secondary task of amassing empirical evidence and establishing the actual method by which it did so.
One could enumerate – in true Baconian fashion – a host of further instances. But the point is already made: advances in scientific knowledge have not been achieved for the most part via Baconian induction (which amounts to a kind of systematic and exhaustive survey of nature supposedly leading to ultimate insights) but rather by shrewd hints and guesses – in a word by hypotheses – that are then either corroborated or (in Karl Popper’s important term) falsified by subsequent research.
In summary, then, it can be said that Bacon underestimated the role of imagination and hypothesis (and overestimated the value of minute observation and bee-like data collection) in the production of new scientific knowledge. And in this respect it is true that he wrote of science like a Lord Chancellor, regally proclaiming the benefits of his own new and supposedly foolproof technique instead of recognizing and adapting procedures that had already been tested and approved. On the other hand, it must be added that Bacon did not present himself (or his method) as the final authority on the investigation of nature or, for that matter, on any other topic or issue relating to the advance of knowledge. By his own admission, he was but the Buccinator, or “trumpeter,” of such a revolutionary advance – not the founder or builder of a vast new system, but only the herald or announcing messenger of a new world to come.
3. Reputation and Cultural Legacy
If anyone deserves the title “universal genius” or “Renaissance man” (accolades traditionally reserved for those who make significant, original contributions to more than one professional discipline or area of learning), Bacon clearly merits the designation. Like Leonardo and Goethe, he produced important work in both the arts and sciences. Like Cicero, Marcus Aurelius, Benjamin Franklin, and Thomas Jefferson, he combined wide and ample intellectual and literary interests (from practical rhetoric and the study of nature to moral philosophy and educational reform) with a substantial political career. Like his near contemporary Machiavelli, he excelled in a variety of literary genres – from learned treatises to light entertainments – though, also like the great Florentine writer, he thought of himself mainly as a political statesman and practical visionary: a man whose primary goal was less to obtain literary laurels for himself than to mold the agendas and guide the policy decisions of powerful nobles and heads of state.
In our own era Bacon would be acclaimed as a “public intellectual,” though his personal record of service and authorship would certainly dwarf the achievements of most academic and political leaders today. Like nearly all public figures, he was controversial. His chaplain and first biographer William Rawley declared him “the glory of his age and nation” and portrayed him as an angel of enlightenment and social vision. His admirers in the Royal Society (an organization that traced its own inspiration and lineage to the Lord Chancellor’s writings) viewed him as nothing less than the daring originator of a new intellectual era. The poet Abraham Cowley called him a “Moses” and portrayed him as an exalted leader who virtually all by himself had set learning on a bold, firm, and entirely new path:
Bacon at last, a mighty Man, arose
Whom a wise King and Nature chose
Lord Chancellour of both their Lawes. . . .
The barren Wilderness he past,
Did on the very Border stand
Of the great promis’d Land,
And from the Mountains Top of his Exalted Wit,
Saw it himself and shew’d us it. . . .
Similarly adulatory if more prosaic assessments were offered by learned contemporaries or near contemporaries from Descartes and Gassendi to Robert Hooke and Robert Boyle. Leibniz was particularly generous and observed that, compared to Bacon’s philosophical range and lofty vision, even a great genius like Descartes “creeps on the ground.” On the other hand, Spinoza, another close contemporary, dismissed Bacon’s work (especially his inductive theories) completely and in effect denied that the supposedly grand philosophical revolution decreed by Bacon, and welcomed by his partisans, had ever occurred.
The response of the later Enlightenment was similarly divided, with a majority of thinkers lavishly praising Bacon while a dissenting minority castigated or even ridiculed him. The French encyclopedists Jean d’Alembert and Denis Diderot sounded the keynote of this 18th-century re-assessment, essentially hailing Bacon as a founding father of the modern era and emblazoning his name on the front page of the Encyclopedia. In a similar gesture, Kant dedicated his Critique of Pure Reason to Bacon and likewise saluted him as an early architect of modernity. Hegel, on the other hand, took a dimmer view. In his “Lectures on the History of Philosophy” he congratulated Bacon on his worldly sophistication and shrewdness of mind, but ultimately judged him to be a person of depraved character and a mere “coiner of mottoes.” In his view, the Lord Chancellor was a decidedly low-minded (read typically English and utilitarian) philosopher whose instruction was fit mainly for “civil servants and shopkeepers.”
Probably the fullest and most perceptive Enlightenment account of Bacon’s achievement and place in history was Voltaire’s laudatory essay in his Letters on the English. After referring to Bacon as the father of experimental philosophy, he went on to assess his literary merits, judging him to be an elegant, instructive, and witty writer, though too much given to “fustian.”
Bacon’s reputation and legacy remain controversial even today. While no historian of science or philosophy doubts his immense importance both as a proselytizer on behalf of the empirical method and as an advocate of sweeping intellectual reform, opinion varies widely as to the actual social value and moral significance of the ideas that he represented and effectively bequeathed to us. The issue basically comes down to one’s estimate of or sympathy for the entire Enlightenment/Utilitarian project. Those who for the most part share Bacon’s view that nature exists mainly for human use and benefit, and who furthermore endorse his opinion that scientific inquiry should aim first and foremost at the amelioration of the human condition and the “relief of man’s estate,” generally applaud him as a great social visionary. On the other hand, those who view nature as an entity in its own right, a higher-order estate of which the human community is only a part, tend to perceive him as a kind of arch-villain – the evil originator of the idea of science as the instrument of global imperialism and technological conquest.
On the one side, then, we have figures like the anthropologist and science writer Loren Eiseley, who portrays Bacon (whom he calls “the man who saw through time”) as a kind of Promethean culture hero. He praises Bacon as the great inventor of the idea of science as both a communal enterprise and a practical discipline in the service of humanity. On the other side, we have writers, from Theodor Adorno, Max Horkheimer, and Lewis Mumford to, more recently, Jeremy Rifkin and eco-feminist Carolyn Merchant, who have represented him as one of the main culprits behind what they perceive as western science’s continuing legacy of alienation, exploitation, and ecological oppression.
Clearly somewhere in between this ardent Baconolotry on the one hand and strident demonization of Bacon on the other lies the real Lord Chancellor: a Colossus with feet of clay. He was by no means a great system-builder (indeed his Magna Instauratio turned out to be less of a “grand edifice” than a magnificent heap) but rather, as he more modestly portrayed himself, a great spokesman for the reform of learning and a champion of modern science. In the end we can say that he was one of the giant figures of intellectual history – and as brilliant, and flawed, a philosopher as he was a statesman.
4. References and Further Reading
Note: The standard edition of Bacon’s Works and Letters and Life is still that of James Spedding, et. al., (14 volumes, London, 1857- 1874), also available in a facsimile reprint (Stuttgart, 1989).
- Adorno, Theodor and Max Horkheimer. The Dialectic of Enlightenment. 1944.
- Anderson, F. H. Francis Bacon: His Career and His Thought. Los Angeles: University of Southern California Press, 1962.
- Bury, J.B. The Idea of Progress. London: MacMillan, 1920.
