ISSN 199�-8��Х. Вестник НГУ. Серия: Психология. 2008. Том 2, выпуск 2© K. A. Bard, 2008

УДК 591.51

k. A. BardCentre for the Study of Emotion, University of Portsmouth

Portsmouth, PO1 2DY, UKE-mail: kim.bard@port.ac.uk

dEvElOPmEnt Of EmOtIOnAl ExPrEssIOns In CHImPAnZEE And HumAn InfAnts

I discuss the development of emotional expressions with an overview of a series of studies on young chimpanzees and humans. There are important reasons for using an ethological approach, and applying principles of comparative developmental psychology to understand the evolution of emotion. Chimpanzee and human newborns appear to experience similar emotions in similar contexts: for example, they smile to the face and voice of familiar caregivers, and laugh when tickled. By the time that chimpanzee and human infants are 1-year-old, considerable socialization experiences have exerted their significant influence on emotional experiences and expression. Throughout the paper, the value of comparative perspectives on development and of developmental perspectives on species comparisons are highlighted. This combined approach is identified as important to understand the plasticity inherent in emotional development of humans and chimpanzees.

Keywords: comparative psychology, emotion regulation, great apes, social cognition.

Ethology and Comparative developmental Psychology

Many developmental psychologists, like myself, were trained using observational methods of the traditional ethologist. The first task was to observe behaviour naturalistically. In this sense, naturalistic had dual meanings: observations should take place initially without any interventions, and observations should take place while the subjects were behaving in their ‘natural’ setting. Rather than using the simpler species of classic ethologists, I chose to study the relatively simpler systems of young infants. My interests in emotional development stem from the theory of intersubjectivity (e. g.: [Trevarthen, 1979]) and the emotional basis in many of the developmental milestones of early infancy (e. g., social smiling & laughter, wariness of strangers, love of primary caregiver, & attachment, and preverbal communication). As convincingly argued by Panksepp (1998), emotional behaviours arise from an innate biologically-based system: “emotional processes, including subjectively experienced feelings, do, in fact, play a key role in the causal chain of events that control the actions of both humans and animals” [Panksepp, 1988. P. 14]. As a developmental psychologist, I ask questions related to the ways in which the emotional system develops in interaction with particular social-

cultural environments (e. g.: [Bard, 2003; 2005; Nugent, Lester & Brazelton, 1989]).

As a comparative psychologist, I am interested in specifying similarities and differences across primate lineages to address questions of species-unique characteristics or characteristics shared by species. The last common ancestor (LCA) of humans, chimpanzees, and monkeys lived approximately 30 million years ago. The LCA of humans and chimpanzees lived approximately 7 million years ago, which means that humans and chimpanzees have 23 million years of shared evolutionary history. As a comparative psychologist, I ask questions about the ways in which humans and chimpanzees are similar due to their very long period of shared evolutionary history, and the ways in which they differ as a result of the 7 my of independent evolutionary paths.

Comparative developmental psychology is a rather unique perspective, in which a comparative approach is combined with the study of development, to determine those characteristics that are uniquely human, or those characteristics that are uniquely chimpanzee, or those characteristics that are shared by humans and chimpanzees. Many prominent papers suggest there are species differences in developmental outcomes (e. g.: [Povenilli & Eddy, 1996; Tomasello & Carpenter, 2005]), but use flawed experimental designs in which species is irretrievably confounded with rearing environment

99Bard K. A. Development of emotional expressions in chimpanzee and human infants

and age at testing (variables that have significant impact on most socio-emotionally- based developmental outcomes: [Bard & Leavens, in press; Leavens, Hopkins & Bard, 2005; 2008])

The study of young infants makes a bit easier the task of understanding the contributions of nature and nurture to particular developmental outcomes [Garcia Coll et al., 2004; Nugent et al., 1989]. To understand developmental outcomes, we need to understand the relative influences of social-cultural environments and of evolutionary history to developmental processes. Although it can appear complex, combining a comparative perspective within truly developmental study allows us to address the flexibility and plasticity in the relevant characteristics [Bard, 2005; Bard et al., 2005]. To pose relevant research questions, that further our understanding of developmental processes, requires a strong foundation built on ethological methods.

