The following is an excerpt from the book entitled "The Message of Mohammad", by Athar Husain. Among other things, it talks about some of the personal characteristics of the prophet Mohammed (Peace Be Upon Him), the final messenger of Allah (God). It has been edited slightly in order to reduce it's length. Care has been taken not to change the content inshallah. The topics include:
• Appearance
• Dress
• Mode of living
• His manners and disposition
• Children
• Daily routine
• Trust in Allah
• Justice
• Equality
• Kindness to animals
• Love for the poor
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Appearance
Muhammad (pbuh) was of a height a little above the average. He was of sturdy build with long muscular limbs and tapering fingers. The hair of his head was long and thick with some waves in them. His forehead was large and prominent, his eyelashes were long and thick, his nose was sloping, his mouth was somewhat large and his teeth were well set. His cheeks were spare and he had a pleasant smile. His eyes were large and black with a touch of brown. His beard was thick and at the time of his death, he had seventeen gray hairs in it. He had a thin line of fine hair over his neck and chest.
His gait was firm and he walked so fast that others found it diffucult to keep pace with him. His face was genial but at times, when he was deep in thought, there there were long periods of silence, yet he always kept himself busy with something. He did not speak unnecessarily and what he said was always to the point and without any padding. At times he would make his meaning clear by slowly repeating what he had said. His laugh was mostly a smile. He kept his feelings under firm control - when annoyed, he would turn aside or keep silent, when pleased he would lower his eyes (Shamail Tirmizi).
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Dress
His dress generally consisted of a shirt, tamad (trousers), a sheet thrown round the sholders and a turban. On rare occasions, he would put on costly robes presented to him by foreign emissaries in the later part of his life (Ahmed, Musnad, Hafiz Bin Qaiyyam).
His blanket had several patches (Tirmizi). He had very few spare clothes, but he kept them spotlessy clean (Bukhari). He wanted others also to put on simple but clean clothes. Once he saw a person putting on dirty clothes and remarked,
"Why can't this man wash them." (Abu Dawud, Chapter "Dress").
On another occasion he enquired of a person in dirty clothes whether he had any income. Upon getting a reply in the affirmative, he observed,
"When Allah has blessed you with His bounty, your appearence should reflect it." (Abu Dawud)
He used to observe:
"Cleanliness is piety".
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Mode of living
His house was but a hut with walls of unbaked clay and a thatched roof of palm leaves covered by camel skin. He had separate apartments for his wives, a small room for each made of similar materials. His own apartment contained a rope cot, a pillow stuffed with palm leaves , the skin of some animal spread on the floor and a water bag of leather and some weapons. These were all his earthly belongings, besides a camel, a horse, and an ass and some land which he had aquired in the later part of his life (Bukhari, Muslim, Abu Dawud). Once a few of his disciples, noticing the imprint of his mattress on his body, wished to give him a softer bed but he politely declined the offer saying,
"What have I to do with worldly things. My connection with the world is like that of a traveler resting for a while underneath the shade of a tree and then moving on."
Amr Ibn Al-Harith, a brother in law of the prophet (pbuh), says that when the prophet died, he did not leave a cent, a slave man or woman, or any property except his white mule, his weapons and a piece of land which he had dedicated for the good of the community (Bukhari, Sahih Bukhari).
He advised the people to live simple lives and himself practised great austerities. Even when he had become the virtual king of arabia, he lived an austere life bordering on privation. His wife Aiysha (ra) says that there was hardly a day in his life when he had two square meals (Muslim, Sahih Muslim, Vol.2, pg 198). When he died there was nothing in his house except a few seeds of barley left from a mound of the grain obtained from a Jew by pawning his armour (Bukhari, Sahih Bukhari, Chapter "Aljihad").
He had declared unlawful for himself and his family anything given by the people by way of zakat or sadaqa (types of charity). He was so particular about this that he would not appoint any member of his family as a zakat collector (Sahah-Kitab Sadqat).
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His manners and disposition
"By the grace of Allah, you are gentle towards the people; if you had been stern and ill-tempered, they would have dispersed from round about you" (translation of Qur'an 3:159)
About himself the prophet (pbuh) said
"Allah has sent me as an apostle so that I may demonstrate perfection of character, refinement of manners and loftiness of deportment." (Malik, Mawatta; Ahmed, Musnad; Mishkat)
By nature he was gentle and kind hearted, always inclined to be gracious and to overlook the faults of others. Politeness and courtesy, compassion and tenderness, simplicity and humility, sympathy and sincerity were some of the keynotes of his character. In the cause of right and justice he could be resolute and severe but more often than not, his severity was tempered with generosity. He had charming manners which won him the affection of his followers and secured their devotion. Though virtual king of Arabia and an apostle of Allah, he never assumed an air of superiority. Not that he had to conceal any such vein by practice and artifice: with fear of Allah, sincere humility was ingrained in his heart. He used to say,
"I am a Prophet of Allah but I do not know what will be my end." (Bukhari, Sahih Bukhari, Chapter "Al-Janaiz")
In one of his sermons calculated to instill the fear of Allah and the day of reckoning in the hearts of men, he said,
"O people of Quraish be prepared for the hereafter, I cannot save you from the punishment of Allah; O Bani Abd Manaf, I cannot save you from Allah; O Abbas, son of Abdul Mutalib, I cannot protect you either; O Fatima, daughter of Muhammad, even you I cannot save." (Sahahin)
He used to pray,
"O Allah! I am but a man. If I hurt any one in any manner, then forgive me and do not punish me." (Ahmed, Musnad, Vol. 6 pg. 103)
He always received people with courtesy and showed respect to older people and stated:
"To honor an old man is to show respect to Allah."
He would not deny courtesy even to wicked persons. It is stated that a person came to his house and asked permission for admission. The prophet (pbuh) remarked that he was not a good person but might be admitted. When he came in and while he remained in the house, he was shown full courtesy. When he left Aiysha (ra) said,
"You did not think well of this man, but you treated him so well."
The prophet (pbuh) replied,
"He is a bad person in the sight of Allah who does not behave courteously and people shun his company bacause of his bad manners." (Bukhari, Sahih Bukhari)
He was always the first to greet another and would not withdraw his hand from a handshake till the other man withdrew his. If one wanted to say something in his ears, he would not turn away till one had finished (Abu Dawud, Tirmizi). He did not like people to get up for him and used to say,
"Let him who likes people to stand up in his honour, he should seek a place in hell." (Abu Dawud, Kitabul Adab, Muhammadi Press, Delhi).
He would himself, however, stand up when any dignitary came to him. He had stood up to receive the wet nurse who had reared him in infancy and had spread his own sheet for her. His foster brother was given similar treatment. He avoided sitting at a prominent place in a gathering, so much so that people coming in had difficulty in spotting him and had to ask which was the Prophet (pbuh). Quite frequently uncouth bedouins accosted him in their own gruff and impolite manner but he never took offence. (Abu Dawud Kitabul Atama).
He used to visit the poorest of ailing persons and exhorted all muslims to do likewise (Bukhari, Sahih Bukhari, Chapter "Attendance on ailing persons").
He would sit with the humblest of persons saying that righteousness alone was the criterion of one's superiority over another. He invariably invited people be they slaves, servants or the poorest believers, to partake with him of his scanty meals (Tirmizi, Sunan Tirmizi).
Whenever he visited a person he would first greet him and then take his permission to enter the house. He advised the people to follow this etiquette and not to get annoyed if anyone declined to give permission, for it was quite likely the person concerned was busy otherwise and did not mean any disrespect (Ibid).
There was no type of household work too low or too undignified for him. Aiysha (ra) has stated,
"He always joined in household work and would at times mend his clothes, repair his shoes and sweep the floor. He would milk, tether, and feed his animals and do the household shopping." (Qazi Iyaz: Shifa; Bukhari, Sahih Bukhari, Chapter: Kitabul Adab)
He would not hesitate to do the menial work of others, particularly of orphans and widows (Nasi, Darmi). Once when there was no male member in the house of the companion Kabab Bin Arat who had gone to the battlefield, he used to go to his house daily and milk his cattle for the inhabitants (Ibn Saad Vol. 6, p 213).
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Children
He was especially fond of children and used to get into the spirit of childish games in their company. He would have fun with the children who had come back from Abyssinia and tried to speak in Abyssinian with them. It was his practice to give lifts on his camel to children when he returned from journeys (Bukhari, Sahih Bukhari, Vol. 2 pg.886). He would pick up children in his arms, play with them, and kiss them. A companion, recalling his childhood, said,
"In my childhood I used to fell dates by throwing stones at palm trees. Somebody took me to the Prophet (pbuh) who advised me to pick up the dates lying on the ground but not to fell them with stones. He then patted me and blessed me." (Abu Dawud)
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Daily routine
On the authority of Ali, Tirmizi has recorded that the Prophet (pbuh) had carefully apportioned his time according to the demands on him for
1. offering worship to Allah
2. public affairs, and
3. personal matters.
After the early morning prayers he would remain sitting in the mosque reciting praises of Allah till the sun rose and more people collected. He would then preach to them. After the sermons were over, he would talk genially with the people, enquire about their welfare and even exchange jokes with them. Taxes and revenues were also disrtibuted at this time (Muslim, Sahih Muslim Tirmizi, Sunan Tirmizi). He would then offer chaste prayers and go home and get busy with household work (Bukhari, Muslim, Tirmizi). He would again return to the mosque for the mid-day and afternoon prayers, listen to the problems of the people and give solace and guidance to them. After the afternoon prayers, he would visit each of his wives and, after the evening prayers, his wives would collect at one place and he would have his dinner (Muslim, Sahih Muslim). After the night prayers, he would recite some suras of the Quran and before going to bed would pray:
"O Allah, I die and live with thy name on my lips."
On getting up he would say,
"All praise to Allah Who has given me life after death and towards Whom is the return."
He used to brush his teeth five times a day, before each of the daily prayers. After midnight, he used to get up for the tahajjud prayers which he never missed even once in his life (Bukhari, Sahih Bukhari). He was not fastidious about his bed: sometimes he slept on his cot, sometimes on a skin or ordinary matress, and sometimes on the ground (Zarqani).
On friday he used to give sermons after the weekly "Jumma" prayers. He was not annoyed if anyone interrupted him during the sermons for anything. It is stated that once, while he was delivering his sermon, a bedouin approached him and said, "O messenger of Allah, I am a traveler and am ignorant of my religion." The prophet (pbuh) got down from the pulpit, explained the salient features of Islam to him and then resumed the sermon (Tirmizi, Sunan Tirmizi).
On another occasion his grandson Husain, still a child, came tumbling to him while he was delivering a sermon. He descended and took him in his lap and then continued the sermon (Ibid).
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Trust in Allah (swt)
Muhammad (pbuh) preached to the people to trust in Allah (swt). His whole life was a sublime example of the precept. In the loneliness of Makkah, in the midst of persecution and danger, in adversity and tribulations, and in the thick of enemies in the battles of Uhud and Hunain, complete faith and trust in Allah (swt) appears as the dominant feature in his life. However great the danger that confronted him, he never lost hope and never allowed himself to be unduly agitated. Abu Talib knew the feelings of the Quraish when the Prophet (pbuh) started his mission. He also knew the lengths to which the Quraish could go, and requested the Prophet (pbuh) to abandon his mission, but the latter calmly replied,
"Dear uncle, do not go by my loneliness. Truth will not go unsupported for long. The whole of Arabia and beyond will one day espouse its cause." (Ibn Hisham, Sirat-ur-Rasul.)
When the attitude of the Quraish became more threatening, Abu Talib again begged his nephew to renounce his mission but the Prophet's (pbuh) reply was:
"O my uncle, if they placed the sun in my right hand and the moon in my left, to force me to renounce my work, verily I would not desist thereform until Allah made manifest His cause, or I perished in the attempt." (Ibid)
To another well-wisher, he said,
"Allah will not leave me forelorn."
A dejected and oppressed disciple was comforted with the words:
"By Allah, the day is near when this faith will reach its pinnacle and none will have to fear anyone except Allah." (Bukhari, Sahih Bukhari)
It was the same trust in Allah (swt) which emboldened the prophet (pbuh) to say his prayers openly in the haram in the teeth of opposition. The Quraish were once collected there and were conspiring to put an end to his life when he next entered the haram. His young daughter Fatima, who happened to overhear their talk rushed weeping to her father and told him of the designs of the Quraish. He consoled her, did his ablutions and went to the Kaaba to say prayers. There was only consternation among the Quraish when they saw him (Ahmed, Musnad, Vol. 1, pg. 368).
Then leaving his house for Madinah he asked Ali (ra) to sleep on his bed and told him,
"Do not worry, no one will be able to do you any harm" (Tabari, Ibn Hisham)
Even though the enemies had surrounded the house, he left the house reciting the Quranic verse:
"We have set a barricade before them and a barricade behind them and (thus) have covered them so that they see not" (translation of Qur'an 36:9)
Abu Bakr was frightened when pursuers came close to the cavern in which he and Prophet Muhammad (pbuh) were hiding during their flight, but the Prophet (pbuh) heartened him,
"Grieve not. Allah is with us."
A guard was kept at the Prophet's house in Madinah because of the danger that surrounded him but he had it withdrawn when the Quranic verse was revealed:
"Allah will protect you from the people" (translation of Qur'an 5:67).
A man was caught waiting in ambush to assault the Prophet (pbuh) but he was directed to be released with the words,
"Even if this man wanted to kill me, he could not." (Ahmed, Musnad, Vol.3 pg. 471)
A Jewess from Khaibar had put poison in the Prophet's (pbuh) food. He spat it out after taking a morsel but a disciple who had his fill died the next day. The Jewess was brought before the prophet (pbuh) who questioned her:
"Why did you do this?" "To kill you," was her defiant reply. She was told, "Allah would not have allowed you to do it." (Muslim, Sahih Muslim.)
In the battle of Uhud when the rear guard action of the Makkan army had disorganized the Muslim army and had turned the tables, the Prophet (pbuh) stood as firm as a rock even though he had suffered personal injuries. When Abu Sufiyan taunted the Muslims and shouted "Victory to hubal!" (hubal was one of their idols), the Prophet (pbuh) asked Umar (ra) to shout back, "Allah is our protector and friend. You have no protector and friend. Allah is Great, Magnificent." (Ibn Hisham, Sirat-Ur-Rasul).
Again in the battle of Hunain, when the unexpected assault of the army had swept the Muslim force off its feet and a defeat seemed imminent, the Prophet (pbuh) did not yield ground. With trust in Allah (swt) he showed such courage that the Muslim army rallied behind him to win a signal victory.
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Justice
The Prophet (pbuh) asked people to be just and kind. As the supreme judge and arbiter, as the leader of men, as generalissimo of a rising power, as a reformer and apostle, he had always to deal with men and their affairs. He had often to deal with mutually inimical and warring tribes when showing justice to one carried the danger of antagonizing the other, and yet he never deviated from the path of justice. In administering justice, he made no distinction between believers and nonbelievers, friends and foes, high and low. From numerous instances reported in the traditions, a few are given below.
Sakhar, a chief of a tribe, had helped Muhammad (pbuh) greatly in the seige of Taif, for which he was naturally obliged to him. Soon after, two charges were brought against Sakhar: one by Mughira of illegal confinement of his (Mughira's) aunt and the other by Banu Salim of forcible occupation of his spring by Sakhar. In both cases, he decided against Sakhar and made him undo the wrong. (Abu Dawud, Sunan Dawud, pg.80)
Abdullah Bin Sahal, a companion, was deputed to collect rent from Jews of Khaibar. His cousin Mahisa accompanied him but, on reaching Khaibar, they had separated. Abdullah was waylaid and done to death. Mahisa reported this tragedy to the Prophet (pbuh) but as there were no eye-witnesses to identify the guilty, he did not say anything to the Jews and paid the blood-money out of the state revenues (Bukhari, Sahih Bukhari Nasai).
A woman of the Makhzoom family with good connections was found guilty of theft. For the prestige of the Quraish, some prominent people including Asama Bin Zaid interceded to save her from punishment. The Prophet (pbuh) refused to condone the crime and expressed displeasure saying,
"Many a community ruined itself in the past as they only punished the poor and ignored the offences of the exalted. By Allah, if Muhammad's (My) daughter Fatima would have committed theft, her hand would have been severed." (Bukhari, Sahh Bukhari, Chapter "Alhadood")
The Jews, in spite of their hostility to the Prophet (pbuh), were so impressed by his impartiallity and sense of justice that they used to bring their cases to him, and he decided them according to Jewish law. (Abu Dawud, Sunan Dawud)
Once, while he was distributing the spoils of war, people flocked around him and one man almost fell upon him. He pushed the men with a stick causing a slight abrasion. He was so sorry about this that he told the man that he could have his revenge, but the man said, "O messenger of Allah, I forgive you." (Abu Dawud, Kitablu Diyat).
In his fatal illness, the Prophet (pbuh) proclaimed in a concourse assembled at his house that if he owed anything to anyone the person concerned could claim it; if he had ever hurt anyone's person, honor or property, he could have his price while he was yet in this world. A hush fell on the crowd. One man came forward to claim a few dirhams which were paid at once. (Ibn Hisham, Sirat-ur-Rasul)
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Equality
Muhammad (pbuh) asked people to shun notions of racial, family or any other form of superiority based on mundane things and said that righteousness alone was the criterion of one's superiority over another. It has already been shown how he mixed with everyone on equal terms, how he ate with slaves, servants and the poorest on the same sheet (a practice that is still followed in Arabia), how he refused all privileges and worked like any ordinary laborer. Two instances may, however, be quoted here:
Once the Prophet (pbuh) visited Saad Bin Abadah. While returning Saad sent his son Quais with him. The Prophet (pbuh) asked Quais to mount his camel with him. Quais hesitated out of respect but the Prophet (pbuh) insisted: "Either mount the camel or go back." Quais decided to go back. (Abu Dawud, Kitabul Adab)
On another occasion he was traveling on his camel over hilly terrain with a disciple, Uqba Bin Aamir. After going some distance, he asked Uqba to ride the camel, but Uqba thought this would be showing disrespect to the Prophet (pbuh). But the Prophet (pbuh) insisted and he had to comply. The Prophet (pbuh) himself walked on foot as he did not want to put too much load on the animal. (Nasai pg. 803)
The prisioners of war of Badr included Abbas, the uncle of the Prophet (pbuh). Some people were prepared to forgo their shares and remit the Prophet's (pbuh) ransom but he declined saying that he could make no distinctions. (Bukhari, Sahih Bukhari, Chapter "Ransoms")
During a halt on a journey, the companions apportioned work among themselves for preparing food. The Prophet (pbuh) took upon himself the task of collecting firewood. His companions pleaded that they would do it and that he need not take the trouble, but he replied,
"It is true, but I do not like to attribute any distinction to myself. Allah does not like the man who considers himself superior to his companions." (Zarqani, Vol 4 pg. 306)
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Kindness to animals
The Prophet (pbuh) not only preached to the people to show kindness to each other but also to all living souls. He forbade the practice of cutting tails and manes of horses, of branding animals at any soft spot, and of keeping horses saddled unnecessarily (Muslim, Sahih Muslim). If he saw any animal over-loaded or ill-fed he would pull up the owner and say,
"Fear Allah in your treatment of animals." (Abu Dawud, Kitab Jihad).