- Eiseley, Loren. The Man Who Saw Through Time. New York: Scribners, 1973.
- Fish, Stanley E. “The Experience of Bacon’s Essays.” In Self-Consuming Artifacts. Berkeley, CA: University of California Press, 1972.
- Gaukroger, Stephen. Francis Bacon and the Transformation of Early-modern Philosophy. Cambridge, U.K. ; New York : Cambridge University Press, 2001.
- Merchant, Carolyn. The Death of Nature: Women, Ecology, and the Scientific Revolution. San Francisco: Harper and Row, 1980.
- Mumford, Lewis. Technics and Civilization. 1934.
- Lampert, Laurence. Nietzsche and Modern Times : A Study of Bacon, Descartes, and Nietzsche. New Haven, Conn.: Yale University Press, 1993.
- Rifkin, Jeremy. Biosphere Politics. New York: Crown, 1991.
- Rossi, Paolo. Francis Bacon: from Magic to Science. Trans. Sacha Rabinovitch. Chicago: University of Chicago Press, 1968.
- Vickers, Brian. Francis Bacon. Harlow, UK: Longman Group, 1978.
- Vickers, Brian, Ed. Francis Bacon. New York : Oxford University Press, 1996.
- Whitney, Charles. Francis Bacon and Modernity. New Haven, CN: Yale University Press, 1986.
U. S. A.
The “Visual Shock” of Francis Bacon: an essay in neuroesthetics
Semir Zeki* and Tomohiro Ishizu
Wellcome Laboratory of Neurobiology, Cell and Developmental Biology, University College London, London, UK
Edited by: Daniel S. Margulies, Max Planck Institute for Human Cognitive and Brain Sciences, Germany
Reviewed by: Beatrice De Gelder, Louvain University, Belgium; Oliver Braddick, University of Oxford, UK
*Correspondence: Semir Zeki, Wellcome Laboratory of Neurobiology, Cell and Developmental Biology, University College London, Darwin Building, Gower Street, London WC1E 6BT, UK e-mail: firstname.lastname@example.org; email@example.com
This article was submitted to the journal Frontiers in Human Neuroscience.
Author information ►Article notes ►Copyright and License information ►
Received 2013 Sep 10; Accepted 2013 Nov 21.
Copyright © 2013 Zeki and Ishizu.
This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.
In this paper we discuss the work of Francis Bacon in the context of his declared aim of giving a “visual shock.”We explore what this means in terms of brain activity and what insights into the brain's visual perceptive system his work gives. We do so especially with reference to the representation of faces and bodies in the human visual brain. We discuss the evidence that shows that both these categories of stimuli have a very privileged status in visual perception, compared to the perception of other stimuli, including man-made artifacts such as houses, chairs, and cars. We show that viewing stimuli that depart significantly from a normal representation of faces and bodies entails a significant difference in the pattern of brain activation. We argue that Bacon succeeded in delivering his “visual shock” because he subverted the normal neural representation of faces and bodies, without at the same time subverting the representation of man-made artifacts.
Keywords: face perception, body perception, Francis Bacon, neuroesthetics, face and body deformation
Neuroesthetics seeks inspiration and insight from works of art and from debates in the humanities to try to gain some insights, however small, into the workings of the brain. The present article, on the work of the British painter Francis Bacon, is written in the pursuit of that aim. The article does not delve into the artistic merits of Bacon's works, which lies more in the province of art criticism; it does not discuss the artistic influences that shaped Bacon's art, which belongs more properly to art history; nor does it consider, except in a marginal sense, the influence of Bacon's up-bringing and sexual orientation on his art, which would trespass into psycho-analytic studies. Instead, concentrating above all on his artistic output as well as on statements about his work from him and others, we try to ask how what his declared aim, of trying to give “a visual shock,” amounts to in neural terms and what insights into brain organization the resultant work gives.
A visual shock
Bacon, whose first US exhibition was described in Time (October 19, 1953) as a “chamber of horrors” filled with paintings that are “snapshots from hell,” told Melvyn Bragg (1985) on the South Bank Show that he wanted to give a “shock… not a shock that you could get from the story [but] a visual shock.” He apparently succeeded in doing so, not only when he first began to produce his work but even today. In the late 1940s, when he first began to exhibit, a critic wrote in The Observer that Bacon's paintings “… horrifying though they” are also technically superb, making one “… regret the more that the artist should have been brought to subjects so esoteric” (quoted in Peppiatt, 1996, p 156), while the correspondent of The Times thought the subject of his pictures to be “so extremely repellent” as to make his paintings “as vivid and as meaningless as a nightmare,” lamenting that Bacon should have used his considerable powers of imagination and pictorial skill to produce something “which it is impossible not to think worse than nonsense, as Head II, which appears to be a mutilated corpse, most certainly is” (Peppiatt, 1996, p 156). Nor are such comments restricted to the early phase of Bacon's output; they persist until the 1990s, well after he had acquired world-wide fame. This suggests that the passage of time did not diminish the intensity of the visual shock that he intended to produce, either in the average viewer or among those more knowledgeable about art. The reaction of the average viewer is perhaps best summed up by Margaret Thatcher (1992), who described him as “that man who paints those dreadful pictures.” This view is not too distant from those expressed in even more powerful adjectives by more learned critics, Margaret Walters (Cork, 1985) describing his work as, “daemonic, hysterical, monstrous” and Peter Fuller describing him as an “evil genius” whose images were “odious” (Brighton, 2001). As recently as 2012 he was described in The Guardian as creating “a monstrous, surreal imaginative world of enclosed rooms and private hells” (Jones, 2012). Such adjectives leave little doubt that he had succeeded in producing an enduring shock, even in the same viewer.
The conceptual framework within which Bacon worked is relatively easy to establish and of importance to our argument. It is significant that, like many other great artists, he destroyed many of his paintings, claiming that he had usually destroyed the better ones (Sylvester, 1963). He was always trying, he said, to paint the one perfect image which, he claimed, he had never succeeded in achieving. Thus, by his own account, all these paintings were a journey toward the representation, in a single perfect image that was never achieved, of a concept in his mind. He claimed to have had a concept in mind before starting work on a painting but that, once he started, the painting changed unpredictably and by accidents, but accidents “out of which [the artist] chooses the marks which he wants to leave” (Jebb, 1965) (that is, those marks that correspond best to his concept), which for him were “forms that relate to the human image but are a complete distortion of it” for only then could one get “to the reality behind the image” (Sylvester, 1963). From those “accidents” he thus chose what came closest to representing his concept.
Bacon's overall concept
What was the overall concept in his mind? It is useful to begin by making a distinction between inherited and acquired brain concepts (Zeki, 2008). One of the primordial functions of the brain is to acquire knowledge, and it does so through inherited and acquired concepts. Faces and bodies are examples of the former and there is reasonable evidence to suggest that the recognition of faces and bodies, though not of their identity, is at least facilitated through inherited concepts that are present at birth (Zeki, 2008) (see section The Privileged Status of Faces and Bodies in Visual Perception). Inherited concepts are robust, stable and do not change with time or do so insignificantly; crucially, they are common to all humans, except in relatively rare pathological conditions, of which acquired prosopagnosia is especially noteworthy in this context (see section Prosopagnosia or Facial Imperception). Certain configurations and relationships are critical for recognition of faces and bodies as normal ones. By contrast, acquired concepts to which that of houses, cars and other human artifacts and situations belong, are malleable and change with time and acquired experience and are culture dependent. At any given moment, therefore, they are the synthesis of all previous experiences of the same category of object or situation. (Zeki, 2008).
Bacon said that he tried to represent “concentrations of reality” (Bragg, 1985). We may surmise from his work that one such “concentration of reality” (which we equate with acquired concepts) behind the images that he produced was that of alienation, a situation in which he commonly found himself and apparently saw in others. The sense of alienation may have been the result of his own tastes which, during much of his lifetime, were regarded by Church, state and society as an evil which should carry a deep sense of guilt. According to Andrew Brighton (2001), Bacon found inspiration in the writings of Count Joseph de Maistre, an 18th century French philosopher who had emphasized universal guilt derived from Original Sin and the Fall. Thus, the lonely, alienated, figures in Bacon's paintings (and most of his paintings contain single figures, some two, rarely more) were part of mankind, bearing a guilt common to all even if differing in detail and traceable to different sources, allowing Bacon to believe that he was depicting a universal message, that of pain. For Bacon, “nearly all reality is pain” and he thought that, when we look at his paintings, we are looking at the real world: “What could I make,” he asked, “to compete with what goes on every single day… except that I may have tried to make images of it; I have tried to re-create it and make, not the horror, but… images of realism” (Bragg, 1985).
The means that Bacon employed to project his acquired concept in his paintings was to subvert the brain's inherited concepts of what bodies and faces should look like. Thus, in addition to the lonely figures, he made use of mutilated and savaged faces and bodies, often in combination. This enabled him, in his own words, to hit “the nervous system more violently and poignantly” and thus get to the reality behind the image (Sylvester, 1963). He was looking, it seems, for something primitive and instantaneous, divorced as much as possible from the cognitive element and presumably from cultural context as well, for by concentrating on deformed faces and bodies he was working outside any social and cultural context and within one that most, irrespective of race or culture, would respond to, even if only negatively. Faces and bodies occupy a very privileged position in visual perception, and indeed their recognition may be due to inherited brain concepts. Objects do not share that same privileged position and hence their distortions would not produce the same visual shock or, if they do, they become rapidly adapted to, unlike distorted faces and bodies (Chen and Zeki, 2011). Bacon, on whom Picasso was a leading influence, thus violated and subverted deliberately the brain template for registering faces and bodies, leading to an almost universal experience of his portraits and bodies as disturbing. By contrast, Picasso's Cubist work is not as disturbing, partly because many of his portraits do not disfigure or mutiliate faces or distort the relationship between their components as violently as Bacon; disfigurations are minimal and maintain significant parts of the relationships between components intact, even when presenting, or attempting to present, different views on the same canvas. The adjectives describing Bacon's work, which are peppered throughout this article, testify that few, if any, have qualified these works as beautiful, even if they consider them to have considerable artistic merit; almost all find them disturbing. These disfigured and mutilated faces and bodies are usually set against neutral backgrounds or anonymous spaces containing few objects—chairs, tables, light bulbs, cars—which, by contrast, are not in any way deformed. He seems to have had a marked preference for faces even in other artists' work; for example, he preferred the portraits of both Picasso and Giacometti to their other work (Archimbaud, 1992).
That Bacon should have concentrated almost exclusively on distorted human bodies and faces to produce an immediate emotional impact on the nervous system, before things got “spelled out” in the brain (Peppiatt, 1996), invites enquiry into what is so special about the neural representation of faces and bodies, which they do not share with other everyday objects. One question we therefore address is whether there is any neurological basis for this violent, primitive and instantaneous assault, an assault that lies beyond reasoning. It was always Bacon's intent not to appeal to reason or even to thinking. The paintings, stripped of any associations, contained the message and his concept, but otherwise had no story to tell for, as he said, “once an image could be explained… it was worthless,” adding that, “After all, if you could explain it, why would you go to the trouble of painting it” (Peppiatt, 1996, p. 117); in his paintings, he was presenting, he said, “nothing except what people wanted to read into it” (Bragg, 1985). The central argument in this essay, which we develop below, is therefore that Bacon was trying, in his work, to project his acquired concept of pain and alienation and horror by subverting, as far as is possible, the brain's inherited concepts of face and body; that, in other words, he was trying to use an inherited brain concept to project his own acquired concept.
To achieve his overall concept in paintings, that of depicting realism by subverting the brain's inherited concepts, Bacon worked from memory and from photographs but frequented establishments such as the Colony Club in London, where people, as he told Melvyn Bragg (1985), were completely dis-inhibited and not on their guard, so that he could study them in the raw, as it were. As well, he was fascinated with movement, especially as portrayed in Edweard Muybridge's chronophotography of the movement of deformed animals as well as in the “Extraordinary photographs of animals taken out just before they were slaughtered” (Sylvester, 1963). This obsession with deformity and violence extended to his literary tastes. One of his favorite literary sources was the Oresteia by Aeschylus. It was, he said, “the most blood-bathed tragedy that exists, with almost nothing but blood from beginning to end” and yet, “The reek of human blood smiles out at me” was a favorite passage of his from the play (Peppiatt, 1996, p 111). The preoccupation with deformity, violence and violent distortions, indeed with representing violence (for almost all his paintings suggest that a violence has been done to the subject) may have been the result of several factors: the violence he received from his father, to whom he was sexually attracted, the “neurosis” of the century in which he lived and his experiences as an orderly during the Second World War, his own taste for violence even in sex, which he considered to be a violent act. Whatever the cause, he was partial to portraying the human condition by representing violence, for he considered the whole of life—from birth to death—to be violent.
We first address the question of whether faces and bodies occupy a privileged position in visual perception because of inherited brain concepts regulating their recognition, one not shared by objects and, next, whether distortion of faces and bodies influences the neural response more than distortion of objects and man-made artifacts. The relevance of discussing this in the context of this article is our belief that inherited brain concepts, such as configurations that qualify a stimulus as a face or body, are much more susceptible to the effects of distortion than acquired ones, to which houses, cars and man-made objects in general belong (Zeki, 2008; Chen and Zeki, 2011), and that Bacon consistently achieved his effects by distorting inherited brain concepts of face and body and sparing the objects, which are more resistant to distortion.
Faces and bodies
Faces in general occupy a very privileged position in visual perception, as do bodies. This is not surprising, given their importance in obtaining knowledge about an individual, their emotional status at any given moment and their identity. The literature on the topic of face perception is now quite voluminous, and the one on body perception tending in that direction. We do not provide an exhaustive review here but distil from it those points that are especially relevant for discussing Bacon's “visual shock” and its enduring effect, in terms of that privileged position.