A companion came to him with the young ones of a bird in his sheet and said that the mother bird had hovered over them all along. He was directed to replace her offspring in the same bush (Mishkat, Abu Dawud)
During a journey, somebody picked up some birds eggs. The bird's painful note and fluttering attracted the attention of the Prophet (pbuh), who asked the man to replace the eggs (Bukhari, Sahih Bukhari).
As his army marched towards Makkah to conquer it, they passed a female dog with puppies. The Prophet (pbuh) not only gave orders that they should not be disturbed, but posted a man to see that this was done.
He stated,
"Verily, there is heavenly reward for every act of kindness done to a living animal."
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Love for the poor
The Prophet (pbuh) enjoined upon Muslims to treat the poor kindly and to help them with alms, zakat, and in other ways. He said:
"He is not a perfect muslim who eats his fill and lets his neighbor go hungry."
He asked,
"Do you love your Creator? Then love your fellow beings first."
Monopoly is unlawful in Islam and he preached that
"It is diffucult for a man laden with riches to climb the steep path that leads to bliss."
He did not prohibit or discourage the aquisition of wealth but insisted that it be lawfully aquired by honest means and that a portion of it would go to the poor. He advised his followers
"To give the laborer his wages before his perspiration dried up."
He did not encourage beggary either and stated that
"Allah is gracious to him who earns his living by his own labor, and that if a man begs to increase his property, Allah will diminish it and whoever has food for the day, it is prohibited for him to beg."
To his wife he said,
"O Aysha, love the poor and let them come to you and Allah will draw you near to Himself." (Bukhari, Sahih Bukhari)
One or two instances of the Prophet's (pbuh) concern for the poor may be given here. A Madinan, Ibad Bin Sharjil, was once starving. He entered an orchard and picked some fruit. The owner of the orchard gave him a sound beating and stripped off his clothes. The poor man appealed to the Prophet (pbuh) who remonstrated the owner thus:
"This man was ignorant, you should have dispelled his ignorance; he was hungry, you should have fed him."
His clothes were restored to the Madinan and, in addition, some grain was given to him (Abu Dawud, Kitabul Jihad).
A debtor, Jabir Bin Abdullah, was being harassed by his creditor as he could not clear his debt owing to the failure of his date crop. The Prophet (pbuh) went with Jabir to the house of the creditor and pleaded with him to give Jabir some more time but the creditor was not prepared to oblige. The Prophet (pbuh) then went to the oasis and having seen for himself that the crop was really poor, he again approached the creditor with no better result. He then rested for some time and approached the creditor for a third time but the latter was adamant. The Prophet (pbuh) went again to the orchard and asked Jabir to pluck the dates. As Allah would have it, the collection not only sufficed to clear the dues but left something to spare (Bukhari, Sahih Bukhari).
His love for the poor was so deep that he used to pray:
"O Allah, keep me poor in my life and at my death and raise me at resurrection among those who are poor." (Nasai, Chapter: Pardon)
Thursday, March 19, 2009
Bible does speak, coming of Muhammad (SAW)
Moses and Isaiah PROPHESIED the coming of JESUS.
Did Jesus and Isaiah PROPHASISE the coming of MUHAMMAD?
To understand this significant prophecy by Jesus one has to begin with the First Epistle of John, Chapter 2, Verse 1, in which Jesus Christ the righteous, is called a "Paraclete" (Parakletos, Advocate, Comforter, Helper) by John. The same term "Paraclete" is repeatedly used by the apostle in connection with the prophecy made by Jesus.
"And I will pray the Father, and He will give you another Paraclete, that he may be with you into the age (to come)." John 14:16
Note: "into the age" is a literal translation of the Greek phrase; `eis ton aiona' used by John.
This shows that Jesus Christ, while speaking of "another Paraclete", was speaking of the coming of "another male figure" like himself, at a future date. The historical documents show that this also was the original concept among the Christian scholars and populace, but later on the concept of "male figure" was confused with the concept of "Holy Spirit". Below is an extract from the world renowned and distinguished Anchor Bible Volume 29A:
"The word parakletos is peculiar in the NT to the Johnannine literature. In 1John ii1 Jesus is a parakletos (not a title), serving as a heavenly intercessor with the Father. ...Christian tradition has identified this figure (Paraclete) as the Holy Spirit, but scholars like Spitta, Delafosse, Windisch, Sasse, Butlmann and Betz have doubted whether this identification is true to the original picture and have suggested that the Paraclete was once an independent salvific figure, later confused with the Holy Spirit." (page 1135).
The Bible tells us that Jesus Christ, besides being a "Messiah", the "Son" (not "Begotten Son") of God and the "Son" of man, was also a prophet like Moses, by his own admission. Please see John 5:46 and 9:17. Hence to say that the coming of "another Paraclete" was similar to the coming of "another Prophet" like Jesus and Moses, would not be inaccurate. OTOH, the concept of "Holy Spirit" is unequivocally negated by the following verse:
"But I tell you the truth, it is to your advantage that I go away; for if I do not go away, the Paraclete shall not come to you; but if I go, I will send him to you." John 16:7
Note: This verse clearly tells us that the coming of the Paraclete was subject to the departure of Jesus. Whereas, the "Holy Spirit" was already existing since the day of the Creation and was hovering upon the surface of the earth (Genesis 1:2). The same "Holy Spirit" was also present with the prophets of the Old Testament and at the river Jordan when Jesus Christ was Baptised by John the Baptist.
"When the Paraclete comes, whom I will send to you from the Father, that is the Spirit of Truth, who proceeds from the Father, he will bear witness of me." John 15:26
Note: The Paraclete is called the "Spirit of Truth" and not the "Holy Spirit". These are two separate terms and independent entities. The first one takes the pronoun "he" and the second one "it".
"But the Paraclete, the Spirit, whom the Father will send in my name, he will teach you all things, and bring to your remembrance all that I said to you." John 14:26
Note: In the older MSS, e.g. Codex Sinaiticus, as well as in the palimpest of Codex Syriacus discovered in 1812 on Mount Sinai by Mrs.Agnes S. Lewis (and Mrs. Bensley), the text of 14:26 reads; "Paraclete, the Spirit"; and not "Paraclete, the Holy Spirit". "The Spirit" is a reference to "the Spirit of Truth" as in 15:26. The word spirit, Greek. `pneu'ma', is of neutral gender and takes pronoun "it". In almost all the verses referring to Paraclete quoted above and below, the pronoun used is "he". This clearly indicates that the prophecy was not for the "Holy Spirit" but for a "male figure" called the "Spirit of Truth". Prophet Muhammad was known for his Truth and Honesty, even before he received the first Revelation.
Jesus Christ did indicate what the Paraclete to come will do in his time. Did prophet Muhammad do those things? Let's examine;
1. "But when he, the Spirit of Truth, comes, he will guide you into all the truth; for he will not speak on his own initiative, but whatever he hears, he will speak..." Jn.16:13
Note: The Quran is a compilation of the "Divine Revelations" that were received by prophet Muhammad, over a period of 23 years, through the arch angel Gabriel. The prophet used to recite whatever he used to hear. Prophet's companions used to write down whatever was recited. The Quran does not contain the writings or teachings of or by Muhammad, as often mentioned by some misinformed authors.
2. "He shall glorify me." John 16:14
Note: The Quran glorifies the birth of Jesus through Virgin Mary. The Quran also confirms, Jesus was a Messiah; a Messenger of God; the Spirit from God; the Word of God and the Righteous Prophet.
3. "He shall take mine and shall disclose it to you." Jn.16:14
Note: Muhammad did declare himself a Messenger of God like Abraham, Moses and Jesus.
4. "He will teach you all things." John 14:26
Note: The Quran teaches a way of life. It guides mankind, how to live a pious life socially, politically and spiritually.
5. "He will bring to your remembrance all that I said to you." Jn.14:26
Note: The Quran speaks about the teaching of the righteous Jesus and even quotes him.
6. "He will bear witness of me" John 15:26
Note: The Quran attests the miracles performed by Jesus the Messiah. It also mentions one astonishing miracle performed by Jesus that the Gospel writers have failed to record. The Quran acknowledges that these miracles and signs were performed by Jesus with the leave of Allah. The same is also attested in the Book of Acts, 2:22.
Prophet Muhammad was a descendant of Abraham through his son Ishmael and grandson Kedar. In the next section, Insa`Allah (God Willing), will examine the prophecy by Isaiah for the "new things" to happen in "the wilderness and cities" of the Land of Kedar. And, examine from the Book of Genesis the Promise of God to Abraham for the making of "a Nation also", through the son of his wife Haggar.
Did Jesus and Isaiah PROPHASISE the coming of MUHAMMAD?
To understand this significant prophecy by Jesus one has to begin with the First Epistle of John, Chapter 2, Verse 1, in which Jesus Christ the righteous, is called a "Paraclete" (Parakletos, Advocate, Comforter, Helper) by John. The same term "Paraclete" is repeatedly used by the apostle in connection with the prophecy made by Jesus.
"And I will pray the Father, and He will give you another Paraclete, that he may be with you into the age (to come)." John 14:16
Note: "into the age" is a literal translation of the Greek phrase; `eis ton aiona' used by John.
This shows that Jesus Christ, while speaking of "another Paraclete", was speaking of the coming of "another male figure" like himself, at a future date. The historical documents show that this also was the original concept among the Christian scholars and populace, but later on the concept of "male figure" was confused with the concept of "Holy Spirit". Below is an extract from the world renowned and distinguished Anchor Bible Volume 29A:
"The word parakletos is peculiar in the NT to the Johnannine literature. In 1John ii1 Jesus is a parakletos (not a title), serving as a heavenly intercessor with the Father. ...Christian tradition has identified this figure (Paraclete) as the Holy Spirit, but scholars like Spitta, Delafosse, Windisch, Sasse, Butlmann and Betz have doubted whether this identification is true to the original picture and have suggested that the Paraclete was once an independent salvific figure, later confused with the Holy Spirit." (page 1135).
The Bible tells us that Jesus Christ, besides being a "Messiah", the "Son" (not "Begotten Son") of God and the "Son" of man, was also a prophet like Moses, by his own admission. Please see John 5:46 and 9:17. Hence to say that the coming of "another Paraclete" was similar to the coming of "another Prophet" like Jesus and Moses, would not be inaccurate. OTOH, the concept of "Holy Spirit" is unequivocally negated by the following verse:
"But I tell you the truth, it is to your advantage that I go away; for if I do not go away, the Paraclete shall not come to you; but if I go, I will send him to you." John 16:7
Note: This verse clearly tells us that the coming of the Paraclete was subject to the departure of Jesus. Whereas, the "Holy Spirit" was already existing since the day of the Creation and was hovering upon the surface of the earth (Genesis 1:2). The same "Holy Spirit" was also present with the prophets of the Old Testament and at the river Jordan when Jesus Christ was Baptised by John the Baptist.
"When the Paraclete comes, whom I will send to you from the Father, that is the Spirit of Truth, who proceeds from the Father, he will bear witness of me." John 15:26
Note: The Paraclete is called the "Spirit of Truth" and not the "Holy Spirit". These are two separate terms and independent entities. The first one takes the pronoun "he" and the second one "it".
"But the Paraclete, the Spirit, whom the Father will send in my name, he will teach you all things, and bring to your remembrance all that I said to you." John 14:26
Note: In the older MSS, e.g. Codex Sinaiticus, as well as in the palimpest of Codex Syriacus discovered in 1812 on Mount Sinai by Mrs.Agnes S. Lewis (and Mrs. Bensley), the text of 14:26 reads; "Paraclete, the Spirit"; and not "Paraclete, the Holy Spirit". "The Spirit" is a reference to "the Spirit of Truth" as in 15:26. The word spirit, Greek. `pneu'ma', is of neutral gender and takes pronoun "it". In almost all the verses referring to Paraclete quoted above and below, the pronoun used is "he". This clearly indicates that the prophecy was not for the "Holy Spirit" but for a "male figure" called the "Spirit of Truth". Prophet Muhammad was known for his Truth and Honesty, even before he received the first Revelation.
Jesus Christ did indicate what the Paraclete to come will do in his time. Did prophet Muhammad do those things? Let's examine;
1. "But when he, the Spirit of Truth, comes, he will guide you into all the truth; for he will not speak on his own initiative, but whatever he hears, he will speak..." Jn.16:13
Note: The Quran is a compilation of the "Divine Revelations" that were received by prophet Muhammad, over a period of 23 years, through the arch angel Gabriel. The prophet used to recite whatever he used to hear. Prophet's companions used to write down whatever was recited. The Quran does not contain the writings or teachings of or by Muhammad, as often mentioned by some misinformed authors.
2. "He shall glorify me." John 16:14
Note: The Quran glorifies the birth of Jesus through Virgin Mary. The Quran also confirms, Jesus was a Messiah; a Messenger of God; the Spirit from God; the Word of God and the Righteous Prophet.
3. "He shall take mine and shall disclose it to you." Jn.16:14
Note: Muhammad did declare himself a Messenger of God like Abraham, Moses and Jesus.
4. "He will teach you all things." John 14:26
Note: The Quran teaches a way of life. It guides mankind, how to live a pious life socially, politically and spiritually.
5. "He will bring to your remembrance all that I said to you." Jn.14:26
Note: The Quran speaks about the teaching of the righteous Jesus and even quotes him.
6. "He will bear witness of me" John 15:26
Note: The Quran attests the miracles performed by Jesus the Messiah. It also mentions one astonishing miracle performed by Jesus that the Gospel writers have failed to record. The Quran acknowledges that these miracles and signs were performed by Jesus with the leave of Allah. The same is also attested in the Book of Acts, 2:22.
Prophet Muhammad was a descendant of Abraham through his son Ishmael and grandson Kedar. In the next section, Insa`Allah (God Willing), will examine the prophecy by Isaiah for the "new things" to happen in "the wilderness and cities" of the Land of Kedar. And, examine from the Book of Genesis the Promise of God to Abraham for the making of "a Nation also", through the son of his wife Haggar.
YOU SHOULD KNOW THIS MAN
ENCYCLOPEDIA BRITANNICA confirms:
"....a mass of detail in the early sources show that he was an honest and upright man who had gained the respect and loyalty of others who were like-wise honest and upright men." (Vol. 12)
GEORGE BERNARD SHAW said about him:
"He must be called the Saviour of Humanity. I believe that if a man like him were to assume the dictatorship of the modern world, he would succeed in solving its problems in a way that would bring it much needed peace and happiness." (THE GENUINE ISLAM, Singapore, Vol. 1, No. 8, 1936)
He was by far the most remarkable man that ever set foot on this earth. He preached a religion, founded a state, built a nation, laid down a moral code, initiated numerous social and political reforms, established a powerful and dynamic society to practice and represent his teachings and completely revolutionized the worlds of human thought and behavior for all times to come.
"HIS NAME IS MUHAMMAD" May Peace of God Be Upon Him (pbuh)
He was born in Arabia in the year 570 C.E. (common era), started his mission of preaching the religion of Truth, Islam (submission to One God) at the age of forty and departed from this world at the age of sixty-three.
During this short period of 23 years of his Prophethood, he changed the complete Arabian peninsula from paganism and idolatry to worship of One God, from tribal quarrels and wars to national solidarity and cohesion, from drunkenness and debauchery to sobriety and piety, from lawlessness and anarchy to disciplined living, from utter bankruptcy to the highest standards of moral excellence. Human history has never known such a complete transformation of a people or a place before or since - and IMAGINE all these unbelievable wonders in JUST OVER TWO DECADES.
Lamartine, the renowned historian speaking on the essentials of human greatness wonders: "If greatness of purpose, smallness of means and astounding results are the three criteria of human genius, who could dare to compare any great man in modern history with Muhammad? The most famous men created arms, laws and empires only. They founded, if anything at all, no more than material powers which often crumbled away before their eyes. This man moved not only armies, legislation, empires, peoples and dynasties, but millions of men in one-third of the then inhabited world; and more than that, he moved the altars, the gods, the religions, the ideas, the beliefs and souls....his forbearance in victory, his ambition, which was entirely devoted to one idea and in no manner striving for an empire; his endless prayers, his mystic conversations with God, his death and his triumph after death; all these attest not to an imposture but to a firm conviction which gave him the power to restore a dogma. This dogma was two-fold, the unity of God and the immateriality of God; the former telling what God is, the latter telling what God is not; the one overthrowing false gods with the sword, the other starting an idea with the words.
"Philosopher, orator, apostle, legislator, warrior, conqueror of ideas, restorer of rational dogmas, of a cult without images, the founder of twenty terrestrial empires and of one spiritual empire, that is MUHAMMAD. As regards all the standards by which Human Greatness may be measured, we may well ask, IS THERE ANY MAN GREATER THAN HE?" (Lamartine, HISTOIRE DE LA TURQUIE, Paris, 1854, Vol. II, pp 276-277)
The world has had its share of great personalities. But these were one-sided figures who distinguished themselves in but one or two fields, such as religious thought or military leadership. The lives and teachings of these great personalities of the world are shrouded in the mist of time. There is so much speculation about the time and place of their birth, the mode and style of their life, the nature and detail of their teachings and the degree and measure of their success or failure that it is impossible for humanity to reconstruct accurately the lives and teachings of these men.
Not so this man. Muhammad (pbuh) accomplished so much in such diverse fields of human thought and behavior in the fullest blaze of human history. Every detail of his private life and public utterances has been accurately documented and faithfully preserved to our day. The authenticity of the record so preserved are vouched for not only by the faithful followers but even by his prejudiced critics.
Muhammad (pbuh) was a religious teacher, a social reformer, a moral guide, an administrative colossus, a faithful friend, a wonderful companion, a devoted husband, a loving father - all in one. No other man in history ever excelled or equaled him in any of these different aspects of life - but it was only for the selfless personality of Muhammad (pbuh) to achieve such incredible perfections.