The privileged status of faces and bodies in visual perception
Reflecting their significance for acquiring knowledge, special areas of the brain appear to be critical for the recognition of faces and bodies, although whether these areas are uniquely specialized for faces or bodies has been debated (Haxby et al., 2001) as has the question of whether there is an inherited neural template for facial recognition, some considering that it is more a matter of expertise derived from intimate contact and experience (Gauthier and Nelson, 2001; Bilalic et al., 2011). Whichever view turns out to be correct, there is common agreement that the areas enumerated below are strongly activated by faces. Among these are (i) an area located in the fusiform gyrus and known as the fusiform face area (FFA) (Sergent et al., 1992; Kanwisher et al., 1997; Kanwisher and Yovel, 2006) (Figure 1B), damage to which leads to the syndrome of prosopagnosia or an incapacity to recognize familiar faces (Damasio et al., 1982, for a review). We note in passing that the FFA is also activated by faces viewed from different angles (e.g., Pourtois et al., 2005) and by animal faces (Maguire et al., 2001), both common in Bacon's work. (ii) an area located in the inferior lateral occipital gyrus and known as the occipital face area (OFA) (Peelen and Downing, 2007; Pitcher et al., 2011) and (iii) a third area, located in the superior temporal sulcus, which appears to be involved in the recognition of changing facial features and expressions (Haxby et al., 2000; Kanwisher and Yovel, 2006), thus emphasizing the importance of the face as a means of obtaining knowledge about a person's emotional status. These areas respond better to faces and give weaker or no responses when the faces are scrambled so as to contain all the elements but arranged in a way that is different and does not lead to recognition of a face (Kanwisher et al., 1997). This in itself, at a very elementary level, implies that there must be certain configurations of a stimulus if it is to lead to activity in areas critical for the recognition of faces. The privileged status of face perception is further emphasized by the very rapid activation of OFA, at 60–100 ms after stimulus onset (Pitcher et al., 2007).
(A) shows some of the classical visual areas on a surface drawing of the brain, while (B) shows the areas that are critical for face and body recognition. The position of these areas is approximate.
That there is a privileged mechanism that favors the early recognition of faces and bodies is further supported by evidence which shows that the face and body recognition systems are not only very robust but also very exigent in their demands for activation. For example, the negative EEG potential at 170 ms (which refers to a negative deflection, N170, of occipito-temporal origin, occurring at about 170 ms after presentation of the stimulus, and is larger in amplitude to faces and bodies than to objects) is demanding as to the correct configuration of the face since mis-aligning the two halves of a face delays and increases it specifically for upright faces, much less so for inverted ones (Ishizu et al., 2008). Here it is interesting to note that many, if not most, of Bacon's portraits can arguably be said to be misaligned in one way or another (see Figure 2). One may surmise from this that a stimulus such as that of Figure 2 would equally delay and increase the 170 ms deflection, in other words signal an abnormal configuration by leading to a modified pattern of neural responses.
Francis Bacon—Self Portrait, 1969, an example of a mis-aligned face. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The N170 component is also enhanced and delayed when the stimuli are those of inverted bodies (Stekelenburg and de Gelder, 2004; Minnebusch et al., 2008), thus suggesting an interaction between separate representation of faces and bodies, since images of human bodies themselves elicit a negative peak at 190 ms which differs in spatial distribution (Thierry et al., 2006; Ishizu et al., 2010); how a mutilated head sitting on a mutilated body, as is common in Bacon's work, would affect neural responses is not known, the effects of distortion having been studied in relation to a face or a body but not the two together. All of this speaks in favor of an essential configuration for faces, which may be due to an inherited or rapidly acquired template for facial recognition.
That even severe distortion of faces (and bodies) such as Bacon regularly practiced has little effect, beyond a delay, on the recognition of a stimulus as a face or a body testifies to the robustness of the representation, even if distorted faces result in a pattern of activity in the brain that is different from that obtained with neutral faces (see section A Fast Route for the Recognition of Facial and Body Stimuli). Hence the face recognition system is robust on the one hand and susceptible to disfiguration on the other, since disfiguration leads to a different pattern of neuronal activity.
The brain also appears to devote special cortical areas to the representation of human bodies, even headless ones (Schwarzlose et al., 2005). One of these is the fusiform body area (FBA), located in the fusiform gyrus in close proximity to the FFA, and the other is the extrastriate body area (EBA) located in the infero-posterior part of the temporal cortex, neighboring area OFA (Peelen and Downing, 2007 for a review) (see Figure 1B). Hence, there is also an essential configuration that is critical for eliciting activity from these specialized areas. But here again, Bacon, though maintaining the relationship between the constituents that constitute a body, distorted them severely and added a subversive emotional envelope (see section The Effect of Distortions of Face and Body on Cortical Activity). The areas critical for body recognition lie in close proximity to those for facial recognition (the OFA and the FFA); the brain thus appears to devote separate systems to the recognition of bodies and of faces but ones that are intimately connected since exposure of subjects to pictures of fearful body expressions activates the FFA (Hadjikhani and de Gelder, 2003), implying an intimate anatomical and functional connection between them. We note in passing that, his portraits apart, Bacon commonly disfigured both faces and bodies in single compositions (see Figure 3).
Francis Bacon—Portrait of Henrietta Moraes on a Blue Couch, 1965, an example of disfigured face and body. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The areas enumerated here may not be the only ones that are important in the recognition of faces and bodies, and their emotional status; some have argued that the recognition of faces engages a much more distributed system (Ishai et al., 2005), but there is common agreement that they are critically important. Hence, viewing of Bacon's portraits is strongly dependent upon the functioning of these areas, an interesting if by now obvious fact. It has, however, also been argued that, even within the region of the fusiform gyrus occupied by the FFA, cells responsive to common objects may be found (Haxby et al., 2001). This is interesting, both in the context of Bacon's work and in relation to the neurobiology of visual representation in the brain. Given the resistance of objects, and the susceptibility of faces and bodies, to inversion and to distortion (see below), it becomes interesting to enquire whether cells representing faces and bodies on the one hand and objects on the other, are regulated differently, even if they co-occur in the same area(s) and whether it is because of this differential susceptibility that Bacon concentrated on deforming faces and bodies and sparing objects.
Prosopagnosia or facial imperception
Prosopagnosia or an incapacity to recognize an individual through the face, and especially inherited prosopagnosia (McConachie, 1976; Ariel and Sadeh, 1996), also supports the view that there is an inherited or a rapidly acquired template for face representation that is not shared by objects. When acquired, the syndrome is usually the result of damage to the fusiform gyrus that includes the FFA. Prosopagnosia may result in an incapacity limited to the recognition of familiar faces but there have been examples of patients simply not able to recognize faces. The imperceptions may extend to an inability, or impaired ability, to recognize the faces of animals (Assal et al., 1984), which have a basic significant facial configuration not unlike humans, and we note here that Bacon depicted both human and animal faces and bodies, sometimes in combination. Not even knowledge that a prosopagnosic patient is actually looking at a face (for example at his own in a mirror) can restore the normal perception of a face (Pallis, 1955).
For our purposes here, we may summarize this section by saying that, regardless of disagreements over important details, there is now general agreement that the face and body recognition systems are neurologically robust and that several cortical areas are critical for their recognition. The relevance of a robust system is that its properties are much less plastic and therefore much less modifiable with experience, a point that seems to us of importance in understanding how Bacon was able to produce a visual shock.
Form representation in the brain
The form system in the brain is commonly thought to be derived from the orientation selective cells of V1 (Hubel and Wiesel, 1977) (Figure 1A) and consists of a single hierarchical pathway which uses the orientation selective cells to build up more complex forms, and eventually complex objects that an area such as the lateral occipital complex (LOC) responds to (Grill-Spector et al., 2001). This view is almost certainly far too simplistic and there is evidence that the form system itself may consist of parallel sub-systems. We do not review this here but point to clinical evidence which shows that (a) agnosias for complex shapes and objects need not be accompanied by an agnosia for simple line representation of the same shapes (Humphreys and Riddoch, 1987) and, conversely, that agnosia for simple line drawings of complex shapes need not be accompanied by an agnosia for the complex shapes themselves (Hiraoka et al., 2009) and (b) that an agnosia for static forms does not extend to the same forms when in motion (Botez and Sebrãnescu, 1967), consistent with the suggestion that there may be a separate dynamic form system in the brain (Grossberg, 1991; Zeki, 1993). Our interest in mentioning the brain areas critical for form is (a) that regardless of whether the brain areas critical for face perception also respond to objects, other, distinct, cortical areas have been reported to be involved in object representation and, so far, these have not been implicated in face or body perception; (b) that the areas critical for face recognition should also be responsive to objects complicates the picture somewhat on the one hand while emphasizing a critical feature on the other, namely that the brain reaction to distorted faces and bodies is different from its reaction to distorted objects (see section Consequences of Violating the Essential Configuration of Faces).
Inherited templates for facial and body recognition
Evidence that we are born with a capacity to recognize and register essential configurations that qualify stimuli as a face are present at birth or very soon (within hours) thereafter is shown by the fact that children react very early on—within a matter of hours—to faces, in that they orient more readily toward simple face-like patterns (Goren et al., 1975; Johnson et al., 1991). But what exactly they are reacting to is not universally agreed on. One view is that we are born with some kind of inherited “template” that approximates a face and another is that it has more to do with asymmetries in what appears in the upper and lower field of view, the reasoning being that new-borns prefer patterns in which more elements appear in the upper field of view (eyes) than in the lower (mouth) (Simion et al., 2002; Cassia et al., 2008). A third view may be that the intimate contact between infant and parent privileges the face through a rapid plastic process that facilitates the recognition of faces (Johnson, 2005). These arguments, though of substantial interest in the context of the neural determinants of facial perception, are of little interest for our present purposes because, whichever of the hypotheses turns out to be valid, the net result, perceptually, is that new-borns orient preferentially to faces or face-like stimuli, thus suggesting that there is something robust, or becomes rapidly robust, about configurations that are face-like. Whether due to an inherited concept (Zeki, 2008) for faces or face-like configurations or a privileged plasticity that favors the recognition of face-like stimuli, it is clear that there is a very early recognition of, and preference for, face-like stimuli. Hence, Bacon was subverting something very privileged in visual perception.
The perception of bodies has not been studied as extensively, but there are reasons to suppose that there are also essential configurations that qualify stimuli as being that of bodies. The evidence comes principally from electroencephalographic (EEG) recordings from the brains of 3–4 month old infants, who appear to be able to recognize bodies (de Gelder, 2006).
By contrast, there is no similar essential configuration to qualify an object, and where there is one through exposure and training, it can adapt rapidly to a new configuration that is radically different. One need only refer to the example of planes, from simple twin-engined turboprop planes, to drones, to jumbo jets, to variable swing-wing aircraft, to realize that there are many configurations that can fit the (acquired) concept of a plane (for before there were planes there was no acquired concept of them). Nor does there appear to be a distinct and privileged mechanism for early and rapid acquisition of a template for objects. Here it is interesting to note that, even in adult life, monkeys can be trained to learn new configurations of objects and discriminate them as a category even if they had not seen the particular example before (Logothetis et al., 1995). Whether rapidly acquired through a privileged plasticity or not, the templates for faces and bodies are not modifiable, in the sense that those for objects can be modified (see section Consequences of Violating the Essential Configuration of Faces).
The holistic representation of face and body
While painting disfigured and mutilated bodies and faces, Bacon nevertheless maintained a generally holistic representation that makes it easy to discriminate his paintings as being of faces or bodies. It is commonly accepted that face representation is holistic. Evidence for this comes partly from studies of the so-called “inversion effect,” by which is meant the relative difficulty of recognizing faces when they are inverted, although Bacon himself rarely painted inverted faces and bodies, Figure 4 being a somewhat rare exception and Figure 5 (Reclining Woman, 1961) a more extreme version, in the total inversion and disfiguration of the human face and body. The inversion effect has been proposed as demonstrating the importance of configural, relational, information in facial recognition. It is not actually limited to faces, since objects in general become more difficult to recognize when inverted (Haxby et al., 1999); but inversion has a disproportionately large effect on facial recognition compared to the recognition of objects (de Gelder and Rouw, 2000). Many prosopagnosia studies also attest to the fact that the deficit is holistic, in the sense that it leads to an incapacity to recognize a face while sparing the ability to recognize its constituents, such as the eyes or the nose (Kimchi et al., 2012), that the whole is other than the sum of the parts, in Gestalt language. It is, in short, the relationship of the constituent parts that is critical, and constitutes the essential configuration. It is interesting to note here that a patient suffering from object agnosia but not prosopagnosia was capable of perceiving a face made up of objects (the Arcimboldo Effect), without being able to recognize what the constituent objects were (Moscovitch et al., 1997), implying that a given essential configuration or arrangement, no matter what the constituents that make up that configuration might be and no matter how distorted the constituents are, provided they bear the essential relationship to one another to constitute a face, are sufficient to qualify a face as a face.
Francis Bacon—Triptych—Studies of the Human Body 1979 (detail of center panel). © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Francis Bacon—Reclining Woman, 1961. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The neural consequences of inversion are controversial, in line with the controversy as to whether there are “face modules” in the brain or whether there are extended brain regions in which objects are represented, of which faces constitute one category. There is general agreement that face inversion diminishes the response to faces in the FFA and the temporal face regions, and has a selective and dramatic effect on the responses to faces in regions which are responsive to houses (Haxby et al., 2000). This raises an interesting question: if knowledge of faces and objects are both acquired through expertise, as has been argued (Gauthier and Nelson, 2001 for a review), the larger perceptual susceptibility of faces and bodies to inversion implies that different mechanisms are at work, or perhaps that the neural mechanisms underlying one kind of representation are more labile than those underlying the other. Bacon appears to have opted instinctively for the less labile representation to deliver his visual shock.
Inversion of faces, as of bodies, also results in slower reaction times and higher error rates for identification (Reed et al., 2003) and it is inversion of the whole rather than of components that produces these results (see also the “Thatcher Illusion,” Thompson, 1980). Indeed, even distorted faces (ones in which the eyes are positioned asymmetrically) are processed holistically (de Heering et al., 2012). Crucially, inverted faces lead to a pattern of cortical activation that is distinct from that produced by upright faces and resembles more closely the activation pattern produced by viewing objects (Haxby et al., 1999), as if an inverted face becomes coded as yet another object. This implies again a difference in the neural mechanisms regulating the representation of the two. Inversion has a disproportionately large effect on the recognition of body postures (Reed et al., 2003). Distorted bodies also have a significant effect on brain-evoked potentials (Gliga and Dehaene-Lambertz, 2005), suggesting that the perception of bodies may also be facilitated by some inherited neural template, which may however also be facilitated through expertise.