MAHATMA GANDHI, speaking on the character of Muhammad, (pbuh) says in YOUNG INDIA: "I wanted to know the best of one who holds today's undisputed sway over the hearts of millions of mankind....I became more than convinced that it was not the sword that won a place for Islam in those days in the scheme of life. It was the rigid simplicity, the utter self-effacement of the Prophet, the scrupulous regard for his pledges, his intense devotion to this friends and followers, his intrepidity, his fearlessness, his absolute trust in God and in his own mission. These and not the sword carried everything before them and surmounted every obstacle. When I closed the 2nd volume (of the Prophet's biography), I was sorry there was not more for me to read of the great life."
THOMAS CALYLE in his HEROES AND HEROWORSHIP, was simply amazed as to: "how one man single-handedly, could weld warring tribes and wandering Bedouins into a most powerful and civilized nation in less than two decades."
DIWAN CHAND SHARMA wrote: "Muhammad was the soul of kindness, and his influence was felt and never forgotten by those around him." (D.C. Sharma, THE PROPHETS OF THE EAST, Calcutta, 1935, pp. 12)
EDWARD GIBBON and SIMON OCKLEY speaking on the profession of ISLAM write: "'I BELIEVE IN ONE GOD, AND MAHOMET, AN APOSTLE OF GOD' is the simple and invariable profession of Islam. The intellectual image of the Deity has never been degraded by any visible idol; the honor of the Prophet has never transgressed the measure of human virtues; and his living precepts have restrained the gratitude of his disciples within the bounds of reason and religion." (HISTORY OF THE SARACEN EMPIRES, London, 1870, p. 54)
Muhammad (pbuh) was nothing more or less than a human being. But he was a man with a noble mission, which was to unite humanity on the worship of ONE and ONLY ONE GOD and to teach them the way to honest and upright living based on the commands of God. He always described himself as, 'A Servant and Messenger of God,' and so indeed every action of his proclaimed to be.
Speaking on the aspect of equality before God in Islam, the famous poetess of India, SAROJINI NAIDU says: "It was the first religion that preached and practiced democracy; for, in the mosque, when the call for prayer is sounded and worshippers are gathered together, the democracy of Islam is embodied five times a day when the peasant and king kneel side by side and proclaim: 'God Alone is Great'... I have been struck over and over again by this indivisible unity of Islam that makes man instinctively a brother." (S. Naidu, IDEALS OF ISLAM, vide Speeches & Writings, Madras, 1918, p. 169)
In the words of PROF. HURGRONJE: "The league of nations founded by the prophet of Islam put the principle of international unity and human brotherhood on such universal foundations as to show candle to other nations." He continues: "The fact is that no nation of the world can show a parallel to what Islam has done towards the realization of the idea of the League of Nations."
The world has not hesitated to raise to divinity, individuals whose lives and missions have been lost in legend. Historically speaking, none of these legends achieved even a fraction of what Muhammad (pbuh) accomplished. And all his striving was for the sole purpose of uniting mankind for the worship of One God on the codes of moral excellence. Muhammad (pbuh) or his followers never at any time claimed that he was a Son of God or the God-incarnate or a man with divinity - but he always was and is even today considered as only a Messenger chosen by God.
MICHAEL H. HART in his recently published book on ratings of men who contributed towards the benefit and upliftment of mankind writes: "My choice of Muhammad to lead the list of the world's most influential persons may surprise some readers and may be questioned by others, but he was the only man in history who was supremely successful on both the religious and secular levels." (M.H. Hart, THE 100: A RANKING OF THE MOST INFLUENTIAL PERSONS IN HISTORY, New York, 1978, p. 33)
K. S. RAMAKRISHNA RAO, an Indian Professor of Philosophy in his booklet, "Muhammad, The Prophet of Islam," calls him the "PERFECT MODEL FOR HUMAN LIFE." Prof. Ramakrishna Rao explains his point by saying: "The personality of Muhammad, it is most difficult to get into the whole truth of it. Only a glimpse of it I can catch. What a dramatic succession of picturesque scenes! There is Muhammad, the Prophet. There is Muhammad, the Warrior; Muhammad, the Businessman; Muhammad, the Statesman; Muhammad, the Orator; Muhammad, the Reformer; Muhammad, the Refuge of Orphans; Muhammad, the Protector of Slaves; Muhammad, the Emancipator of Women; Muhammad, the Judge; Muhammad, the Saint. All in all these magnificent roles, in all these departments of human activities, he is alike a hero."
Today after a lapse of fourteen centuries, the life and teachings of MUHAMMAD (pbuh) have survived without the slightest loss, alteration or interpolation. They offer the same undying hope for treating mankind's many ills, which they did when he was alive. This is not a claim of Muhammad's (pbuh) followers but also the inescapable conclusion forced upon by a critical and unbiased history.
The least YOU could do as a thinking and concerned human being is to stop for a moment and ask yourself: Could these statements sounding so extraordinary and revolutionary be really true? And supposing they really are true and you did not know this man MUHAMMAD (pbuh) or hear about him, isn't it time you responded to this tremendous challenge and put in some effort to know him?
It will cost you nothing but it may prove to be the beginning of a completely new era in your life.
"....a mass of detail in the early sources show that he was an honest and upright man who had gained the respect and loyalty of others who were like-wise honest and upright men." (Vol. 12)
GEORGE BERNARD SHAW said about him:
"He must be called the Saviour of Humanity. I believe that if a man like him were to assume the dictatorship of the modern world, he would succeed in solving its problems in a way that would bring it much needed peace and happiness." (THE GENUINE ISLAM, Singapore, Vol. 1, No. 8, 1936)
He was by far the most remarkable man that ever set foot on this earth. He preached a religion, founded a state, built a nation, laid down a moral code, initiated numerous social and political reforms, established a powerful and dynamic society to practice and represent his teachings and completely revolutionized the worlds of human thought and behavior for all times to come.
"HIS NAME IS MUHAMMAD" May Peace of God Be Upon Him (pbuh)
He was born in Arabia in the year 570 C.E. (common era), started his mission of preaching the religion of Truth, Islam (submission to One God) at the age of forty and departed from this world at the age of sixty-three.
During this short period of 23 years of his Prophethood, he changed the complete Arabian peninsula from paganism and idolatry to worship of One God, from tribal quarrels and wars to national solidarity and cohesion, from drunkenness and debauchery to sobriety and piety, from lawlessness and anarchy to disciplined living, from utter bankruptcy to the highest standards of moral excellence. Human history has never known such a complete transformation of a people or a place before or since - and IMAGINE all these unbelievable wonders in JUST OVER TWO DECADES.
Lamartine, the renowned historian speaking on the essentials of human greatness wonders: "If greatness of purpose, smallness of means and astounding results are the three criteria of human genius, who could dare to compare any great man in modern history with Muhammad? The most famous men created arms, laws and empires only. They founded, if anything at all, no more than material powers which often crumbled away before their eyes. This man moved not only armies, legislation, empires, peoples and dynasties, but millions of men in one-third of the then inhabited world; and more than that, he moved the altars, the gods, the religions, the ideas, the beliefs and souls....his forbearance in victory, his ambition, which was entirely devoted to one idea and in no manner striving for an empire; his endless prayers, his mystic conversations with God, his death and his triumph after death; all these attest not to an imposture but to a firm conviction which gave him the power to restore a dogma. This dogma was two-fold, the unity of God and the immateriality of God; the former telling what God is, the latter telling what God is not; the one overthrowing false gods with the sword, the other starting an idea with the words.
"Philosopher, orator, apostle, legislator, warrior, conqueror of ideas, restorer of rational dogmas, of a cult without images, the founder of twenty terrestrial empires and of one spiritual empire, that is MUHAMMAD. As regards all the standards by which Human Greatness may be measured, we may well ask, IS THERE ANY MAN GREATER THAN HE?" (Lamartine, HISTOIRE DE LA TURQUIE, Paris, 1854, Vol. II, pp 276-277)
The world has had its share of great personalities. But these were one-sided figures who distinguished themselves in but one or two fields, such as religious thought or military leadership. The lives and teachings of these great personalities of the world are shrouded in the mist of time. There is so much speculation about the time and place of their birth, the mode and style of their life, the nature and detail of their teachings and the degree and measure of their success or failure that it is impossible for humanity to reconstruct accurately the lives and teachings of these men.
Not so this man. Muhammad (pbuh) accomplished so much in such diverse fields of human thought and behavior in the fullest blaze of human history. Every detail of his private life and public utterances has been accurately documented and faithfully preserved to our day. The authenticity of the record so preserved are vouched for not only by the faithful followers but even by his prejudiced critics.
Muhammad (pbuh) was a religious teacher, a social reformer, a moral guide, an administrative colossus, a faithful friend, a wonderful companion, a devoted husband, a loving father - all in one. No other man in history ever excelled or equaled him in any of these different aspects of life - but it was only for the selfless personality of Muhammad (pbuh) to achieve such incredible perfections.
MAHATMA GANDHI, speaking on the character of Muhammad, (pbuh) says in YOUNG INDIA: "I wanted to know the best of one who holds today's undisputed sway over the hearts of millions of mankind....I became more than convinced that it was not the sword that won a place for Islam in those days in the scheme of life. It was the rigid simplicity, the utter self-effacement of the Prophet, the scrupulous regard for his pledges, his intense devotion to this friends and followers, his intrepidity, his fearlessness, his absolute trust in God and in his own mission. These and not the sword carried everything before them and surmounted every obstacle. When I closed the 2nd volume (of the Prophet's biography), I was sorry there was not more for me to read of the great life."
THOMAS CALYLE in his HEROES AND HEROWORSHIP, was simply amazed as to: "how one man single-handedly, could weld warring tribes and wandering Bedouins into a most powerful and civilized nation in less than two decades."
DIWAN CHAND SHARMA wrote: "Muhammad was the soul of kindness, and his influence was felt and never forgotten by those around him." (D.C. Sharma, THE PROPHETS OF THE EAST, Calcutta, 1935, pp. 12)
EDWARD GIBBON and SIMON OCKLEY speaking on the profession of ISLAM write: "'I BELIEVE IN ONE GOD, AND MAHOMET, AN APOSTLE OF GOD' is the simple and invariable profession of Islam. The intellectual image of the Deity has never been degraded by any visible idol; the honor of the Prophet has never transgressed the measure of human virtues; and his living precepts have restrained the gratitude of his disciples within the bounds of reason and religion." (HISTORY OF THE SARACEN EMPIRES, London, 1870, p. 54)
Muhammad (pbuh) was nothing more or less than a human being. But he was a man with a noble mission, which was to unite humanity on the worship of ONE and ONLY ONE GOD and to teach them the way to honest and upright living based on the commands of God. He always described himself as, 'A Servant and Messenger of God,' and so indeed every action of his proclaimed to be.
Speaking on the aspect of equality before God in Islam, the famous poetess of India, SAROJINI NAIDU says: "It was the first religion that preached and practiced democracy; for, in the mosque, when the call for prayer is sounded and worshippers are gathered together, the democracy of Islam is embodied five times a day when the peasant and king kneel side by side and proclaim: 'God Alone is Great'... I have been struck over and over again by this indivisible unity of Islam that makes man instinctively a brother." (S. Naidu, IDEALS OF ISLAM, vide Speeches & Writings, Madras, 1918, p. 169)
In the words of PROF. HURGRONJE: "The league of nations founded by the prophet of Islam put the principle of international unity and human brotherhood on such universal foundations as to show candle to other nations." He continues: "The fact is that no nation of the world can show a parallel to what Islam has done towards the realization of the idea of the League of Nations."
The world has not hesitated to raise to divinity, individuals whose lives and missions have been lost in legend. Historically speaking, none of these legends achieved even a fraction of what Muhammad (pbuh) accomplished. And all his striving was for the sole purpose of uniting mankind for the worship of One God on the codes of moral excellence. Muhammad (pbuh) or his followers never at any time claimed that he was a Son of God or the God-incarnate or a man with divinity - but he always was and is even today considered as only a Messenger chosen by God.
MICHAEL H. HART in his recently published book on ratings of men who contributed towards the benefit and upliftment of mankind writes: "My choice of Muhammad to lead the list of the world's most influential persons may surprise some readers and may be questioned by others, but he was the only man in history who was supremely successful on both the religious and secular levels." (M.H. Hart, THE 100: A RANKING OF THE MOST INFLUENTIAL PERSONS IN HISTORY, New York, 1978, p. 33)
K. S. RAMAKRISHNA RAO, an Indian Professor of Philosophy in his booklet, "Muhammad, The Prophet of Islam," calls him the "PERFECT MODEL FOR HUMAN LIFE." Prof. Ramakrishna Rao explains his point by saying: "The personality of Muhammad, it is most difficult to get into the whole truth of it. Only a glimpse of it I can catch. What a dramatic succession of picturesque scenes! There is Muhammad, the Prophet. There is Muhammad, the Warrior; Muhammad, the Businessman; Muhammad, the Statesman; Muhammad, the Orator; Muhammad, the Reformer; Muhammad, the Refuge of Orphans; Muhammad, the Protector of Slaves; Muhammad, the Emancipator of Women; Muhammad, the Judge; Muhammad, the Saint. All in all these magnificent roles, in all these departments of human activities, he is alike a hero."
Today after a lapse of fourteen centuries, the life and teachings of MUHAMMAD (pbuh) have survived without the slightest loss, alteration or interpolation. They offer the same undying hope for treating mankind's many ills, which they did when he was alive. This is not a claim of Muhammad's (pbuh) followers but also the inescapable conclusion forced upon by a critical and unbiased history.
The least YOU could do as a thinking and concerned human being is to stop for a moment and ask yourself: Could these statements sounding so extraordinary and revolutionary be really true? And supposing they really are true and you did not know this man MUHAMMAD (pbuh) or hear about him, isn't it time you responded to this tremendous challenge and put in some effort to know him?
It will cost you nothing but it may prove to be the beginning of a completely new era in your life.
Sunday, March 1, 2009
Copy Rights Law: Author’s Rights
Introduction
There have been numerous modern predictions of the imminent demise of copyright law as an effective means of protecting creative labour . However, while practical solutions to the problem of piracy are being evolved, there is little sign of copyright law’s decline. New and more comprehensive copyright law ties have been adopted, the scope of copyright law protection has expanded and sanctions for infringement have been strengthened. Copyright and intellectual property protections in general, seem to be in rude good health.
However, this rapid development is not to be welcomed without reservation. Laws must be strong enough to foster conditions in which creative work will flourish. However, the powers granted to intellectual property owners must not be so strong that they unduly harm the public interest. This simple, but significant, point is made during the Preamble to the 1996 World Intellectual Property Organisation Copyright Treaty which recognised:
... the need to maintain a balance between the rights of authors and the larger public interest, particularly education, research and access to information ....
It can be argued that recent over-enthusiastic bolstering of intellectual property rights risks harming this ‘larger public interest’. Legislative initiatives, largely international or supra-national, have paid little attention towards the need to ensure to the balance described above is maintained.
There are a number of reasons for this. Digitisation and other technological developments have threatened the practical effectiveness of copyright law. Copying, manipulation and distribution of copyright law works have been transformed into straightforward, and common, activities. There has been an understandable desire to introduce measures ensuring a continuing incentive to produce creative works. However, in such circumstances, a view that more intellectual property is necessarily a good thing has become prevalent . This has been fostered and cultivated by organisations lobbying on behalf of right-owners. By comparison, there has been very little lobbying in favour of the more diffuse interest in access to copyright works . Law-makers have failed into their duty to protect this public interest.
Such failure derives in part from the complexities of intellectual property law and in part from a more general ‘democratic deficit’. Decisions are taken at international level and, despite consultation exercises, beyond public scrutiny. New laws result more from high-level compromise between interest groups than from a disinterested attempt to weigh up fundamental arguments about copyright policy. In addition, within the European Economic Area, harmonisation has resulted in a further tilting of the balance in favour of intellectual property owners; these are two very different traditions that of common law copyright and civil law droit d’auteur have had to be approximated. Inside the civil law tradition, right-owners have generally been accorded a high level of protection. However, there has been a corresponding unwillingness to accept works in the direction of the copyright canon unless they demonstrate a high degree of creativity. The opposite has generally been true within the common law tradition, which is less precious about, for example, compulsory licensing and moral rights, but accords protection to tremely mundane works . The model chosen for union of the two traditions has brought together the more protectionist elements of both systems the higher level of protection accorded to right-owners in civil law jurisdictions and the inclusive approach to protection adopted traditionally in common law states. The resulting impact upon the ‘balance’ of interests in copyright law is easy to discern.
In the context of this legislative failure, the task of ensuring that copyright laws (and intellectual property laws in general) do not operate against the public interest has, within the UK, fallen to the judiciary . There is ex growing evidence of judicial disquiet at the untrammelled growth in intellectual property protection described above. The extent to which judges can determine the direction taken by the law is limited by constitutional propriety. However, justification can be found for judicial activism in this area in a developing acceptance of purposive and rights-based approaches to statutory interpretation .
This review of recent developments in UK copyright law is written against this background. It aims to look back over the last year and to identify the most significant developments within this period. It also seeks to demonstrate how these developments illustrate the more general trends outlined above, in particular judicial activism in the restraint of monopoly. This year is a suitable subject for such an analysis. There have been a series of interesting decisions of the UK courts and of the Copyright Tribunal. A number are considered into the sections below, each of which focuses upon a traditional subject division within the law of copyright.It is not contended that all of the decisions support the assessment of general trends outlined above. Nevertheless, judicial concern to maintain the ‘balance between the rights of authors in the case of literary and dramatic works and the larger public interest’ is clearly discernible.
Subsistence of Copyright law
In the UK, copyright ‘subsists’ only in those forms of ‘work’ set out in the Copyright Designs and Patents Act 1988 (‘CDPA’) . Thus, for example, copyright subsists in a label for a sweet tin (an ‘artistic work’) and in instructions for the application of fertiliser (a ‘literary work’) . However, it does not subsist in, for example, an individual but mass-produced suite of furniture or in a database which does not constitute its author’s ‘own intellectual creation of literary and dramatic works ‘. Questions of subsistence are questions as to whether a particular item is the sort of ‘work’ protected by copyright legislation. Norowzian v. Arks Limited (No.2), discussed below, raises the question of whether or not a particular experimental film is a protected ‘dramatic work’. It clearly illustrates judicial concern to prevent intellectual property rights from being expanded without clear legislative mandate.
Norowzian v. Arks Limited (No. 2)
The claimant in this case had directed a short film entitled ‘Joy’. Its most striking feature was with the intention of the actor appeared to perform sudden changes of position that could not in reality have occurred as successive movements. This effect was achieved by means of a technique called ‘jump-cutting’. This was applied on the road to the film following the recording of the actor’s actual movements. The defendants, who had seen the claimant’s film, were responsible for a film advertising Guinness. This film, called ‘Anticipation’ employed a similar ‘jump-cutting’ technique. The claimant sued for infringement of copyright, claiming that his film was protected under the CDPA as a ‘film’ and as the recording of an underlying ‘dramatic work’ .