The mutilation and disfiguration of faces and bodies in Bacon's work is largely restricted to the constituents but does not affect the relationship of these constituents to one another, hence maintaining their holistic aspect and allowing them to be recognized easily as faces or bodies. Only rarely is the relationship of the constituents altered, as in his Self Portrait (Figure 6), which violates somewhat the norms of a face in the absence of one eye, and the depiction of a severely distorted jaw with an abnormal relationship to mouth and nose. Otherwise, his distortions are of constituents which, though bearing a correct relationship to one another, may be unequal in size or severely asymmetric. The portrait in Figure 7 has an essential configuration that is recognizable instantly as a face, but it is a highly abnormal one, with one side being out of proportion with the other. Hence, in terms of our definition given above, the pictures contain not only the essential configuration necessary to result in activity—though apparently an abnormal one—in the areas critical for face perception, but in addition arouse strong negative emotions and also almost certainly entail activity in the amygdala and insula (see below section A Fast Route for the Recognition of Facial and Body Stimuli).
Francis Bacon—Self Portrait, 1973. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Francis Bacon—Head III, 1961. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The effect of distortions of face and body on cortical activity
The distortion of faces and bodies is more severe in some of Bacon's paintings than in others but very few can be said to render faces and bodies normally. Distortions in general, even those that are much less severe than the ones crafted by Bacon, lead to a pattern of cortical activity that is somewhat different from the one produced when humans view normal faces and bodies, although it should be emphasized that images of “distorted” bodies and faces used in the experiments described below were nowhere as extreme or as distorted as the ones depicted by Bacon in his paintings. In particular, the amplitudes of the responses evoked by viewing faces and bodies are reduced by viewing distorted versions of both (Gliga and Dehaene-Lambertz, 2005). It is, again, noteworthy that object inversion and distortion, which Bacon generally avoided, does not produce similar results (Boutsen et al., 2006).
One of the most famous portraits of Bacon is inspired by Diego Velazquez's painting of Pope Innocent X, a painting which Bacon never really saw but worked from photographs of it alone. Bacon may have wanted to depict the human cage in which even someone so special, as he said, as the Pope is confined but the Pope is not the only figure to be so confined in Bacon's similar drawings. It has been suggested that the paintings are a reaction to his relationship with his father and that they were influenced by a scene from Eisenstein film Battleship Potemkin or by Nicholas Poussin's The Massacre of the Innocents, where a mother is crying in agony at the murder of her child, or perhaps both. Whatever their psychological and artistic origin, the Pope drawings nevertheless show an unaccustomed picture, of someone screaming, even if the face of the Pope is not as mangled as those in many of his other portraits. In Head VI (Figure 8), barely half the face of a screaming pope is visible, suggesting a profound abnormality characteristic of his other depictions of popes and cardinals. They thus also constitute a departure from a sort of distortion of what qualifies a face as a face. On the rare occasions when he portrayed, in similar conditions, a much more normally appearing face [Figure 9 (Study for Portrait II, 1952)], the impact is much less severe and the painting correspondingly much less arresting.
Francis Bacon—Head VI, 1949. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Francis Bacon—Study for Portrait II, 1953. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The list of distortions is hardly worth describing in detail; about the only general but accurate statement that can be made of all his paintings is that they are agonized, mutilated and savaged portraits. Cecil Beaton, the English photographer, recounts in his autobiography his shock at seeing Bacon's portrait of himself where, “The face was hardly recognizable as a face for it was disintegrating before your eyes, suffering from a severe case of elephantiasis; a swollen mass of raw meat and fatty tissues. The nose spreads in many directions like a polyp but sagged finally over one cheek. The mouth looked like a painful boil about to burst… ” (Peppiatt, 1996, p 226). Bacon himself preferred to work from photographs rather than have models in his studio, especially in his later years, “to avoid, as he said, inflicting on them in their presence the injury which he did to them in paint” (Peppiatt, 1996, p 204). Indeed, it is said that when Lucien Freud came to Bacon's studio to pose for a portrait, he found that it was almost finished, with Bacon insisting that he only needed to work on the feet!
It is interesting to note here that human-animal complexes—as in Egyptian art and in particular the sphinx—which Bacon greatly admired and which could be regarded as “distorted” representations of both humans and animals, are not nearly as unsettling or disturbing as the disfigured paintings of Bacon, either those of faces alone, or those of bodies, or of the two together. We suppose that this is because, although the two are combined in a departure from what humans usually experience, nevertheless the two neurally separately represented entities—bodies and faces—are normal and neither would constitute an “assault” on the nervous system. By contrast, when Bacon used the sphinx as a template for his paintings, both the body and the face were distorted (see Francis Bacon, Oedipus and the Sphinx after Ingres).
No less deformed in Bacon's paintings are the bodies; indeed few of his paintings, if any, can be said to escape that savage disfigurement. There is no particular part of the body that is privileged in this regard but what is interesting is that, even when a segment, for example the torso or the legs, is spared, the general impression gained by the viewer is a total disfigurement, suggesting a holistic representation of the body. His Study for a Portrait (1971) is a typical example of a mangled body, which has one or two “normal” features, in this case the foot, which nevertheless is in a somewhat abnormal position. Study from the Human Body: Man Turning on the Light (Reynolds, 2007) (Figure 10) has a more or less normal appearance in one half and a much distorted one in the other which, if bodies are processed configurally, would amount to distortion. Such examples may be multiplied, but it is interesting to note that, especially with his depictions of the human body, the ordinary objects incorporated into the paintings are virtually always undistorted.
Francis Bacon—Study from the Human Body: Man Turning On the Light, 1973. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
The perceptual classification of a face or body as happy or threatening or sad or fearful also depends upon given specific configurations. It is common knowledge that upturned corners of the mouth are one element signifying a happy face while downturned ones signify the opposite. Here, another innovation in Bacon's works intrudes—his faces are neither happy nor sad, neither threatening nor comforting, neither fearful nor welcoming. Instead, they are all mutilated and usually savagely so; they are, in Peppiatt's words, “unusual” and “sinisterly unpleasant.” Hence, what Bacon has achieved is to trample over such configurations that allow the rapid classification of the emotional envelope on a face or a body into the above categories.
A fast route for the recognition of facial and body stimuli
In his book, Peppiatt states that Bacon's intent was to produce work such “that the nerves are immediately alerted to something unusual, something sinisterly unpleasant, before the image has spelled itself out in the brain” (Peppiatt, 1996). Most of his paintings alert one to something unusual, even his relatively normal ones of the Screaming Pope. There is evidence that the emotionally disturbing rendering of faces and bodies engages a fast neural system, but whether this occurs before the image has “spelled itself out in the brain” is not certain. It is to be noted that objects can also be distorted but do not have nearly the same emotional impact as distorted faces and bodies and, moreover, that Bacon himself rarely distorted objects and when he did so, it was very mild and produces no emotional impact at all.