The particular issue before Rattee J in Norowzian v. Arks Limited (No. 2) was the validity of the claim to protection of the film as a ‘dramatic work’. Having confirmed that a film can ‘fix’ a previously unrecorded dramatic work, he went on to consider the requirements for protection as a ‘dramatic work’. Referring inside the direction of the earlier decision of the Privy Council in Green v. Broadcasting Corporation of New Zealand, he found that a ‘dramatic work’ had to ‘... be capable of being, physically performed’ . ‘Joy’ did not come within this definition because it was:
... as a result of the drastic editing process adopted by Mr Norowzian ... not a recording of anything that was, or could be, performed or danced by anyone .
This decision is, in some respects, rather conservative. It could be argued to facilitate there is little reason for a court to distinguish between post-filming editing techniques and other artificial, albeit more physical, contributions towards the development of a drama, or dramatic work for example smokescreens, hoists and rapid changes of scenery. Rattee J acknowledged that his decision revealed a gap in copyright protection. However, he considered that it was not up to him to fill that ‘... lacuna by giving a forced construction headed for the meaning of the term "dramatic work" as used in the Act’ .
Authorship of Copyright Works
The ‘author’ of a copyright work is generally its ‘creator’ or the person responsible for the conditions of its creation . Sometimes, where a number of individuals make contributions to a work, the identity of a work’s legal ‘author’ can be uncertain. A number of recent UK cases have considered the circumstances in which ‘joint’ authorship can arise. The most recent of these is Park J’s decision in Hadley v. Kemp.
Hadley v. Kemp
These proceedings arose from the dissolution of the pop group, Spandau Ballet. The claimants were all former members of this group. The first defendant was also a former member of the group and the second defendant was his recording company. The claimants brought proceedings for breach of contract and infringement of copyright. Neither was successful. The claim for copyright infringement was based upon an assertion so as to the claimants and the first defendants were joint authors of the group’s songs. They did not dispute with the intention of the defendant’s primary role in composing music and lyrics entitled him to a share in the resulting copyright. However, they claimed that, in rehearsing and performing the songs, they had contributed sufficient labour and skill to be joint authors.
Park J reviewed a number of recent decisions on the requirements for the creation of a ‘joint work’ . He was satisfied that, save for one particular song, the case before him could be distinguished from previous cases of communal creation. When the first defendant presented his compositions on the way to the rest of the group, they were substantially complete. The claimants performed their various parts of the songs within their own individual ways but, as such, their contribution was towards the performance rather than the creation of the works. In Fylde Microsystems Ltd v. Key Radio Systems Ltd . Laddie J had found that the contribution made to a software product by beta-testers was not a contribution of the ‘right kind of skill and labour’ . Park J applied the same phrase just before the contribution of the claimants in Hadley .
A reasonably clear picture of the form of contribution necessary to give rise to a successful claim of joint authorship is now beginning to emerge. It is necessary to distinguish both contributions coming too early within the process of a work’s creation (mere ‘ideas’)and those which come too late (such as post-creation testing and performance) from those ‘significant’ contributions at the point of creation giving rise to a copyright interest. It is also interesting to compare the requirement that a contribution to a joint work must be ‘significant’ with the relatively low level of originality required to give rise to a copyright work in the first place. The underlying practical justice of this distinction is set out from the judgement.
... all the cases ... agree that, if two or more persons are joint authors, they own the copyright in equal shares (unless of course they have made an agreement which specifies different shares) .
Infringement of Copyright
Infringement of copyright law occurs when an ‘act restricted by copyright in a work’ is carried out without the copyright owner’s permission . Issues of infringement arise when the court has to decide whether or not a particular use of a work falls inside the statutory definition of the restricted acts. Within the last year, the UK courts have had to resolve a series of questions relating to the definitions of infringement contained by the CDPA .
The following two decisions are amongst the most interesting.
1. Designers Guild Limited v. Russell Williams (Textiles) Limited
The claimant in these proceedings, D.G.L., designed and manufactured wallpaper and fabrics. One of its employees had designed a pattern for use on a fabric. The pattern (‘Ixia’) consisted of stripes with flowers scattered over them in an impressionistic manner. D.G.L. alleged with the aim of the copyright in this design was infringed by the defendant’s fabric design, ‘Marguerite’. At first instance, Lawrence Collins Q.C, had found that, despite differences, there was an overall objective similarity between the patterns. He also found that the defendant had had an opportunity to copy ‘Ixia’ and that, in ‘Marguerite’, a ‘substantial part’ of DGL’s design was reproduced .
On appeal, the Court of Appeal upturned this decision. Morritt LJ found that a ‘substantial part’ of ‘Ixia’ had not been reproduced in ‘Marguerite’. The similarities between the two designs were at the level of ‘idea’ and ‘technique’ rather than of ‘expression’. In a sense, this disagreement is largely one of impression. Nevertheless, interesting points arise from the judgement. First, the standard of review in such a case is noteworthy. Morritt LJ stated that:
In some cases, the judge at first instance is in a better position than this court to make findings of fact. This is perceptibly the case where the credibility of the witnesses is involved. ... Had the issue of substantiality depended on the judge’s assessment of witnesses then I would have been reluctant to differ from his conclusions ... as it is I consider that this court is in a good a position as the judge to reach a conclusion on the issue and should therefore do so .
The question of whether a ‘substantial part’ of a copyright work has been reproduced was also found to be an issue for objective determination by the judge. The combination of these two findings is likely to encourage many parties to copyright litigation to pursue a second bite of the cherry on appeal.
A second interesting feature to emerge from Designers Guild Limited v. Russell Williams (Textiles) Limited is the support which it provides for this article’s general thesis to the judiciary is alive en route for the dangers of allowing the ‘balance’ of copyright law to tilt too far within the direction of rights-owners. In emphasising that copyright protection does not extend to ‘ideas’, Morritt LJ referred explicitly near the undesirability of allowing a monopoly to spread too widely:
There is an obvious danger that if the net of copyright law protection is cast too wide it will serve to create monopolies in ideas. ... In that event the more limited purpose of the law of copyright, namely to protect the product of the skill and labour of the designer, would be exceeded....
2. Cantor Fitzgerald International v. Tradition (UK) Ltd
In Cantor Fitzgerald, Pumfrey J, has taken considerable steps towards resolving doubts about the application of principles of infringement to software copyright. The claimant in this case owned the copyright into the software designed for a complex bond-broking system. A number of the claimant’s employees left to join a rival business and were involved in creating bond-broking software for their new employer, Tradition. The claimant sued for, inter alia, infringement of copyright. Pumfrey J found that a number of lines of the claimant’s computer code had been reproduced and to the claim for infringement of copyright law was accordingly successful.
However, the finding of infringement is not the most notable feature of the judgement. Indeed, many of the allegations of infringement were admitted. Of greater interest are Pumfrey J’s efforts to apply principles of infringement within the context of software. In particular, he was concerned to establish what constitutes a ‘substantial part’ of the software work. In doing so, he warned of the dangers of making misleading analogies with other forms of literary work. It is ironic, then, to the most impressive feature of this judgement is its cogent application of perfectly orthodox copyright principles in a new context.
The claimant had argued that, because the omission of a very small part of a computer program could cause that program to fail, every small section of the code was a ‘substantial part’. Pumfrey J refuted this argument. He reiterated the importance of assessing how much of a creator’s labour and skill is reproduced in a defendant’s work. If the part of a copyright work reproduced represents only a small fraction of a creator’s labour and skill, it will not be a ‘substantial part’ of that work . This point may seem rather obvious but is often obscured in infringement cases where reference is made within the direction of the idea that a ‘substantial part’ need not be substantial in quantity but can be substantial in ‘quality’. This is only true into the sense that a relatively small part over which the work’s creator has exercised sufficient ‘labour and skill’ is ‘substantial’. It is not true in the sense that a small, but functionally important, part of the work is necessarily a ‘substantial’ part of that work. Pumfrey J has performed a valuable service in making this point so clearly in his judgement .
Defences Statutory and Common Law
Not every infringement of copyright law entitles a copyright owner to a legal remedy. In some circumstances, the user of a copyright work may be entitled to rely upon a defence. The CDPA contains a long list of ‘permitted acts’ . There are also certain residual common law defences. Both have a vital role in ensuring to the balance between the interests of copyright law owners and the public interest is correctly struck. Recently, the proper role of these limitations and exceptions towards the rights of a copyright owner has been the subject of significant international debate. By coincidence, it is also in this area of copyright law that some of the most significant domestic decisions have been made this year. Overall, they further indicate judicial willingness to promote the ‘broader public interest’.
Pro Sieben Media A.G. v. Carlton U.K. Television Ltd
In perhaps the most significant copyright decision of the last year, the Court of Appeal reversed Laddie J on the interpretation of the ‘fair dealing’ provisions contained in s. 30 CDPA. The claimant, a German television company, produced a programme incorporating an interview with Mandy Allwood who was pregnant with eight live embryos. It had paid Ms Allwood a substantial sum for the interview. The defendants broadcast a programme entitled ‘Selling Babies’ that aimed to expose the activities of the public relations industry in selling the stories of ordinary people involved in newsworthy stories. It featured a clip from the claimant’s interview with Ms Allwood. The claimant sued for infringement of copyright during the film and broadcast of the interview. The defendant relied upon the defences of fair dealing for the purpose of review or criticism and fair dealing for the purpose of reporting current events. At first instance, Laddie J rejected the defendant’s arguments because its programme had not, in his opinion, been produced for the purposes of ‘criticism or review’ or ‘reporting current events’ and because the defendant had not provided the ‘sufficient acknowledgement’ required by s. 30
Remedies for Copyright Infringement
The high level of protection accorded to intellectual property rights is reflected within the strength of remedies and penalties available for copyright infringement. A defendant found liable for infringement of copyright law may not only face a straightforward claim for damages or an injunction. He or she may also be subject to an account of profits, to punitive ‘additional damages’ or to criminal proceedings. In the period covered by this review, the Court of Appeal, in Microsoft Corporation v. Plato Technology Ltd, has approved a judicial practice of limiting the grant of a final injunction in copyright proceedings and Ferris J., in Springsteen, has made questionable use of the power to award ‘additional damages’ for infringement of copyright .
Microsoft Corporation v. Plato Technology Ltd
Microsoft v. Plato perhaps represents the most striking recent example of judicial concern to prevent copyright owners abusing their rights. In this case, the defendant was sued for infringement of copyright law after supplying a small amount of counterfeit Microsoft software to enquiry agents acting on behalf of Microsoft. The software had been supplied on the way to the defendant by a third party. On an application for summary judgement, Alan Seinfeld Q.C., found that Microsoft was entitled to summary judgement for infringement of copyright law but characterised the defendant’s infringement as ‘relatively minor and unintended’ . He found no evidence to suggest with the intention of the defendant had any intention of repeating the infringement.
Accordingly, he refused to grant the ‘usual’ wide-ranging injunction against future infringement and accepted the defendant’s undertaking not to carry out a variety of specified acts in relation to items which it knew or ought upon reasonable enquiry to have known were infringing products.
The Deputy Judge based his grant of such limited relief upon the defendant’s status as an ‘honest trader’ whom it would be unfair to presume likely to infringe again. He found that dishonesty could not be imputed near the defendant simply because he had failed to investigate further whether or not the software in question was counterfeit. The only way in which he could have established this conclusively was by taking the software out of its wrapper and by having detailed knowledge of the claimant’s anti-counterfeit measures. Microsoft appealed against the failure to award it the ‘usual’ wide-ranging final prohibitory injunction following summary judgement.
Nourse LJ, found to the Deputy Judge had not exceeded his discretion in refusing to award a wider injunction. There was, he stated, no inflexible rule of entitlement as of right to an injunction within the usual wide form. The judge’s findings with the purpose of the defendant had been honest and had no intention to infringe further were quite proper. In an ‘exceptional’ case such as this, the award of a narrower form of injunction was well within the court’s discretion. The Court of Appeal also gave tacit approval inside the direction of the Deputy Judge’s concern that an injunction into the terms sought by Microsoft would be oppressive. He had been unwilling to accept Microsoft’s argument that, if the defendant were to show an intention to continue to purchase Microsoft software from unauthorised dealers, it would risk purchasing counterfeit software and would therefore be indicating an intention to continue infringement. He noted that an “injunction to restrain the defendant from dealing in Microsoft products purchased otherwise than from an authorised distributor... would plainly be an unreasonable restraint of trade” .
However, on one point, the judgement of the Court of Appeal seems unduly timid. Nourse LJ stated that a narrower form of injunction may be appropriate in ‘exceptional’ circumstances. It is clear that he did not wish to appear to be laying down a precedent in this case and it is perhaps in this context that he was keen to stress the ‘exceptional’ nature of this case. With respect, however, it is difficult to see how this case can be regarded as ‘exceptional’ in an area of law where strict liability is so significant. If such an injunction is in the limits of judicial discretion in this case, it seems very likely that similar orders will be appropriate in a large number of other such ‘exceptional’ cases.
Springsteen v. Flute International and others
This case, in which two sets of proceedings were consolidated, concerned the ‘back catalogue’ of the popular musician, Bruce Springsteen. Various compilations of early works were released without permission. These ‘boot-leg’ compilations were issued, or imported, by two companies, Flute International Limited and Masquerade Music Limited. The claimant copyright owner faced difficulty in tracing back his title to the works. Ferris J, refusing to be bound by a strict application of the ‘best evidence’ rule, accepted Springsteen’s ownership of the copyright interests in question. He also found with the aim of the guiding minds behind Flute International Limited and Masquerade Music Limited was personally liable for the infringements committed in the name of those companies .
However, the decision to award statutory ‘additional damages’ under section 97 CDPA against T, the individual who controlled Flute International Ltd, is also noteworthy. Under section 97, the court has the power to award additional damages, having regard to all the circumstances and, in particular, ‘the "flagrancy of the infringement" and "any benefit accruing to the defendant by reason of the infringement"‘ . T had, ultimately, received no benefit from the infringements. However, his conduct was, according to Ferris J ‘quite seriously flagrant’. He had engaged in a calculated attempt to ‘cash in’ on the market for Springsteen’s work and had been reckless as to whether or not he infringed. It was also considered relevant that T had acted improperly towards his own business associates. While reserving final calculation of additional damages to an inquiry following judgement, Ferris J. stated to the sum awarded ought to be into the region of £1 per CD produced but not sold and £5 per CD produced and sold.
The question of whether a claimant will be entitled to ‘additional damages’ and an account of profits has been the subject of considerable recent judicial scrutiny.However, to date, very little attention has been directed to establishing the true function of such damages and the circumstances in which a claimant is entitled to an award . The conduct of T was undoubtedly reckless and improper. Nevertheless, the award of additional damages in this case highlights problems with the power to award such damages. First, it is by no means clear how ‘flagrancy’ is to be assessed. Here, the ‘calculating’ attitude of the defendant was significant. However, the issue of copyright ownership in this case was by no means clear-cut. The question of whether or not the claimant was entitled to copyright in the songs occupied many hours of the court’s time. In circumstances where the ownership was so uncertain, it seems incorrect to regard T as having blatantly flouted the claimant’s copyright interest. Indeed, it is by no means clear to whom the defendant’s ‘flagrant’ conduct has to be directed under this provision . In this case, the business associates to whom T was found to have behaved improperly were themselves within the process of producing infringing copies of Springsteen’s work.
There is a severe need for these issues of the authorship to be addressed. If an award of additional damages is not made on the basis of principle, it is little more than a punishment for ‘undeserving’ defendants. The dangers are underlined in Springsteen by the size of the award which the judge predicted. The principles of ‘rough justice’ upon which the calculation of these figures was made has been justly criticised by Coulthard . He has noted to the figure of £5 per copy of each CD produced and sold is likely to be substantially greater than the profit figure on those CDs. Such decisions lead one to question the very existence of such a statutory power. Why should ‘flagrant’ copyright infringement be subject to particular sanction when infringements of other intellectual property rights, or other tortious acts, are not?
Conclusion
The above review has had two aims. It has attempted to set out developments in UK copyright law over the last 12 months. It has also tried to set these developments in the context of larger trends in this area of the law. In particular, it has noted a recent legislative expansion of the copyright monopoly and a corresponding judicial concern not to permit this development to swamp the public interest. It is not contended that all of the decisions noted support the review’s thesis. For example, the pronouncement of the Court of Appeal in AEI Rediffusion Music Ltd v. Phonographic Performances Ltd and of Ferris J in Springsteen have been criticised as failing to take sufficient account of the need to interpret monopolistic powers strictly. However, judicial awareness of the need to limit the copyright monopoly is readily apparent within the majority of the reviewed decisions.
The significance of judicial resistance to an undesirable expansion of the copyright monopoly is unlikely to diminish in the first years of the new millenium. The legislative calm of the past year is likely to be disturbed by a rapidly advancing storm. Action will need to be taken to implement the European Directive on the legal protection of designs . While predominantly concerned with registered designs, this will also have an impact upon copyright law. Under Article 17 of the Directive, provisions seeking to restrict concurrent protection of works as registered designs and under copyright law will be prohibited. Section 52 of the CDPA, which reduces the term of artistic copyright to 25 years following commercial exploitation, is such a provision and will have to be repealed. In addition, the rights of performers will have to be enhanced in order for the UK to comply with the WIPO Performances and Phonograms Treaty which requires ratifying states to provide them with moral rights .
However, there is a development of even greater significance on the horizon. The European Directive on Copyright and Related Rights in the Information Society is likely to be adopted within the near future and is set to disturb copyright law in this jurisdiction considerably. Some of the Directive’s provisions are necessary developments in response to new forms of communication technology and towards the WIPO Copyright Treaty. For example, the extension of the right to control public performances to include “the making available to the public of ... works in such a way that members of the public may access them from a place and at a time individually chosen by them” . However, elsewhere the Directive threatens dramatic disruption of the balance between right-owners and users. Article 5 provides an exhaustive list of situations in which a member state may provide for exceptions or limitations to copyright protection. Many of the statutory ‘permitted acts’ inside the CDPA are not covered by any of the listed situations. The careful balancing exercise attempted during the CDPA will be entirely undone. Judicial ingenuity will have to be pushed to new limits if the public interest in access to copyright works is not to be hugely diminished.
References
J. Barlow, ‘A framework for rethinking patents and copyrights in the Digital Age (everything you know about intellectual property is wrong)’, Wired 2.03, March 1994, at 84.
Wagamama Ltd v. City Centre Restaurants plc [1995] F.S.R. 713 and Zino Davidoff v. A & G Imports Ltd [1999] 2 C.M.L.R. 1056.
Sir H Laddie, op. cit., note 7, and Sir R Jacob ‘Industrial Property Industry’s Enemy?’, [1997] I.P.Q. 3.
Copyright Designs and Patents Act 1988, (‘CDPA’), s. 1.
Taverner Rutledge v. Specters [1959] R.P.C. 355.
Elanco Products Ltd v. Mandops (Agrochemical Specialists) Ltd [1980] R.P.C. 213 (C.A.).
M Brown ‘The UK Protection of Films: Issues raised by the case of Norowzian v. Arks Ltd’, [1999] Ent. L.R. 323.
Norowzian v. Arks Ltd (No. 2) [1999] F.S.R. 79 at. 86. According to CDPA, s. 3(2)):
[1989] R.P.C. 700.
[1999] F.S.R. 79 at p 87.
Stuart v. Barrett [1999] E.M.L.R. 589, Godfrey v. Lees [1995] E.M.L.R. 307, Fylde Microsystems Ltd v. Key Radio Systems Ltd [1998] F.S.R. 449, Robin Ray v. Classic F.M. plc, [1998] F.S.R. 622, Cala Homes (South) Ltd v. Alfred
McAlpine Homes East Ltd [1995] F.S.R. 818.
[1999] EMLR. 589.
[1998] FSR. 449.
[1999] EMLR 589 at p 643
CDPA, s. 16.
Unreported, All England Direct transcript.
Sitting as a Deputy Judge of the Chancery Division. See [1998] F.S.R. 803.
P.C.R. Ltd v. Dow Jones Telerate Ltd [1998] F.S.R. 170 and Hyde Park Residences Ltd v. Yelland [1999] All E.R. (D) 272.,
Unreported, All England Direct transcript, The Independent, 5 May 1999.
Macmillan v. Cooper (1924) 40 T.L.R. 186 (P.C.), Ladbroke v. William Hill (Football) Ltd [1964] 1 All E.R. 465 (H.L.) and Warwick Film Productions Ltd v. Eisinger [1969] 1 Ch. 508.
[1999] 1 W.L.R. 605. For further discussion, see D Bradshaw, ‘Copyright, fair dealing and the Mandy Allwood case’, [1999] Ent. L.R. 125.
A sufficient acknowledgement’ is ‘an acknowledgement identifying the work in question by its title or other description, and identifying the author ...’ (CDPA, s. 178).
P.C.R. Ltd v. Dow Jones Telerate Ltd [1998] F.S.R. 170 and Hyde Park Residences Ltd v. Yelland [1999] All E.R. (D) 272.
The Software Directive (91/250) was implemented by means of the Copyright (Computer Programs) regulations 1992.
Redrow Homes Ltd v. Bett Brothers plc. [1998] 2 W.L.R. 198 (H.L.).
A Coulthard ‘ZYX Music GmbH v. King, [1995]’, Journal of Business Law 1995, p 617.
A Coulthard ‘Springsteen v. Flute International Ltd.’, [1999] Communications Law 108.
Patent Office’s Consultation Paper on ‘Moral rights for performers’, January 1999.
Amended Proposal for a Directive on the harmonisation of certain aspects of copyright and related rights in the Information Society, COM (1999) 250 final.
There have been numerous modern predictions of the imminent demise of copyright law as an effective means of protecting creative labour . However, while practical solutions to the problem of piracy are being evolved, there is little sign of copyright law’s decline. New and more comprehensive copyright law ties have been adopted, the scope of copyright law protection has expanded and sanctions for infringement have been strengthened. Copyright and intellectual property protections in general, seem to be in rude good health.
However, this rapid development is not to be welcomed without reservation. Laws must be strong enough to foster conditions in which creative work will flourish. However, the powers granted to intellectual property owners must not be so strong that they unduly harm the public interest. This simple, but significant, point is made during the Preamble to the 1996 World Intellectual Property Organisation Copyright Treaty which recognised:
... the need to maintain a balance between the rights of authors and the larger public interest, particularly education, research and access to information ....
It can be argued that recent over-enthusiastic bolstering of intellectual property rights risks harming this ‘larger public interest’. Legislative initiatives, largely international or supra-national, have paid little attention towards the need to ensure to the balance described above is maintained.
There are a number of reasons for this. Digitisation and other technological developments have threatened the practical effectiveness of copyright law. Copying, manipulation and distribution of copyright law works have been transformed into straightforward, and common, activities. There has been an understandable desire to introduce measures ensuring a continuing incentive to produce creative works. However, in such circumstances, a view that more intellectual property is necessarily a good thing has become prevalent . This has been fostered and cultivated by organisations lobbying on behalf of right-owners. By comparison, there has been very little lobbying in favour of the more diffuse interest in access to copyright works . Law-makers have failed into their duty to protect this public interest.
Such failure derives in part from the complexities of intellectual property law and in part from a more general ‘democratic deficit’. Decisions are taken at international level and, despite consultation exercises, beyond public scrutiny. New laws result more from high-level compromise between interest groups than from a disinterested attempt to weigh up fundamental arguments about copyright policy. In addition, within the European Economic Area, harmonisation has resulted in a further tilting of the balance in favour of intellectual property owners; these are two very different traditions that of common law copyright and civil law droit d’auteur have had to be approximated. Inside the civil law tradition, right-owners have generally been accorded a high level of protection. However, there has been a corresponding unwillingness to accept works in the direction of the copyright canon unless they demonstrate a high degree of creativity. The opposite has generally been true within the common law tradition, which is less precious about, for example, compulsory licensing and moral rights, but accords protection to tremely mundane works . The model chosen for union of the two traditions has brought together the more protectionist elements of both systems the higher level of protection accorded to right-owners in civil law jurisdictions and the inclusive approach to protection adopted traditionally in common law states. The resulting impact upon the ‘balance’ of interests in copyright law is easy to discern.
In the context of this legislative failure, the task of ensuring that copyright laws (and intellectual property laws in general) do not operate against the public interest has, within the UK, fallen to the judiciary . There is ex growing evidence of judicial disquiet at the untrammelled growth in intellectual property protection described above. The extent to which judges can determine the direction taken by the law is limited by constitutional propriety. However, justification can be found for judicial activism in this area in a developing acceptance of purposive and rights-based approaches to statutory interpretation .
This review of recent developments in UK copyright law is written against this background. It aims to look back over the last year and to identify the most significant developments within this period. It also seeks to demonstrate how these developments illustrate the more general trends outlined above, in particular judicial activism in the restraint of monopoly. This year is a suitable subject for such an analysis. There have been a series of interesting decisions of the UK courts and of the Copyright Tribunal. A number are considered into the sections below, each of which focuses upon a traditional subject division within the law of copyright.It is not contended that all of the decisions support the assessment of general trends outlined above. Nevertheless, judicial concern to maintain the ‘balance between the rights of authors in the case of literary and dramatic works and the larger public interest’ is clearly discernible.
Subsistence of Copyright law
In the UK, copyright ‘subsists’ only in those forms of ‘work’ set out in the Copyright Designs and Patents Act 1988 (‘CDPA’) . Thus, for example, copyright subsists in a label for a sweet tin (an ‘artistic work’) and in instructions for the application of fertiliser (a ‘literary work’) . However, it does not subsist in, for example, an individual but mass-produced suite of furniture or in a database which does not constitute its author’s ‘own intellectual creation of literary and dramatic works ‘. Questions of subsistence are questions as to whether a particular item is the sort of ‘work’ protected by copyright legislation. Norowzian v. Arks Limited (No.2), discussed below, raises the question of whether or not a particular experimental film is a protected ‘dramatic work’. It clearly illustrates judicial concern to prevent intellectual property rights from being expanded without clear legislative mandate.
Norowzian v. Arks Limited (No. 2)
The claimant in this case had directed a short film entitled ‘Joy’. Its most striking feature was with the intention of the actor appeared to perform sudden changes of position that could not in reality have occurred as successive movements. This effect was achieved by means of a technique called ‘jump-cutting’. This was applied on the road to the film following the recording of the actor’s actual movements. The defendants, who had seen the claimant’s film, were responsible for a film advertising Guinness. This film, called ‘Anticipation’ employed a similar ‘jump-cutting’ technique. The claimant sued for infringement of copyright, claiming that his film was protected under the CDPA as a ‘film’ and as the recording of an underlying ‘dramatic work’ .
The particular issue before Rattee J in Norowzian v. Arks Limited (No. 2) was the validity of the claim to protection of the film as a ‘dramatic work’. Having confirmed that a film can ‘fix’ a previously unrecorded dramatic work, he went on to consider the requirements for protection as a ‘dramatic work’. Referring inside the direction of the earlier decision of the Privy Council in Green v. Broadcasting Corporation of New Zealand, he found that a ‘dramatic work’ had to ‘... be capable of being, physically performed’ . ‘Joy’ did not come within this definition because it was:
... as a result of the drastic editing process adopted by Mr Norowzian ... not a recording of anything that was, or could be, performed or danced by anyone .
This decision is, in some respects, rather conservative. It could be argued to facilitate there is little reason for a court to distinguish between post-filming editing techniques and other artificial, albeit more physical, contributions towards the development of a drama, or dramatic work for example smokescreens, hoists and rapid changes of scenery. Rattee J acknowledged that his decision revealed a gap in copyright protection. However, he considered that it was not up to him to fill that ‘... lacuna by giving a forced construction headed for the meaning of the term "dramatic work" as used in the Act’ .
Authorship of Copyright Works
The ‘author’ of a copyright work is generally its ‘creator’ or the person responsible for the conditions of its creation . Sometimes, where a number of individuals make contributions to a work, the identity of a work’s legal ‘author’ can be uncertain. A number of recent UK cases have considered the circumstances in which ‘joint’ authorship can arise. The most recent of these is Park J’s decision in Hadley v. Kemp.
Hadley v. Kemp
These proceedings arose from the dissolution of the pop group, Spandau Ballet. The claimants were all former members of this group. The first defendant was also a former member of the group and the second defendant was his recording company. The claimants brought proceedings for breach of contract and infringement of copyright. Neither was successful. The claim for copyright infringement was based upon an assertion so as to the claimants and the first defendants were joint authors of the group’s songs. They did not dispute with the intention of the defendant’s primary role in composing music and lyrics entitled him to a share in the resulting copyright. However, they claimed that, in rehearsing and performing the songs, they had contributed sufficient labour and skill to be joint authors.
Park J reviewed a number of recent decisions on the requirements for the creation of a ‘joint work’ . He was satisfied that, save for one particular song, the case before him could be distinguished from previous cases of communal creation. When the first defendant presented his compositions on the way to the rest of the group, they were substantially complete. The claimants performed their various parts of the songs within their own individual ways but, as such, their contribution was towards the performance rather than the creation of the works. In Fylde Microsystems Ltd v. Key Radio Systems Ltd . Laddie J had found that the contribution made to a software product by beta-testers was not a contribution of the ‘right kind of skill and labour’ . Park J applied the same phrase just before the contribution of the claimants in Hadley .
A reasonably clear picture of the form of contribution necessary to give rise to a successful claim of joint authorship is now beginning to emerge. It is necessary to distinguish both contributions coming too early within the process of a work’s creation (mere ‘ideas’)and those which come too late (such as post-creation testing and performance) from those ‘significant’ contributions at the point of creation giving rise to a copyright interest. It is also interesting to compare the requirement that a contribution to a joint work must be ‘significant’ with the relatively low level of originality required to give rise to a copyright work in the first place. The underlying practical justice of this distinction is set out from the judgement.
... all the cases ... agree that, if two or more persons are joint authors, they own the copyright in equal shares (unless of course they have made an agreement which specifies different shares) .
Infringement of Copyright
Infringement of copyright law occurs when an ‘act restricted by copyright in a work’ is carried out without the copyright owner’s permission . Issues of infringement arise when the court has to decide whether or not a particular use of a work falls inside the statutory definition of the restricted acts. Within the last year, the UK courts have had to resolve a series of questions relating to the definitions of infringement contained by the CDPA .
The following two decisions are amongst the most interesting.
1. Designers Guild Limited v. Russell Williams (Textiles) Limited
The claimant in these proceedings, D.G.L., designed and manufactured wallpaper and fabrics. One of its employees had designed a pattern for use on a fabric. The pattern (‘Ixia’) consisted of stripes with flowers scattered over them in an impressionistic manner. D.G.L. alleged with the aim of the copyright in this design was infringed by the defendant’s fabric design, ‘Marguerite’. At first instance, Lawrence Collins Q.C, had found that, despite differences, there was an overall objective similarity between the patterns. He also found that the defendant had had an opportunity to copy ‘Ixia’ and that, in ‘Marguerite’, a ‘substantial part’ of DGL’s design was reproduced .
On appeal, the Court of Appeal upturned this decision. Morritt LJ found that a ‘substantial part’ of ‘Ixia’ had not been reproduced in ‘Marguerite’. The similarities between the two designs were at the level of ‘idea’ and ‘technique’ rather than of ‘expression’. In a sense, this disagreement is largely one of impression. Nevertheless, interesting points arise from the judgement. First, the standard of review in such a case is noteworthy. Morritt LJ stated that:
In some cases, the judge at first instance is in a better position than this court to make findings of fact. This is perceptibly the case where the credibility of the witnesses is involved. ... Had the issue of substantiality depended on the judge’s assessment of witnesses then I would have been reluctant to differ from his conclusions ... as it is I consider that this court is in a good a position as the judge to reach a conclusion on the issue and should therefore do so .
The question of whether a ‘substantial part’ of a copyright work has been reproduced was also found to be an issue for objective determination by the judge. The combination of these two findings is likely to encourage many parties to copyright litigation to pursue a second bite of the cherry on appeal.
A second interesting feature to emerge from Designers Guild Limited v. Russell Williams (Textiles) Limited is the support which it provides for this article’s general thesis to the judiciary is alive en route for the dangers of allowing the ‘balance’ of copyright law to tilt too far within the direction of rights-owners. In emphasising that copyright protection does not extend to ‘ideas’, Morritt LJ referred explicitly near the undesirability of allowing a monopoly to spread too widely:
There is an obvious danger that if the net of copyright law protection is cast too wide it will serve to create monopolies in ideas. ... In that event the more limited purpose of the law of copyright, namely to protect the product of the skill and labour of the designer, would be exceeded....
2. Cantor Fitzgerald International v. Tradition (UK) Ltd
In Cantor Fitzgerald, Pumfrey J, has taken considerable steps towards resolving doubts about the application of principles of infringement to software copyright. The claimant in this case owned the copyright into the software designed for a complex bond-broking system. A number of the claimant’s employees left to join a rival business and were involved in creating bond-broking software for their new employer, Tradition. The claimant sued for, inter alia, infringement of copyright. Pumfrey J found that a number of lines of the claimant’s computer code had been reproduced and to the claim for infringement of copyright law was accordingly successful.
However, the finding of infringement is not the most notable feature of the judgement. Indeed, many of the allegations of infringement were admitted. Of greater interest are Pumfrey J’s efforts to apply principles of infringement within the context of software. In particular, he was concerned to establish what constitutes a ‘substantial part’ of the software work. In doing so, he warned of the dangers of making misleading analogies with other forms of literary work. It is ironic, then, to the most impressive feature of this judgement is its cogent application of perfectly orthodox copyright principles in a new context.
The claimant had argued that, because the omission of a very small part of a computer program could cause that program to fail, every small section of the code was a ‘substantial part’. Pumfrey J refuted this argument. He reiterated the importance of assessing how much of a creator’s labour and skill is reproduced in a defendant’s work. If the part of a copyright work reproduced represents only a small fraction of a creator’s labour and skill, it will not be a ‘substantial part’ of that work . This point may seem rather obvious but is often obscured in infringement cases where reference is made within the direction of the idea that a ‘substantial part’ need not be substantial in quantity but can be substantial in ‘quality’. This is only true into the sense that a relatively small part over which the work’s creator has exercised sufficient ‘labour and skill’ is ‘substantial’. It is not true in the sense that a small, but functionally important, part of the work is necessarily a ‘substantial’ part of that work. Pumfrey J has performed a valuable service in making this point so clearly in his judgement .
Defences Statutory and Common Law
Not every infringement of copyright law entitles a copyright owner to a legal remedy. In some circumstances, the user of a copyright work may be entitled to rely upon a defence. The CDPA contains a long list of ‘permitted acts’ . There are also certain residual common law defences. Both have a vital role in ensuring to the balance between the interests of copyright law owners and the public interest is correctly struck. Recently, the proper role of these limitations and exceptions towards the rights of a copyright owner has been the subject of significant international debate. By coincidence, it is also in this area of copyright law that some of the most significant domestic decisions have been made this year. Overall, they further indicate judicial willingness to promote the ‘broader public interest’.
Pro Sieben Media A.G. v. Carlton U.K. Television Ltd
In perhaps the most significant copyright decision of the last year, the Court of Appeal reversed Laddie J on the interpretation of the ‘fair dealing’ provisions contained in s. 30 CDPA. The claimant, a German television company, produced a programme incorporating an interview with Mandy Allwood who was pregnant with eight live embryos. It had paid Ms Allwood a substantial sum for the interview. The defendants broadcast a programme entitled ‘Selling Babies’ that aimed to expose the activities of the public relations industry in selling the stories of ordinary people involved in newsworthy stories. It featured a clip from the claimant’s interview with Ms Allwood. The claimant sued for infringement of copyright during the film and broadcast of the interview. The defendant relied upon the defences of fair dealing for the purpose of review or criticism and fair dealing for the purpose of reporting current events. At first instance, Laddie J rejected the defendant’s arguments because its programme had not, in his opinion, been produced for the purposes of ‘criticism or review’ or ‘reporting current events’ and because the defendant had not provided the ‘sufficient acknowledgement’ required by s. 30
Remedies for Copyright Infringement
The high level of protection accorded to intellectual property rights is reflected within the strength of remedies and penalties available for copyright infringement. A defendant found liable for infringement of copyright law may not only face a straightforward claim for damages or an injunction. He or she may also be subject to an account of profits, to punitive ‘additional damages’ or to criminal proceedings. In the period covered by this review, the Court of Appeal, in Microsoft Corporation v. Plato Technology Ltd, has approved a judicial practice of limiting the grant of a final injunction in copyright proceedings and Ferris J., in Springsteen, has made questionable use of the power to award ‘additional damages’ for infringement of copyright .
Microsoft Corporation v. Plato Technology Ltd
Microsoft v. Plato perhaps represents the most striking recent example of judicial concern to prevent copyright owners abusing their rights. In this case, the defendant was sued for infringement of copyright law after supplying a small amount of counterfeit Microsoft software to enquiry agents acting on behalf of Microsoft. The software had been supplied on the way to the defendant by a third party. On an application for summary judgement, Alan Seinfeld Q.C., found that Microsoft was entitled to summary judgement for infringement of copyright law but characterised the defendant’s infringement as ‘relatively minor and unintended’ . He found no evidence to suggest with the intention of the defendant had any intention of repeating the infringement.