When the faces viewed have a “sinister” and therefore strong emotional component (both common in Bacon's paintings), there is activation of the amygdala (Morris et al., 1996; Hadjikhani and de Gelder, 2003; Sato et al., 2011) as well as of the insula (Krolak-Salmon et al., 2003), although neither has been shown to be engaged when neutral faces are viewed. It has been suggested that viewing a fearful face leads to fast, short-latency activation (at about 100 ms after exposure) of the amygdala before spreading to the cortex (Krolak-Salmon et al., 2004). More recent evidence shows that the latency of response from the sub-cortical centers involved is not very different from latencies in areas such as the OFA when subjects view neutral faces. Fearful faces activate the amygdala rapidly (in the 50–150 ms time frame), while a transcranial magnetic stimulation study suggests the earliest activity in the OFA occurs at 60–100 ms for neutral faces (Pitcher et al., 2007), with a later component at 150 ms (Hung et al., 2010).
The facial recognition route which registers rapidly extreme expressions on a face or a body such as fear or disgust, is more “primitive” in the sense that it is activated by low spatial frequencies (coarse visual information) and is independent of the precise identity of the person viewed (Vuilleumier et al., 2003; Maratos et al., 2009). The sub-cortical routes seemingly influence strongly face perception but can act autonomously, since subjects can recognize the valence on a face when faces are viewed without conscious awareness of the face itself (de Gelder et al., 2005), even if the sub-cortical route relays signals to the corresponding cortical zones and modulates activity in them (Johnson, 2005). This suggests that the emotional component—fear, disgust, (as is so common when viewing Bacon's paintings)-is recorded as rapidly as the face itself. Hence, the sub-cortical system may be instrumental in alerting the brain, with very brief latencies, that a stimulus recognized as a face has something unusual about it.
It is likely that the sub-cortical system is used in the demonstrated newborn preference for faces (Johnson, 2005). This route may in fact not only modulate cortical responses but also be indicative of a system involved with facial recognition that acts in parallel with the high frequency system, which identifies details on the face as well as facial identity. Thus, while the recognition of a stimulus as containing the “primitives” of a face might depend upon a sub-cortical system and on low spatial frequencies, the process appears to become more “corticalized” as refinements due to experience are added and recognition is not only of a face as such but the identity of the face (Johnson, 2005).
To our knowledge no parallel studies have been performed to learn whether there is a sub-cortical or cortical system that reacts to bodies presented in low spatial frequencies. Nor has any fast, sub-cortical route for object recognition been reported.
Unconscious emotional impact of disfigured bodies and faces
Bacon often emphasized that his work came from the “unconscious.” “I've made images that the intellect can never make,” he told Melvyn Bragg emphatically (Bacon, interviewed by Bragg, 1985). He also often stated that he produced some of his most prized works, such as Three Figures at the Base of a Crucifixion (1944) (Tate, 2013a) [of which there is also a second version (Tate, 2013b)], when in an inebriated state and not capable of clear thinking, thus perhaps emphasizing the predominance of what he supposed is the “unconscious” element. Bacon reputedly was inspired by a number of sources for this painting, including Greek mythology as well as the work of Pablo Picasso. Taken together with his avowed aim of attacking the nervous system before things get spelled out in the brain, he is perhaps emphasizing that his paintings are originating from the “unconscious” and are destined for the “unconscious.” Of course, what Bacon means by the “unconscious” is never spelled out clearly or defined. The meaning we would like to attach to it is more specific; we mean by it a severe mutilation and distortion of what constitutes a normal face that is registered in the brain even when the subject is not consciously aware of having viewed such a face. Violations of essential configurations are experienced consciously and have, as a consequence, an emotional dimension that is also experienced consciously. But there appears to be also an unconscious dimension that mediates the experience; subjects can discriminate the emotional valence on a face even when not consciously aware of the face, especially if the expression is fearful (Bertini et al., 2013). Here it is important to notice, once again, that the “fearful” faces used in such experiments are not nearly as unusual as those depicted by Bacon. The rapid activation of amygdala and insula by emotional stimuli which can be registered “unconsciously,” implies that, for the ordinary viewer, a Bacon painting is registered through the two parallel systems, cortical and sub-cortical, with a dominant sub-cortical emotional registration occurring through structures such as the amygdala and insula. It is hard to escape the conclusion that the sub-cortical system is the emotionally more dominant one, since it is capable of responding even in the absence of an acknowledged “awareness” of the stimulus. The adjectives used to describe Bacon's work—“repellent,” “mutilated,” “hell”–serve to describe well the strong emotional component in his work, a component which seemingly would activate the emotional branch of the face-recognition system powerfully. Disregarding the religious connotation in the title of Three Studies for Figures at the Base of a Crucifixion, it is evidently a painting of some horrifically deformed animal(s), so deformed that it is hard to tell the species or indeed whether it is an animal at all. Yet, we emphasize again, there is nothing extraordinary about the geometric configurations against which the animals are set. Especially in the second version of the Three Studies, the geometric lines are normal and the tables are easily recognizable as tables though the central one could easily be conceived of as the somewhat bizarre creation of a modern artist.
It is to be noted, however, that the emotional valence on some of his portraits or bodies are hard to classify as fearful or shocking or threatening; they are departures even from the norms that we associate with such emotions. How, for example, is one to categorize, in terms of emotions, the triptych portrait of Isabel Rawsthorne, whom Bacon considered to be “a very beautiful woman” (Bragg, 1985), shown in Figure 11? Severely mutilated may be a more appropriate term, especially for the central portrait; what is not in doubt is that all three represent significant departures from normal faces and normal emotions, be they emotions of fear or happiness. To that extent they are subversions of the brain's normal, expected, experience of faces and hence constitute and represent a threat. It would be interesting to learn how such distortions, which can be qualified only as unusual but not necessarily as ugly or threatening, affect the pattern of activity in both the cortical and sub-cortical systems that are important for facial recognition.
Francis Bacon—Three Studies of Isabel Rawsthorne, 1965. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Human artefacts in bacon's paintings
We have alluded repeatedly above to the difference in Bacon's paintings between faces and bodies on the one hand and objects on the other, the former being severely distorted and mutilated while the latter escaped such violence from one who thought that the whole of life is violent. We give a few more examples below, to emphasize the point: The chair on which the man of Figure 12 sits is fairly normal as is the window or door behind. Equally, there is nothing unusual in the lines that constitute a sort of cage in which the person portrayed in Figure 14 sits. Bacon claimed that he used these lines only as a kind of frame for what he was painting. In Figure 13, the cage could be in a bi-stable state and somewhat unusual in shape but other than that there is nothing about it that is shocking, even in spite of its somewhat unusual shape. Equally, the furnishings of Figure 14 are all fairly normal, while the face of the sitter is severely deformed. Such examples may be multiplied and attest to one difference between his rendering of bodies and faces on the one hand and objects on the other: he deformed and mutilated the former but left the latter largely intact.
Francis Bacon—Triptych August 1972 (right hand panel). © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Francis Bacon—Sphinx—Portrait of Muriel Belcher, 1979. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Francis Bacon—Seated Figure, 1961. © The Estate of Francis Bacon. All rights reserved. DACS 2013.
Consequences of violating the essential configuration of faces
Superficially, any unusual visual input may be considered to be a visual shock but most of these are momentary and quickly adapted to. A very unusual artifact, one which departs from the general class of artifacts to which it belongs (say of planes or cars), may at first sight constitute a visual shock in the sense that it is an unaccustomed departure from the norm. With repeated viewing and time, however, it ceases to be a shock but comes to be accepted as commonplace; but this does not seem to be true of visual stimuli for which we have an ingrained or possibly inherited predisposition (Chen and Zeki, 2011).
In further evidence of the robustness of the neural templates—whether inherited or rapidly acquired after birth—for essential configurations that qualify a visual stimulus as a face, are experiments inspired by Bacon's work, which have aimed to chart the differences that underlie the perception of violated faces and violated human artifacts such as cars or planes. Violated faces, unlike normal faces and violated human artifacts, result in activation of dorsolateral prefrontal cortex (DLPFC) and parietal cortex. This activation is resistant to prolonged viewing of violated faces (up to one month), in that viewing abnormal faces for that period does not decrease activity in that cortex but actually enhances it. This is interesting because the DLPFC gives a strong reaction to unpredictable stimuli or to departures from what is considered normal. For example, although the DLPFC does not appear to be active when objects are dressed in colors with which they are normally associated, it is active when humans view objects dressed in un-natural colors, that is to say colors with which they are not usually associated (Zeki and Marini, 1998). The strength of activity in the DLPFC appears to decrease with prolonged exposure to such unpredictable stimuli (Raichle et al., 1994; Rainer and Miller, 2000; Fletcher et al., 2001). That the activity in the DLPFC should have increased when viewing violated faces even after prolonged exposure to such stimuli implies (a) that we do not adapt easily to the concept of violated faces and (b) that the significant configuration that qualifies a stimulus as a face is much more robust than the configurations that characterize the recognition of artifacts acquired through experience, and hence any departures from it are strongly registered. It is interesting to note in passing that violation of spatial relations (which Bacon did not indulge in) are also resistant to adaptation over a similar period (Chen and Zeki, 2011).
Whether the brain has specialized “face modules” or whether faces constitute one category processed in a large cortical zone which also processes other categories, that violation of faces should lead to strong and enduring activity within parietal cortex and the DLPFC while violations of human artifacts should not, leads naturally to the supposition that the neural mechanisms regulating the two categories (and probably bodies as well) differ significantly, although what this difference is must remain conjectural for the present.
What we are suggesting is that Bacon, unknowingly, used a robust system based on an inherited concept and violated it to produce his shock. That we do not become readily adapted to such violations, although we become adapted to violations of human artifacts, perhaps accounts for the enduring shock effect that Bacon's work, almost all of which violates faces and bodies, has.
There are of course many other aspects of Bacon's work that we could discuss, but this would enter too much into a world of speculation. While it is clear that different categories of animals elicit a reaction from the visual brain, the effect of deformation of animal faces and bodies on brain activity has not been studied in any detail. But it is probably safe to assume that deformation of animals has a similar effect—though possibly a less pronounced one—than deformation of human faces and bodies. Bacon commonly painted animals and in some of his paintings he combined a human body with an animal face, or vice versa, or incorporated some elements of an animal into the depiction of a human.
What then are the insights of neurobiological and neuroesthetics interest that Bacon's paintings provide, as material for future experiments?
We have based much of our argument on essential configurations that allow us to classify a stimulus as that of a face or a body, a theoretical construct that may yet lead to important experiments and insights. We have used previous results to show that distortions of that essential configuration results in a pattern of activation that is consistently different from the one obtained when viewing configurations that satisfy the template of what constitutes face or a body. We have argued that such departures can have consequences. One of these, which Bacon exploited, is that viewing configurations that depart from the essential configurations has, as a correlate, a strong activation of sub-cortical structures such as the amygdala and the insula, an effect that can be produced even when subjects are “unaware” of the stimulus; moreover, departures are resistant to adaptation, in that continual exposure does not diminish the response obtained from the DLPFC and parietal cortex, as repeated exposure to unusual human artifacts apparently does.
This raises a host of interesting questions. The first among them is related to the representation of faces, bodies and objects in the brain. Whether they are represented in discrete groupings within a larger cortical area or whether each of these categories is separately represented, Bacon's paintings raise the question of a separate and privileged access to the brain's emotional systems from the representation of faces and bodies compared to ordinary man-made objects. If so, it is likely that groupings or modules representing faces and bodies have different connections with the brain's emotional system, through routes that remain to be determined. Equally interesting in this context is that the representation of faces and bodies appears to be much more robust, which implies that there is less room for experience to modify that representation in the way that representation of human artifacts can be modified, a suggestion supported by the experiments of Chen and Zeki (2011). This implies that the connections of the latter are much more plastic than those of the former, making it interesting to uncover the different mechanisms that regulate plasticity in these different representations. This is also likely to be reflected in the mechanisms regulating the formation of concepts for different attributes. The enduring shock element in Bacon's paintings, even after repeated viewing, speaks in favor of a pronounced resistance to modifying the concept of a face or a body; by contrast, concepts of human artifacts are much more modifiable and less resistant to change. Hence, it follows that the determinants of concept formation are much less plastic for faces and bodies, the brain apparently not tolerating departures from a primitive significant configuration for them.
Next comes the question of routing of visual signals to and from a given area of the brain. It is important to realize that faces and bodies, whether ugly, neutral or beautiful, are processed through common structures—the OFA, the FFA and other areas detailed above. At some point in these pathways, a neural decision must be taken to forward the results of the processing to one part of the emotional brain or another. This raises the question “at what level, in the face and body processing pathways, is the routing of signals to one of the destinations made?” a question that applies equally to beautiful and ugly faces. It is also interesting to learn when and how signals are not routed to the emotional centers or routed to them without eliciting a strong and detectable response, as happens with neutral faces. This of course amounts to a neurobiological question of general interest, for all cortical areas have multiple inputs and outputs and whether all the outputs from an area are active when the area undertakes an operation or whether they are active only when the area undertakes a particular operation is an important question to address (Zeki, 1993). In our context, this can be more precisely formulated by asking whether departures in significant configuration in one direction activate certain outputs from the area while departures in the other direction activate other pathways.
This also raises the question of what constitutes, in terms of responses from a given area, say the FFA, a departure from an essential configuration, i.e., does it lead to an increase or decrease in firing of cells in the area or does it lead to a different pattern of active cells. In theory at least, it should be possible to study this by using imaging techniques that can determine whether the pattern of activity in a given area differs according to departures from the essential configuration.
Hence, Bacon's work raises a host of interesting and important problems, not only in the somewhat specific domain of the neural mechanisms regulating face and body perception but the more general neurobiological problem of what it is that determines the routing of signals to one destination or another, given that each area has multiple outputs.