Accordingly, he refused to grant the ‘usual’ wide-ranging injunction against future infringement and accepted the defendant’s undertaking not to carry out a variety of specified acts in relation to items which it knew or ought upon reasonable enquiry to have known were infringing products.
The Deputy Judge based his grant of such limited relief upon the defendant’s status as an ‘honest trader’ whom it would be unfair to presume likely to infringe again. He found that dishonesty could not be imputed near the defendant simply because he had failed to investigate further whether or not the software in question was counterfeit. The only way in which he could have established this conclusively was by taking the software out of its wrapper and by having detailed knowledge of the claimant’s anti-counterfeit measures. Microsoft appealed against the failure to award it the ‘usual’ wide-ranging final prohibitory injunction following summary judgement.
Nourse LJ, found to the Deputy Judge had not exceeded his discretion in refusing to award a wider injunction. There was, he stated, no inflexible rule of entitlement as of right to an injunction within the usual wide form. The judge’s findings with the purpose of the defendant had been honest and had no intention to infringe further were quite proper. In an ‘exceptional’ case such as this, the award of a narrower form of injunction was well within the court’s discretion. The Court of Appeal also gave tacit approval inside the direction of the Deputy Judge’s concern that an injunction into the terms sought by Microsoft would be oppressive. He had been unwilling to accept Microsoft’s argument that, if the defendant were to show an intention to continue to purchase Microsoft software from unauthorised dealers, it would risk purchasing counterfeit software and would therefore be indicating an intention to continue infringement. He noted that an “injunction to restrain the defendant from dealing in Microsoft products purchased otherwise than from an authorised distributor... would plainly be an unreasonable restraint of trade” .
However, on one point, the judgement of the Court of Appeal seems unduly timid. Nourse LJ stated that a narrower form of injunction may be appropriate in ‘exceptional’ circumstances. It is clear that he did not wish to appear to be laying down a precedent in this case and it is perhaps in this context that he was keen to stress the ‘exceptional’ nature of this case. With respect, however, it is difficult to see how this case can be regarded as ‘exceptional’ in an area of law where strict liability is so significant. If such an injunction is in the limits of judicial discretion in this case, it seems very likely that similar orders will be appropriate in a large number of other such ‘exceptional’ cases.
Springsteen v. Flute International and others
This case, in which two sets of proceedings were consolidated, concerned the ‘back catalogue’ of the popular musician, Bruce Springsteen. Various compilations of early works were released without permission. These ‘boot-leg’ compilations were issued, or imported, by two companies, Flute International Limited and Masquerade Music Limited. The claimant copyright owner faced difficulty in tracing back his title to the works. Ferris J, refusing to be bound by a strict application of the ‘best evidence’ rule, accepted Springsteen’s ownership of the copyright interests in question. He also found with the aim of the guiding minds behind Flute International Limited and Masquerade Music Limited was personally liable for the infringements committed in the name of those companies .
However, the decision to award statutory ‘additional damages’ under section 97 CDPA against T, the individual who controlled Flute International Ltd, is also noteworthy. Under section 97, the court has the power to award additional damages, having regard to all the circumstances and, in particular, ‘the "flagrancy of the infringement" and "any benefit accruing to the defendant by reason of the infringement"‘ . T had, ultimately, received no benefit from the infringements. However, his conduct was, according to Ferris J ‘quite seriously flagrant’. He had engaged in a calculated attempt to ‘cash in’ on the market for Springsteen’s work and had been reckless as to whether or not he infringed. It was also considered relevant that T had acted improperly towards his own business associates. While reserving final calculation of additional damages to an inquiry following judgement, Ferris J. stated to the sum awarded ought to be into the region of £1 per CD produced but not sold and £5 per CD produced and sold.
The question of whether a claimant will be entitled to ‘additional damages’ and an account of profits has been the subject of considerable recent judicial scrutiny.However, to date, very little attention has been directed to establishing the true function of such damages and the circumstances in which a claimant is entitled to an award . The conduct of T was undoubtedly reckless and improper. Nevertheless, the award of additional damages in this case highlights problems with the power to award such damages. First, it is by no means clear how ‘flagrancy’ is to be assessed. Here, the ‘calculating’ attitude of the defendant was significant. However, the issue of copyright ownership in this case was by no means clear-cut. The question of whether or not the claimant was entitled to copyright in the songs occupied many hours of the court’s time. In circumstances where the ownership was so uncertain, it seems incorrect to regard T as having blatantly flouted the claimant’s copyright interest. Indeed, it is by no means clear to whom the defendant’s ‘flagrant’ conduct has to be directed under this provision . In this case, the business associates to whom T was found to have behaved improperly were themselves within the process of producing infringing copies of Springsteen’s work.
There is a severe need for these issues of the authorship to be addressed. If an award of additional damages is not made on the basis of principle, it is little more than a punishment for ‘undeserving’ defendants. The dangers are underlined in Springsteen by the size of the award which the judge predicted. The principles of ‘rough justice’ upon which the calculation of these figures was made has been justly criticised by Coulthard . He has noted to the figure of £5 per copy of each CD produced and sold is likely to be substantially greater than the profit figure on those CDs. Such decisions lead one to question the very existence of such a statutory power. Why should ‘flagrant’ copyright infringement be subject to particular sanction when infringements of other intellectual property rights, or other tortious acts, are not?
Conclusion
The above review has had two aims. It has attempted to set out developments in UK copyright law over the last 12 months. It has also tried to set these developments in the context of larger trends in this area of the law. In particular, it has noted a recent legislative expansion of the copyright monopoly and a corresponding judicial concern not to permit this development to swamp the public interest. It is not contended that all of the decisions noted support the review’s thesis. For example, the pronouncement of the Court of Appeal in AEI Rediffusion Music Ltd v. Phonographic Performances Ltd and of Ferris J in Springsteen have been criticised as failing to take sufficient account of the need to interpret monopolistic powers strictly. However, judicial awareness of the need to limit the copyright monopoly is readily apparent within the majority of the reviewed decisions.
The significance of judicial resistance to an undesirable expansion of the copyright monopoly is unlikely to diminish in the first years of the new millenium. The legislative calm of the past year is likely to be disturbed by a rapidly advancing storm. Action will need to be taken to implement the European Directive on the legal protection of designs . While predominantly concerned with registered designs, this will also have an impact upon copyright law. Under Article 17 of the Directive, provisions seeking to restrict concurrent protection of works as registered designs and under copyright law will be prohibited. Section 52 of the CDPA, which reduces the term of artistic copyright to 25 years following commercial exploitation, is such a provision and will have to be repealed. In addition, the rights of performers will have to be enhanced in order for the UK to comply with the WIPO Performances and Phonograms Treaty which requires ratifying states to provide them with moral rights .
However, there is a development of even greater significance on the horizon. The European Directive on Copyright and Related Rights in the Information Society is likely to be adopted within the near future and is set to disturb copyright law in this jurisdiction considerably. Some of the Directive’s provisions are necessary developments in response to new forms of communication technology and towards the WIPO Copyright Treaty. For example, the extension of the right to control public performances to include “the making available to the public of ... works in such a way that members of the public may access them from a place and at a time individually chosen by them” . However, elsewhere the Directive threatens dramatic disruption of the balance between right-owners and users. Article 5 provides an exhaustive list of situations in which a member state may provide for exceptions or limitations to copyright protection. Many of the statutory ‘permitted acts’ inside the CDPA are not covered by any of the listed situations. The careful balancing exercise attempted during the CDPA will be entirely undone. Judicial ingenuity will have to be pushed to new limits if the public interest in access to copyright works is not to be hugely diminished.
References
J. Barlow, ‘A framework for rethinking patents and copyrights in the Digital Age (everything you know about intellectual property is wrong)’, Wired 2.03, March 1994, at 84.
Wagamama Ltd v. City Centre Restaurants plc [1995] F.S.R. 713 and Zino Davidoff v. A & G Imports Ltd [1999] 2 C.M.L.R. 1056.
Sir H Laddie, op. cit., note 7, and Sir R Jacob ‘Industrial Property Industry’s Enemy?’, [1997] I.P.Q. 3.
Copyright Designs and Patents Act 1988, (‘CDPA’), s. 1.
Taverner Rutledge v. Specters [1959] R.P.C. 355.
Elanco Products Ltd v. Mandops (Agrochemical Specialists) Ltd [1980] R.P.C. 213 (C.A.).
M Brown ‘The UK Protection of Films: Issues raised by the case of Norowzian v. Arks Ltd’, [1999] Ent. L.R. 323.
Norowzian v. Arks Ltd (No. 2) [1999] F.S.R. 79 at. 86. According to CDPA, s. 3(2)):
[1989] R.P.C. 700.
[1999] F.S.R. 79 at p 87.
Stuart v. Barrett [1999] E.M.L.R. 589, Godfrey v. Lees [1995] E.M.L.R. 307, Fylde Microsystems Ltd v. Key Radio Systems Ltd [1998] F.S.R. 449, Robin Ray v. Classic F.M. plc, [1998] F.S.R. 622, Cala Homes (South) Ltd v. Alfred
McAlpine Homes East Ltd [1995] F.S.R. 818.
[1999] EMLR. 589.
[1998] FSR. 449.
[1999] EMLR 589 at p 643
CDPA, s. 16.
Unreported, All England Direct transcript.
Sitting as a Deputy Judge of the Chancery Division. See [1998] F.S.R. 803.
P.C.R. Ltd v. Dow Jones Telerate Ltd [1998] F.S.R. 170 and Hyde Park Residences Ltd v. Yelland [1999] All E.R. (D) 272.,
Unreported, All England Direct transcript, The Independent, 5 May 1999.
Macmillan v. Cooper (1924) 40 T.L.R. 186 (P.C.), Ladbroke v. William Hill (Football) Ltd [1964] 1 All E.R. 465 (H.L.) and Warwick Film Productions Ltd v. Eisinger [1969] 1 Ch. 508.
[1999] 1 W.L.R. 605. For further discussion, see D Bradshaw, ‘Copyright, fair dealing and the Mandy Allwood case’, [1999] Ent. L.R. 125.
A sufficient acknowledgement’ is ‘an acknowledgement identifying the work in question by its title or other description, and identifying the author ...’ (CDPA, s. 178).
P.C.R. Ltd v. Dow Jones Telerate Ltd [1998] F.S.R. 170 and Hyde Park Residences Ltd v. Yelland [1999] All E.R. (D) 272.
The Software Directive (91/250) was implemented by means of the Copyright (Computer Programs) regulations 1992.
Redrow Homes Ltd v. Bett Brothers plc. [1998] 2 W.L.R. 198 (H.L.).
A Coulthard ‘ZYX Music GmbH v. King, [1995]’, Journal of Business Law 1995, p 617.
A Coulthard ‘Springsteen v. Flute International Ltd.’, [1999] Communications Law 108.
Patent Office’s Consultation Paper on ‘Moral rights for performers’, January 1999.
Amended Proposal for a Directive on the harmonisation of certain aspects of copyright and related rights in the Information Society, COM (1999) 250 final.
Psychobiological Approach Understanding Human Behaviour
Introduction
This paper examines the psychobiological approach pertaining to conduct disorder (CD) of human behaviour, with particular emphasis on how such information can increase our understanding of youths representing the under socialized aggressive subtype of CD. Although much of the information is preliminary and fraught with methodological shortcomings, literature from the neuro anatomical, biochemical, psycho physiological and pharmacological arenas is reviewed. The theoretical framework offered by Gray, Quay's application of this model to CD, and the empirical strategies used to evaluate assumptions of bio-behavioural systems are outlined.
The utility of considering psycho biologically based behavioural propensities when developing a treatment plan is discussed. A growing body of research has provided conceptual advances in our understanding of the relationship between clinical diagnostic categories or behavioural dimensions and various indices of psychobiological functioning. Included in this focus on the biological underpinnings of deviations in behavioural propensities is the under socialized aggressive subtype of conduct disorder (UACD). This paper will outline the biological correlates of this syndrome in which instrumental Cosmides and J. Tooby, 2000, 25-147) no defensive or proactive) aggression plays a major role, focusing on the evidence available from the biochemical, psycho physiological, neuro anatomical, and neuro behavioural study.
Support for the presence of the under socialized aggressive syndrome comes from the consistency with which it has been isolated in multivariate studies over the past several decades (Quay, 1986, 63-98). Characteristics of UACD include serious and persistent physical aggression, deception, violation of property rights and societal norms, disturbed interpersonal relationships, and school adjustment problems (Kazdin, 1987a; Quay, 1986). The DSM III-R (American Psychiatric Association, 1987) solitary type is roughly akin to the empirically derived UACD, although the former lacks somewhat in operational criteria used to describe its distinctiveness from other DSM III-R subtypes (e.g., group and undifferentiated). Researchers continue to debate the utility of investigating individual differences in aggressive versus dichotomous diagnostic categories (Plomin, Nitz, & Rowe, 1990).
In addition, narrowly defined areas of behaviour (narrow-band syndromes) may provide a better basis for detecting specific etiologist and prescribing specific treatments compared to focusing on the global distinction between broad-band under controlled and over controlled behaviour (Darwin, 1872, 36-199).
Although an assumption that biological differences could underlie differences in behaviour may suggest a view of biological determinism, in no way should the evidence be construed as such. Behaviour genetic researchers have asserted and provided evidence that psychopathology is both polygenic and "poly environmental" (Ekman, 1994, 268-87)
Anything short of adopting the concept of genotype-environment interaction and correlation likely disregards the complexity of the task at hand. Patterson's (1982) work reflects the genotype-environment interaction orientation, in that environmental factors (permissive or excessively punitive parents) may have different effects on individuals of different genotypes (aggressive children). Patterson's work also implicates a causal relationship between parental behaviours and subsequent child aggression. The genotype-environment correlation represents the notion that children with a genetic predisposition toward aggressiveness may seek out situations that reinforce this behaviour.In this context, empirical evidence appears to support a bio psycho social model of investigation and explanation.
Psychobiology of Conduct Human Behaviour Disorder
The current body on the biological basis of CD includes perspectives representing neuro anatomy, neurochemistry, psychophysiology, pharmacology, and behavioural paradigms that may reflect systems of neuropsychological functioning. Much of the evidence is preliminary, and should not be viewed as offering firm conclusions. Instead, it has provided a framework in which to pursue more methodologically refined investigations. A review of this literature is offered to increase the awareness of the biological perspective and to stimulate further research (Darwin, 1872, 36-199).
The neuro anatomical perspective attempts to delineate the location of the brain areas which are part of the systems involved in behaviours associated with CD. The neuro chemical approach focuses on the role of neurotransmitters that play a functional role in the neuronal circuitry underlying CD. Psycho physiological measures provide an index of autonomic nervous system functioning, which is responsible for the control of involuntary bodily functions. Pharmacological studies may provide additional information on the underlying biological systems involved in CD and their responsively to modification. Behavioural studies which document an individual's cognitive, learning, motivational, and attention style e.g., in the context of response characteristics under certain experimental paradigms which may reflect response "styles" to environmental situations) may provide insight into the functioning of certain biological subsystems (Izard, 1992, 561-565).
Biochemical Studies
Neurotransmitters and neuro hormones have long been implicated in the regulation of several behavioural systems that in turn regulate the interaction of the organism with its external environment. Although many more neurotransmitters are known to exist, nore pinephrine (NE) and serotonin (5HT) have been implicated most often in the CD literature. Neuro hormones such as cortisol and testosterone also have been implicated in aggressive behaviour. Details of neuro chemical functioning in the context of various psychobiological models of personality and psychopathological disorders in children are provided by McBurnett (1992, 63).
Neurotransmitters (NTs) play a key role in transmitting information across cells, and can be classified as either excitatory (causing nerve cells to "fire") or inhibitory (reducing the responsively of nerve cells to incoming stimulation). The activity of a NT itself is regulated in many ways, and although the location of the cell bodies for NT systems has been identified, the axons from the cell bodies project across and throughout the brain. Furthermore, a neuron using one NT connects with neurons using other NTs, resulting in a direct interaction among the noradrenergic, dopaminergic, and serotonergic systems. The balance among the three systems likely plays an important role in how behaviour is regulated and expressed (Lazarus, 1991, 819-834). It is important to note that existing technology does not allow for a direct measure of NT activity. Body fluids (LeDoux, 1995, 45-189) cerebrospinal fluid or CSF, blood plasma, urine), enzymes (Schachter and Singer, 1962, 379-399) chemical substances that can induce changes in NTs without being changed themselves), platelets, drug probes which stimulate receptors for certain NTs, and brain imaging techniques all provide an indirect measure of NTs and their metabolites. Each technique poses particular challenges, advantages, and drawbacks.
Psycho physiological Studies
Involuntary bodily functions are under the regulation of the autonomic nervous system (ANS), which is divided into the sympathetic and parasympathetic system. Stimulation of the sympathetic portion typically produces, among other things, a rise in blood pressure, acceleration of the heart, and changes in the electrical conductance of the skin. These peripheral indices of sympathetic nervous system activity are usually measured at rest and in response to stimuli with varying evocative properties.
With regard to heart rate, several studies have found that youths with CD exhibit lower resting levels compared to controls and subjects without CD. Prospective longitudinal studies also have found that low heart rate was predictive of later aggressive criminal behaviour and criminal convictions (Scherer, 2003, 563-571).
Several studies have found lower responsively to stimuli as measured by skin conductance changes in variously defined youths with CD compared to controls, although measures of resting levels have yielded less consistent results. Garralda, Connell, and Taylor (1991, 14-29) found that children with CD showed increased reactivity, relative to emotional disorder and control group, when they were instructed to imagine pleasant situations. They also showed decreased responding to neutral but high intensity stimulation and to withdrawal of stimulation in silence periods.
Studies measuring electrical brain activity in response to stimulus events (event-related potentials, or ERPs) have suggested that certain components of the typical wave pattern may differ in children with conduct problems. These components are expressed in direction, amplitude, and latency of the electrical response following the stimulus event. Research comparing adolescents with and without CD have shown the former to exhibit higher P300 amplitudes to warning signals (Zajonc, 1985, 15-21) and a longer latency of N2 evoked peaks (Zajonc, 1985, 15-21). Components of the ERP may be predictive of adult criminality (Scherer, 2003, 563-571) although developmental factors still need to be considered.
Most of the above evidence suggests that anomalies in the modulation of biological arousal mechanisms may play a role in the expression of childhood psychopathology (Garralda et al., 1991). Further research with children representing various developmental levels and behavioural and emotional disorders is clearly needed to specify this relationship.
Behavioural Studies
The empirical literature reviewed so far, although not without its methodological limitations, suggests there may be a correspondence between aggressive behaviour characterizing the youth with CD and various neurophysiologic indices. Such a model would be strengthened by convergent evidence for these individuals exhibiting differences in learning and performance patterns that relate back to underlying biological systems. Theoretical and empirical work presented by Gray (1982, 1987) have been very influential in developing a line of research exploring the relationship between emotions, behaviour and performance within the context of instrumental learning paradigms. Since space prohibits a detailed description of Gray's model, the reader is referred to a well-articulated review by McBurnett (1992).
Stemming from a series of experimental findings, Gray has proposed a modification in Eysenck's (1967) personality theory. Gray (1987) has emphasized the utility of viewing personality dimensions in terms of individual differences in conditionality and sensitivity to punishment versus reward. This has led to the proposal that behaviour is regulated primarily by two different but interacting conceptual brain systems: the behavioural inhibition system (BIS) and the behavioural activation (or reward) system (BAS).
The BIS is excited by signals of impending punishment, signals recently associated with the failure of a formerly expected reward to appear (Cannon, 1927, 10-124)
frustrative non reward), or arousing novel stimuli. Functionally, the BIS responds with outputs that inhibit ongoing behaviour, but also increases arousal, attention, and information processing of the stimuli. The resulting emotion is anxiety and frustration. Presumably, an individual with chronically hyper reactive BIS, relative to the BAS, would exhibit symptoms of anxiety, whereas an individual with a relative hypo reactive BIS would be predicted to show a marked lack of anticipatory anxiety and deficiencies in passive avoidance learning (Cosmides and J. Tooby, 2000, 25-147) i.e., reinforcement contingent upon not responding). In support of this notion, Hare (1970, 1978) has documented deficiencies in passive avoidance among "primary psychopaths" or individuals considered to exhibit antisocial personality disorder under the current diagnostic schema. Cleckley (1976) characterized these individuals as showing a marked incapacity for anxiety. Gray suggests that the anatomical locus of the BIS is in the septo-hippocampal system with neural circuits through the noradrenergic fibres of the locus coeruleus and the serotonergic fibres of the rapine nucleus.
Interacting with the BIS, the BAS mediates the learning and performance of active responses to either gain a reward (approach) or avoid an impending punishment (escape or active avoidance). Dopamine is considered to play a significant role, and the core anatomical components are suggested to be the medial forebrain bundle, lateral hypothalamus, and lateral septum.
Gray proposes, therefore, that individual differences in personality are jointly determined by the sensitivities of the two above systems. Shaping an individual's behaviour may be predicted by the conditions of reinforcement to which they are most sensitive, based on the relative functioning of the BIS and BAS. That is, will available reward or signals of punishment have a dominant influence over one's behaviour? A more prescriptive approach to treatment planning may evolve out of knowledge regarding the relative sensitivities of these two bio behavioural systems. A decision to reward non prohibited behaviour or punish prohibited behaviour may rest largely upon what is known about an individual's psycho biologically based behavioural propensities (Quay, 1987, 66-174).
A series of empirical studies have investigated Gray's framework in the context of psychopathological disorders in children and adolescents. Based on Gray's work, Quay (1988a, 1988b, 1988c) proposed that CD involves a persistently overactive reward system (BAS) that predominates over the BIS. That is, these children exhibit persistent reward-dominant behaviour. Quay also has proposed that an underactive BIS characterizes children with attention deficits, whereas the BIS would predominate over the BAS in anxious-withdrawn children. Thus, rather than working in tandem, one system may predominate across situations, resulting in less behavioural flexibility, so to speak.
Newman and his colleagues have focused on a model of "dis inhibitory" psychopathology, suggesting that under conditions that pit the probability of reward against the probability of punishment, psychopaths and extraverts show a greater tendency to respond to cues of reward (Newman, Patterson & Kosson, 1987, 145-149).
A computerized card-playing task was used consisting of 100 trials (cards) in which subjects chose either to see the next card or to stop playing. In the preprogrammed sequence, the probability of the next card being a winning card dropped from 90% to 0% per 10-card block. Money was immediately given or taken away from subjects depending upon whether the card "uncovered" was designated a "winner" or "loser." The dependent measure on this task was number of cards played. Preservative responding results in fewer earnings, due to the fact that the probability of winning decreases as the game is played.
The delay task operationally a differential reinforcement for low-rate responding (DRL) paradigm. Purported to examine disinhibition, the delay task provides dependent measures of the efficiency with which subjects respond to the delay requirements. Results provided strong support for the notion that children with CD are overly sensitive to reward and fail to inhibit responding in mixed incentive conditions. As a group, subjects with CD played more cards and lost more money than the group without CD. These differences emerged even after co varying for RBPC ratings of attention problems. Mixed results were obtained on the delay task, although subjects with CD were significantly less efficient during the last segment of the task (LeDoux, 1995, 45-189).
Results offered by Daugherty and Quay (1991) provide additional support for the hypothesis of preservative responding for reward in conduct disorder. In this study, public school children in Grades 3 through 6 were screened using the RBPC. Four groups were identified, as defined by scores on the relevant scale CD, ADD, CD/ADDH, AW (anxious-withdrawn), and a normal control group. Tasks included a modified version of the card-playing task deemed more appropriate for younger children (Cosmides and J. Tooby, 2000, 25-147) referred to as the door-opening task), and the Gordon delay task. Consistent with Quay's hypothesis, subjects with a CD or CD/ADDH behaviour pattern (Cosmides and J. Tooby, 2000, 25-147) although not necessarily considered clinically significant) responded preservative for reward to a maladaptive degree (Scherer, 2003, 563-571) i.e., they lost rewards already won). The anxious-withdrawn subjects, as a group, chose to stop the task prior to the optimal interval; that is, they stopped too soon and did not receive as much money as they could have. No group differences were found on the delay task.
Daugherty, Quay, and Ramos (1991) found a similarly strong tendency for the group with CD to respond preservative on the door opening task, although group differences among subjects classified as RBPC-defined CD/ADDH, ADD, AW, and normal controls did not emerge. A unique feature of this study was the measurement of spontaneous eye-blinks during a 5-minute interview. Karson (1983) has suggested that eye-blink rate is a behavioural measure of central dopaminergic activity, and thus may provide a "window" into BAS activity. Although no group differences were found, eye-blinks were marginally related to CD subscale scores on the RBPC.
Kalantari, Yule, and Gardner (1990) have extended the findings of preservative responding to a small sample of preschool children in Iran. All 6 children rated by their teachers as having persistent behaviour problems played significantly more cards than the 6 children in the normal control group. In fact, all behaviour-disordered children played all cards and therefore lost all candy rewards, compared to only 2 normal control children.
Passive avoidance deficits have been documented among disinhibited individuals, in that they are deficient in learning to inhibit goal-directed behaviour in the presence of cues of reward. Scerbo et al. (1990) applied this paradigm to juvenile delinquents classified as psychopaths (CD) or non psycho paths. Specifically, subjects were instructed to respond to items designated as positive discriminative stimuli and to withhold responding to negative stimuli. Responses to negative items were considered passive avoidance (or commission) errors and resulted in loss of rewards. Failure to respond to positive stimuli were considered omission errors, but produced no consequences, as did withholding responses to negative stimuli.
The paradigm used by Scerbo et al. (1990) did not include a reward-only or punishment-only condition. The psychopathic or CD group made significantly more responses to the positive stimuli (Borod, 2000, 63-128) fewer errors of omission) than the non psychopathic group. The two groups did not differ on the number of incorrect responses to negative stimuli (commissions). Results were interpreted in the context of hyper responsively to rewards under conditions of mixed incentives in psychopathic-like adolescents.
Studies investigating the effects of coexisting psychiatric disorders have shed light on Gray's (1987) two-factor model, that antisocial behaviour is the product of both excessive reward-seeking behaviour and insufficient inhibition. Walker et al. (1991) formed four groups of clinic-referred boys with and without conduct disorder and anxiety disorder. As predicted by Gray's model, boys with CD and comorbid anxiety exhibited less social impairments (fewer school suspensions, fewer police contacts, fewer "fight most" and "meanest" peer nominations) than boys with CD alone. Additional research with these comorbid populations using similar paradigms described in previous sections of this paper would be very fruitful.
Conclusions
School personnel are frequently among the first individuals to face the challenges posed by students exhibiting chronic and severe conduct problems, of which aggression is among the most salient and disruptive symptom. Educators, counsellors, and school psychologists, in conjunction with parents and other health professionals, are often faced with decisions regarding how best to manage children and adolescents with CD in the school setting. A likely role of the school psychologist is to formally evaluate students referred for disruptive behaviours and to recommend/develop intervention strategies. Given the complexity of the problems associated with CD, it would seem prudent for the school psychologist to be aware of information pertaining to biological correlates of CD, so that a well-integrated intervention plan could be developed. Knowledge of the biological basis of CD also may assist in the development of treatment plans more consistent with what is known about how youths with CD respond to their environment.
Patterns of behaviour are mediated by various neuro physiological mechanisms, regardless of the psychosocial origin of those patterns. This in no way minimizes the importance of interventions focusing on psychosocial factors, since they are integrally related to each other. However, it emphasizes the need to consider the body of literature pertaining to neuro anatomical, neuro chemical, psycho physiological, pharmacological, and neuro behavioural research as it relates to the symptoms and syndrome of CD. For example, how might an individual's and attention style is determined by neuro physiological processes? How might certain response styles in a controlled laboratory setting provide some insight into the functioning of certain biological systems? How might the above information be used to develop an intervention program specific to an individual's neuro physiological or neuro behavioural profile?
Considerable interest in these and related questions is reflected in a growing body of literature that has accumulated over the past decade. Methodological issues will need to be addressed by researchers investigating the etiology and maintenance of CD. Specific issues, among others, include how antisocial behaviour is defined (e.g., specific behaviours, narrow-band versus broad-band, subtypes, etc.); the effect of coexisting disorders (e.g., ADHD, anxiety, etc.) on an individual's functioning; the need to control for cognitive and demographic characteristics; the delineation of factors that may be consequences of behaviour problems rather than causes of them; and the indirect or peripheral measures of neuro physiological indices. In light of the limitations represented in the literature, no firm conclusions can be drawn about the psychobiology of CD.
Even if firm conclusions could be drawn, a biologically deterministic view-point should be vigorously discouraged. Delineation of biological markers of CD is likely to have extreme social implications and lead to many potential abuses of such information by those with sociopolitical agendas. Markers of CD should not be equated to markers for criminal behaviour, since most crime is not committed by individuals with CD or a history of CD (Damasio, 1994, 1102-5) Furthermore assert that "Identifying an individual as having high biological risk for antisocial conduct should never involve deprivation of opportunities or rights, but should involve enhancement of the opportunities to become successful, prosocial, and fully franchised members of society" (Scherer, 2003, 563-571).
With the above caveats in mind, the present literature has suggested many psychobiological characteristics of children and adolescents with CD. Measures of frontal-lobe functions have occasionally differentiated between youths with and without CD. Youths with CD have shown reduced ear asymmetry on a dichotic listening task, possibly suggesting a reduced role of language in mediating and regulating behaviour which may reflect left hemispheric functioning. Neurochemical studies, although frequently relying on peripheral measures, have strongly implicated the association between serotonergic and noradrenergic system functioning and aggressive/antisocial behaviour. The neuro hormones cortisol and testosterone also have been linked to CD. Several studies regarding sympathetic nervous system functioning have found that youths with CD, compared to youths without CD, exhibit lower heart rate levels, different patterns of stimulus responsively as measured by skin conductance, and different patterns of electrical brain activity in response to stimulus events.
Pharmacological studies have implicated potential drug therapies for youths with CD, although the lack of controlled studies and the nonspecific nature of the drug activity make interpretation difficult. Stemming largely from Gray's conceptual model of the nervous system and Quay's application of this model to child psychopathology, a body of literature has identified differences in conditionality and sensitivity to punishment and reward among youths with CD. Such differences based on the interaction between what is referred to as the behavioural inhibition and activation systems? Clearly suggest hypersensitivity of the youth with CD to reward and failure to inhibit responding in mixed incentive conditions i.e., cues for reward and punishment). Preliminary research using different groups co morbid for CD and anxiety have supported the notion that antisocial behaviour is the product of both excessive reward-seeking behaviour and insufficient inhibition. This behavioural line of research which focuses on instrumental learning characteristics and converges with neurophysiologic indices has clear treatment implications applicable to school settings. Shaping an individual's behaviour may be predicted by the conditions of reinforcement to which they are most sensitive, based on the relative functioning of two interacting bio behavioural systems and the behavioural propensities these systems modulate.
References
Borod, J.C. (Ed.), (2000) The Neuropsychology of Emotion, Oxford University Press, 63-128
Cannon, W. B. (1927) The James-Lange theory of emotion: A critical examination and an alternative theory. American Journal of Psychology; 39:10-124.
Cosmides, L. and J. Tooby (2000), ‘Evolutionary psychology and the emotions’, in Handbook of Emotions 2nd ed., Lewis, M. and J. M. Haviland-Jones Eds., (New York: Guilford).
Damasio H., Grabowski T,. Frank R., Galaburda AM., Damasio AR. (1994) The return of Phineas Gage: clues about the brain from the skull of a famous patient. Science. 264(5162):1102-5,
Darwin, C. (1872) The Expression of the Emotions in Man and Animals, London: Murray
Dutton, D. G. and Aron, A. P. (1974) Some evidence for heightened sexual attraction under conditions of high anxiety, Journal of Personality and Social Psychology, 30, 510-517
Ekman, P. (1994). Strong evidence for universals in facial expressions. Psychological Bulletin. 115: 268-87
Izard, C. (1992). Basic Emotions, Relations Among Emotions, and Emotion-Cognition Relations. Psychological Review 99(3) 561- 565
Lazarus, R. (1991). Progress on a Cognitive-Motivational- Relational Theory of Emotion. American Psychologist 46(8) 819-834
LeDoux, J. (1995). In search of an emotional system in the brain: Leaping from fear to emotion to consciousness. In The cognitive neurosciences, M. S. Gazzaniga (Ed.). Cambridge, MA: MIT Press
Schachter, S. and Singer, J. E. (1962) Cognitive, social and physiological determinants of emotional states, Psychological Review, 69, 379-399
Scherer, K R. (2003). Introduction: Cognitive components of emotion. In R. J. Davidson, H. Goldsmith, K. R. Scherer (Eds.). Handbook of the Affective Sciences (pp. 563-571). New York and Oxford: Oxford University Press.
Zajonc, R. B., (1985) Emotion and Facial Efference: A Theory Reclaimed, Science, 228, 15-21.
Gray, J. A. (1982). The neuropsychology of anxiety: An enquiry into the functions of the septohippocampal system. Oxford: Oxford University Press.
Gray, J. A. (1987). The psychology of fear and stress (2nd ed.). Cambridge: Cambridge University Press.
Quay, H. C. (1986). Conduct disorders. In H. C. Quay & J. S. Werry (Eds.), Psychopathological disorders of childhood (3rd ed, pp. 35-72). New York: Wiley.
Kazdin, A. E. (1987a). Conduct disorders in childhood and adolescence. Newbury Park, CA. Sage.
Kazdin, A. E. (1987b). Treatment of antisocial behavior in children: Current status and future directions. Psychological Bulletin, 103, 187-203.
Plomin, R., Nitz, K., & Rowe, D. C. (1990). Behavior genetics and aggressive behavior in childhood. In M. Lewis & S. Miller (Eds.), Handbook of develop mental psychopathology (pp. 119-133). New York: Plenum.
Patterson, G. R. (1982). Coercive family process. Eugene, OR: Castalia Publications.
McBurnett, K. (1992). Psychobiological approaches to personality and their application to child psychopathology. In B. B. Lahey & A. E. Kazdin (Eds.) Advances in clinical child psychology (pp. 107-164). New York: Plenum.
Garralda, M. E., Connell, J., & Taylor, D. C. (1991). Psychophysiological anomalies in children with emotional and conduct disorders. Psychological Medicine, 21, 947-957.
Eysenck, H. J. (1967). The biological basis of personality. Springfield, IL: Thomas.
Hare, R. D. (1970). Psychopathy: Theory and research. New York: Wiley.
Hare, R. D. (1978). Electrodermal and cardiovascular correlates of psychopathy. In R. D. Hare & D. Schalling (Eds.), Psychopathic behavior: Approaches to research (pp. 107-143). New York: Wiley.
Cleckley, H. C. (1976). The mask of sanity. St. Louis, MO: Mosby.
Gorenstein, E. E., & Newman, J. P. (1980). Disinhibitory psychopathology: A new perspective and a model for research. Psychological Review, 87, 301-315.
Daugherty, T. K., Quay, H. C., & Ramos, L. (1991). Response perseveration, inhibitory control, and central dopaminergic activity in childhood behavior disorders. Unpublished manuscript, University of Miami, Coral Gables, FL.
Kalantari, M., Yule, W., & Gardner, F. (1990,Jan.). Oversensitivity to reward in preschool conduct disordered children. Paper presented at the annual meeting of the Society for Research in Child and Adolescent Psychopathology, Costa Mesa, CA.
Scerbo, A. R., Raine, A., O'Brien, M., Chan, C., Rhee, C., & Smiley, N. (1990). Reward dominance in passive-avoidance learning in adolescent psychopaths. Journal of Abnormal Child Psychology, 18, 451-463.
This paper examines the psychobiological approach pertaining to conduct disorder (CD) of human behaviour, with particular emphasis on how such information can increase our understanding of youths representing the under socialized aggressive subtype of CD. Although much of the information is preliminary and fraught with methodological shortcomings, literature from the neuro anatomical, biochemical, psycho physiological and pharmacological arenas is reviewed. The theoretical framework offered by Gray, Quay's application of this model to CD, and the empirical strategies used to evaluate assumptions of bio-behavioural systems are outlined.
The utility of considering psycho biologically based behavioural propensities when developing a treatment plan is discussed. A growing body of research has provided conceptual advances in our understanding of the relationship between clinical diagnostic categories or behavioural dimensions and various indices of psychobiological functioning. Included in this focus on the biological underpinnings of deviations in behavioural propensities is the under socialized aggressive subtype of conduct disorder (UACD). This paper will outline the biological correlates of this syndrome in which instrumental Cosmides and J. Tooby, 2000, 25-147) no defensive or proactive) aggression plays a major role, focusing on the evidence available from the biochemical, psycho physiological, neuro anatomical, and neuro behavioural study.
Support for the presence of the under socialized aggressive syndrome comes from the consistency with which it has been isolated in multivariate studies over the past several decades (Quay, 1986, 63-98). Characteristics of UACD include serious and persistent physical aggression, deception, violation of property rights and societal norms, disturbed interpersonal relationships, and school adjustment problems (Kazdin, 1987a; Quay, 1986). The DSM III-R (American Psychiatric Association, 1987) solitary type is roughly akin to the empirically derived UACD, although the former lacks somewhat in operational criteria used to describe its distinctiveness from other DSM III-R subtypes (e.g., group and undifferentiated). Researchers continue to debate the utility of investigating individual differences in aggressive versus dichotomous diagnostic categories (Plomin, Nitz, & Rowe, 1990).
In addition, narrowly defined areas of behaviour (narrow-band syndromes) may provide a better basis for detecting specific etiologist and prescribing specific treatments compared to focusing on the global distinction between broad-band under controlled and over controlled behaviour (Darwin, 1872, 36-199).
Although an assumption that biological differences could underlie differences in behaviour may suggest a view of biological determinism, in no way should the evidence be construed as such. Behaviour genetic researchers have asserted and provided evidence that psychopathology is both polygenic and "poly environmental" (Ekman, 1994, 268-87)
Anything short of adopting the concept of genotype-environment interaction and correlation likely disregards the complexity of the task at hand. Patterson's (1982) work reflects the genotype-environment interaction orientation, in that environmental factors (permissive or excessively punitive parents) may have different effects on individuals of different genotypes (aggressive children). Patterson's work also implicates a causal relationship between parental behaviours and subsequent child aggression. The genotype-environment correlation represents the notion that children with a genetic predisposition toward aggressiveness may seek out situations that reinforce this behaviour.In this context, empirical evidence appears to support a bio psycho social model of investigation and explanation.
Psychobiology of Conduct Human Behaviour Disorder
The current body on the biological basis of CD includes perspectives representing neuro anatomy, neurochemistry, psychophysiology, pharmacology, and behavioural paradigms that may reflect systems of neuropsychological functioning. Much of the evidence is preliminary, and should not be viewed as offering firm conclusions. Instead, it has provided a framework in which to pursue more methodologically refined investigations. A review of this literature is offered to increase the awareness of the biological perspective and to stimulate further research (Darwin, 1872, 36-199).
The neuro anatomical perspective attempts to delineate the location of the brain areas which are part of the systems involved in behaviours associated with CD. The neuro chemical approach focuses on the role of neurotransmitters that play a functional role in the neuronal circuitry underlying CD. Psycho physiological measures provide an index of autonomic nervous system functioning, which is responsible for the control of involuntary bodily functions. Pharmacological studies may provide additional information on the underlying biological systems involved in CD and their responsively to modification. Behavioural studies which document an individual's cognitive, learning, motivational, and attention style e.g., in the context of response characteristics under certain experimental paradigms which may reflect response "styles" to environmental situations) may provide insight into the functioning of certain biological subsystems (Izard, 1992, 561-565).
Biochemical Studies
Neurotransmitters and neuro hormones have long been implicated in the regulation of several behavioural systems that in turn regulate the interaction of the organism with its external environment. Although many more neurotransmitters are known to exist, nore pinephrine (NE) and serotonin (5HT) have been implicated most often in the CD literature. Neuro hormones such as cortisol and testosterone also have been implicated in aggressive behaviour. Details of neuro chemical functioning in the context of various psychobiological models of personality and psychopathological disorders in children are provided by McBurnett (1992, 63).
Neurotransmitters (NTs) play a key role in transmitting information across cells, and can be classified as either excitatory (causing nerve cells to "fire") or inhibitory (reducing the responsively of nerve cells to incoming stimulation). The activity of a NT itself is regulated in many ways, and although the location of the cell bodies for NT systems has been identified, the axons from the cell bodies project across and throughout the brain. Furthermore, a neuron using one NT connects with neurons using other NTs, resulting in a direct interaction among the noradrenergic, dopaminergic, and serotonergic systems. The balance among the three systems likely plays an important role in how behaviour is regulated and expressed (Lazarus, 1991, 819-834). It is important to note that existing technology does not allow for a direct measure of NT activity. Body fluids (LeDoux, 1995, 45-189) cerebrospinal fluid or CSF, blood plasma, urine), enzymes (Schachter and Singer, 1962, 379-399) chemical substances that can induce changes in NTs without being changed themselves), platelets, drug probes which stimulate receptors for certain NTs, and brain imaging techniques all provide an indirect measure of NTs and their metabolites. Each technique poses particular challenges, advantages, and drawbacks.
Psycho physiological Studies
Involuntary bodily functions are under the regulation of the autonomic nervous system (ANS), which is divided into the sympathetic and parasympathetic system. Stimulation of the sympathetic portion typically produces, among other things, a rise in blood pressure, acceleration of the heart, and changes in the electrical conductance of the skin. These peripheral indices of sympathetic nervous system activity are usually measured at rest and in response to stimuli with varying evocative properties.
With regard to heart rate, several studies have found that youths with CD exhibit lower resting levels compared to controls and subjects without CD. Prospective longitudinal studies also have found that low heart rate was predictive of later aggressive criminal behaviour and criminal convictions (Scherer, 2003, 563-571).
Several studies have found lower responsively to stimuli as measured by skin conductance changes in variously defined youths with CD compared to controls, although measures of resting levels have yielded less consistent results. Garralda, Connell, and Taylor (1991, 14-29) found that children with CD showed increased reactivity, relative to emotional disorder and control group, when they were instructed to imagine pleasant situations. They also showed decreased responding to neutral but high intensity stimulation and to withdrawal of stimulation in silence periods.
Studies measuring electrical brain activity in response to stimulus events (event-related potentials, or ERPs) have suggested that certain components of the typical wave pattern may differ in children with conduct problems. These components are expressed in direction, amplitude, and latency of the electrical response following the stimulus event. Research comparing adolescents with and without CD have shown the former to exhibit higher P300 amplitudes to warning signals (Zajonc, 1985, 15-21) and a longer latency of N2 evoked peaks (Zajonc, 1985, 15-21). Components of the ERP may be predictive of adult criminality (Scherer, 2003, 563-571) although developmental factors still need to be considered.
Most of the above evidence suggests that anomalies in the modulation of biological arousal mechanisms may play a role in the expression of childhood psychopathology (Garralda et al., 1991). Further research with children representing various developmental levels and behavioural and emotional disorders is clearly needed to specify this relationship.
Behavioural Studies
The empirical literature reviewed so far, although not without its methodological limitations, suggests there may be a correspondence between aggressive behaviour characterizing the youth with CD and various neurophysiologic indices. Such a model would be strengthened by convergent evidence for these individuals exhibiting differences in learning and performance patterns that relate back to underlying biological systems. Theoretical and empirical work presented by Gray (1982, 1987) have been very influential in developing a line of research exploring the relationship between emotions, behaviour and performance within the context of instrumental learning paradigms. Since space prohibits a detailed description of Gray's model, the reader is referred to a well-articulated review by McBurnett (1992).
Stemming from a series of experimental findings, Gray has proposed a modification in Eysenck's (1967) personality theory. Gray (1987) has emphasized the utility of viewing personality dimensions in terms of individual differences in conditionality and sensitivity to punishment versus reward. This has led to the proposal that behaviour is regulated primarily by two different but interacting conceptual brain systems: the behavioural inhibition system (BIS) and the behavioural activation (or reward) system (BAS).
The BIS is excited by signals of impending punishment, signals recently associated with the failure of a formerly expected reward to appear (Cannon, 1927, 10-124)
frustrative non reward), or arousing novel stimuli. Functionally, the BIS responds with outputs that inhibit ongoing behaviour, but also increases arousal, attention, and information processing of the stimuli. The resulting emotion is anxiety and frustration. Presumably, an individual with chronically hyper reactive BIS, relative to the BAS, would exhibit symptoms of anxiety, whereas an individual with a relative hypo reactive BIS would be predicted to show a marked lack of anticipatory anxiety and deficiencies in passive avoidance learning (Cosmides and J. Tooby, 2000, 25-147) i.e., reinforcement contingent upon not responding). In support of this notion, Hare (1970, 1978) has documented deficiencies in passive avoidance among "primary psychopaths" or individuals considered to exhibit antisocial personality disorder under the current diagnostic schema. Cleckley (1976) characterized these individuals as showing a marked incapacity for anxiety. Gray suggests that the anatomical locus of the BIS is in the septo-hippocampal system with neural circuits through the noradrenergic fibres of the locus coeruleus and the serotonergic fibres of the rapine nucleus.
Interacting with the BIS, the BAS mediates the learning and performance of active responses to either gain a reward (approach) or avoid an impending punishment (escape or active avoidance). Dopamine is considered to play a significant role, and the core anatomical components are suggested to be the medial forebrain bundle, lateral hypothalamus, and lateral septum.
Gray proposes, therefore, that individual differences in personality are jointly determined by the sensitivities of the two above systems. Shaping an individual's behaviour may be predicted by the conditions of reinforcement to which they are most sensitive, based on the relative functioning of the BIS and BAS. That is, will available reward or signals of punishment have a dominant influence over one's behaviour? A more prescriptive approach to treatment planning may evolve out of knowledge regarding the relative sensitivities of these two bio behavioural systems. A decision to reward non prohibited behaviour or punish prohibited behaviour may rest largely upon what is known about an individual's psycho biologically based behavioural propensities (Quay, 1987, 66-174).
A series of empirical studies have investigated Gray's framework in the context of psychopathological disorders in children and adolescents. Based on Gray's work, Quay (1988a, 1988b, 1988c) proposed that CD involves a persistently overactive reward system (BAS) that predominates over the BIS. That is, these children exhibit persistent reward-dominant behaviour. Quay also has proposed that an underactive BIS characterizes children with attention deficits, whereas the BIS would predominate over the BAS in anxious-withdrawn children. Thus, rather than working in tandem, one system may predominate across situations, resulting in less behavioural flexibility, so to speak.
Newman and his colleagues have focused on a model of "dis inhibitory" psychopathology, suggesting that under conditions that pit the probability of reward against the probability of punishment, psychopaths and extraverts show a greater tendency to respond to cues of reward (Newman, Patterson & Kosson, 1987, 145-149).
A computerized card-playing task was used consisting of 100 trials (cards) in which subjects chose either to see the next card or to stop playing. In the preprogrammed sequence, the probability of the next card being a winning card dropped from 90% to 0% per 10-card block. Money was immediately given or taken away from subjects depending upon whether the card "uncovered" was designated a "winner" or "loser." The dependent measure on this task was number of cards played. Preservative responding results in fewer earnings, due to the fact that the probability of winning decreases as the game is played.
The delay task operationally a differential reinforcement for low-rate responding (DRL) paradigm. Purported to examine disinhibition, the delay task provides dependent measures of the efficiency with which subjects respond to the delay requirements. Results provided strong support for the notion that children with CD are overly sensitive to reward and fail to inhibit responding in mixed incentive conditions. As a group, subjects with CD played more cards and lost more money than the group without CD. These differences emerged even after co varying for RBPC ratings of attention problems. Mixed results were obtained on the delay task, although subjects with CD were significantly less efficient during the last segment of the task (LeDoux, 1995, 45-189).
Results offered by Daugherty and Quay (1991) provide additional support for the hypothesis of preservative responding for reward in conduct disorder. In this study, public school children in Grades 3 through 6 were screened using the RBPC. Four groups were identified, as defined by scores on the relevant scale CD, ADD, CD/ADDH, AW (anxious-withdrawn), and a normal control group. Tasks included a modified version of the card-playing task deemed more appropriate for younger children (Cosmides and J. Tooby, 2000, 25-147) referred to as the door-opening task), and the Gordon delay task. Consistent with Quay's hypothesis, subjects with a CD or CD/ADDH behaviour pattern (Cosmides and J. Tooby, 2000, 25-147) although not necessarily considered clinically significant) responded preservative for reward to a maladaptive degree (Scherer, 2003, 563-571) i.e., they lost rewards already won). The anxious-withdrawn subjects, as a group, chose to stop the task prior to the optimal interval; that is, they stopped too soon and did not receive as much money as they could have. No group differences were found on the delay task.
Daugherty, Quay, and Ramos (1991) found a similarly strong tendency for the group with CD to respond preservative on the door opening task, although group differences among subjects classified as RBPC-defined CD/ADDH, ADD, AW, and normal controls did not emerge. A unique feature of this study was the measurement of spontaneous eye-blinks during a 5-minute interview. Karson (1983) has suggested that eye-blink rate is a behavioural measure of central dopaminergic activity, and thus may provide a "window" into BAS activity. Although no group differences were found, eye-blinks were marginally related to CD subscale scores on the RBPC.
Kalantari, Yule, and Gardner (1990) have extended the findings of preservative responding to a small sample of preschool children in Iran. All 6 children rated by their teachers as having persistent behaviour problems played significantly more cards than the 6 children in the normal control group. In fact, all behaviour-disordered children played all cards and therefore lost all candy rewards, compared to only 2 normal control children.
Passive avoidance deficits have been documented among disinhibited individuals, in that they are deficient in learning to inhibit goal-directed behaviour in the presence of cues of reward. Scerbo et al. (1990) applied this paradigm to juvenile delinquents classified as psychopaths (CD) or non psycho paths. Specifically, subjects were instructed to respond to items designated as positive discriminative stimuli and to withhold responding to negative stimuli. Responses to negative items were considered passive avoidance (or commission) errors and resulted in loss of rewards. Failure to respond to positive stimuli were considered omission errors, but produced no consequences, as did withholding responses to negative stimuli.
The paradigm used by Scerbo et al. (1990) did not include a reward-only or punishment-only condition. The psychopathic or CD group made significantly more responses to the positive stimuli (Borod, 2000, 63-128) fewer errors of omission) than the non psychopathic group. The two groups did not differ on the number of incorrect responses to negative stimuli (commissions). Results were interpreted in the context of hyper responsively to rewards under conditions of mixed incentives in psychopathic-like adolescents.
Studies investigating the effects of coexisting psychiatric disorders have shed light on Gray's (1987) two-factor model, that antisocial behaviour is the product of both excessive reward-seeking behaviour and insufficient inhibition. Walker et al. (1991) formed four groups of clinic-referred boys with and without conduct disorder and anxiety disorder. As predicted by Gray's model, boys with CD and comorbid anxiety exhibited less social impairments (fewer school suspensions, fewer police contacts, fewer "fight most" and "meanest" peer nominations) than boys with CD alone. Additional research with these comorbid populations using similar paradigms described in previous sections of this paper would be very fruitful.
Conclusions
School personnel are frequently among the first individuals to face the challenges posed by students exhibiting chronic and severe conduct problems, of which aggression is among the most salient and disruptive symptom. Educators, counsellors, and school psychologists, in conjunction with parents and other health professionals, are often faced with decisions regarding how best to manage children and adolescents with CD in the school setting. A likely role of the school psychologist is to formally evaluate students referred for disruptive behaviours and to recommend/develop intervention strategies. Given the complexity of the problems associated with CD, it would seem prudent for the school psychologist to be aware of information pertaining to biological correlates of CD, so that a well-integrated intervention plan could be developed. Knowledge of the biological basis of CD also may assist in the development of treatment plans more consistent with what is known about how youths with CD respond to their environment.
Patterns of behaviour are mediated by various neuro physiological mechanisms, regardless of the psychosocial origin of those patterns. This in no way minimizes the importance of interventions focusing on psychosocial factors, since they are integrally related to each other. However, it emphasizes the need to consider the body of literature pertaining to neuro anatomical, neuro chemical, psycho physiological, pharmacological, and neuro behavioural research as it relates to the symptoms and syndrome of CD. For example, how might an individual's and attention style is determined by neuro physiological processes? How might certain response styles in a controlled laboratory setting provide some insight into the functioning of certain biological systems? How might the above information be used to develop an intervention program specific to an individual's neuro physiological or neuro behavioural profile?
Considerable interest in these and related questions is reflected in a growing body of literature that has accumulated over the past decade. Methodological issues will need to be addressed by researchers investigating the etiology and maintenance of CD. Specific issues, among others, include how antisocial behaviour is defined (e.g., specific behaviours, narrow-band versus broad-band, subtypes, etc.); the effect of coexisting disorders (e.g., ADHD, anxiety, etc.) on an individual's functioning; the need to control for cognitive and demographic characteristics; the delineation of factors that may be consequences of behaviour problems rather than causes of them; and the indirect or peripheral measures of neuro physiological indices. In light of the limitations represented in the literature, no firm conclusions can be drawn about the psychobiology of CD.
Even if firm conclusions could be drawn, a biologically deterministic view-point should be vigorously discouraged. Delineation of biological markers of CD is likely to have extreme social implications and lead to many potential abuses of such information by those with sociopolitical agendas. Markers of CD should not be equated to markers for criminal behaviour, since most crime is not committed by individuals with CD or a history of CD (Damasio, 1994, 1102-5) Furthermore assert that "Identifying an individual as having high biological risk for antisocial conduct should never involve deprivation of opportunities or rights, but should involve enhancement of the opportunities to become successful, prosocial, and fully franchised members of society" (Scherer, 2003, 563-571).
With the above caveats in mind, the present literature has suggested many psychobiological characteristics of children and adolescents with CD. Measures of frontal-lobe functions have occasionally differentiated between youths with and without CD. Youths with CD have shown reduced ear asymmetry on a dichotic listening task, possibly suggesting a reduced role of language in mediating and regulating behaviour which may reflect left hemispheric functioning. Neurochemical studies, although frequently relying on peripheral measures, have strongly implicated the association between serotonergic and noradrenergic system functioning and aggressive/antisocial behaviour. The neuro hormones cortisol and testosterone also have been linked to CD. Several studies regarding sympathetic nervous system functioning have found that youths with CD, compared to youths without CD, exhibit lower heart rate levels, different patterns of stimulus responsively as measured by skin conductance, and different patterns of electrical brain activity in response to stimulus events.
Pharmacological studies have implicated potential drug therapies for youths with CD, although the lack of controlled studies and the nonspecific nature of the drug activity make interpretation difficult. Stemming largely from Gray's conceptual model of the nervous system and Quay's application of this model to child psychopathology, a body of literature has identified differences in conditionality and sensitivity to punishment and reward among youths with CD. Such differences based on the interaction between what is referred to as the behavioural inhibition and activation systems? Clearly suggest hypersensitivity of the youth with CD to reward and failure to inhibit responding in mixed incentive conditions i.e., cues for reward and punishment). Preliminary research using different groups co morbid for CD and anxiety have supported the notion that antisocial behaviour is the product of both excessive reward-seeking behaviour and insufficient inhibition. This behavioural line of research which focuses on instrumental learning characteristics and converges with neurophysiologic indices has clear treatment implications applicable to school settings. Shaping an individual's behaviour may be predicted by the conditions of reinforcement to which they are most sensitive, based on the relative functioning of two interacting bio behavioural systems and the behavioural propensities these systems modulate.
References
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