development of emotion and expressions

My thesis is that the capacity for intersubjectivity, or mutual engagement, is part of the shared human-chimpanzee evolutionary history. From birth, infants engage in emotional exchanges with caregivers – called primary intersubjectivity [Trevarthen, 1979], most often in face-to-face interactions. Early face-to-face interactions are the context in which socio-emotional skills develop. The evidence for primary intersubjectivity in chimpanzees is the same as the evidence for human infants: chimpanzee infants engage in social games; chimpanzee infants have emotional behaviours that assume communicative meaning; emotional meanings can change based on changes in socialization; and newborn chimpanzees imitate emotional expression [Bard, 1998, 2005; 2007; Bard, Platzman, Lester & Suomi, 1992; Bard & Russell, 1999; Goodall, 1986; Myowa, 1996; Myowa-Yamakoshi, Tomonaga, Tanaka & Matsuzawa, 2004]. Secondary intersubjectivity [Trevarthen & Hubley, 1978], the capacity to engage with others about objects which underlies joint attention, intentional communication, and social referencing in humans [Adamson, 1995], is also found in chimpanzees [Leavens, Hopkins & Thomas, 2004]; and is evident in pointing (e. g.: [Leavens, Hostetter, Wesley & Hopkins, 2004]), joint attention (reviewed by Bard & Leavens, in press), and social referencing [Russell, Bard & Adamson, 1997], in which the role of emotion

is clearly specified: it is the emotional bond with a caregiver that supports the sharing of affective information about objects [Bard & Leavens, in press]. Intersubjectivity may be the basis for emotional communication [Kugiumutzakis, 1999; Meltzoff & Moore, 1989; Trevarthen & Aitken, 2001], and is common to the great ape – human lineage [Bard, 1998; 2007].

Beginning in the neonatal period, we see that chimpanzee infants, like human infants, smile in response to familiar caregivers in face-to-face contexts. Although the morphology of the face differs, the focus on ‘felt’ emotion links the chimpanzee playface with the human smile. Emotional development is highly influenced by enculturation, or early socialization [Bard & Gardner, 1996]. By 30 days of age, chimpanzees raised in a nursery by humans smile significantly more than mother-raised chimpanzees when tested by a human examiner [Bard, 2005]. By 3-months of age, we find that chimpanzees playing with their mothers are in physical contact with low levels of mutual gaze [Bard, 1994], but chimpanzees playing with human caregivers are out of physical contact with high levels of mutual gaze (Interchangeability Hypothesis, [Bard et al., 2005]). Observations of infant play in wild chimpanzees confirmed that tickle play occurred without mutual gaze (e. g.: [Plooij, 1979]). In the design of the Responsive Care nursery, we utilized this knowledge from wild chimpanzees to teach chimpanzee style communication to young infants [Bard, 1996; Bard, Bulbrook, Maguire, Veira, Hayes & McDonald, in prep]. Our teaching method relied on intersubjectivity and emotional communication. For example, in playing with young chimpanzees, we positioned them in contact with us but facing away. From this position, they use the species-typical gesture (fig. 1) to request tickle play. Once an older infant has engaged in this way then play with peers and younger chimpanzee partners takes a species-typical form, without mutual gaze (fig. 2).

The tickle play and chase play observed in infant chimpanzees may be much simpler than the rough & tumble play of juvenile and adolescent chimpanzees [Goodall, 1986]. Rough & tumble play may have important functions in establishing socio-emotional relationships in immature primates (e. g.: [Bruner, 1972]. In order to play ‘well’ with others, chimpanzee infants must be able to ‘read’ invitations to play, and use appropriate behaviors

Этология человека100

while engaging in play (e. g., playbiting rather than real biting). When requesting play from others, the initiation must be with an appropriate behavior (initiate tickle play with a poke rather than a hit) and with consideration of the targeted partner (e. g., taking consideration of the relative status of the partner). A juvenile may use multiple modal gestural request, such as a hit on the nose, a laugh, and running away, to successfully request chase play from a peer. The same juvenile, however, would be ill-advised to use the same behaviours to request play from the alpha male. The socio-emotional skills of chimpanzees (e. g.: [Goodall, 1986; de Waal, 1982]) have much in common with those identified in humans as emotional intelligence (e. g.: [Grewal & Salovey, 2005]).

The RC programme used principles of developmental psychology, especially intersubjectivity, the co-constructed nature of communication (e. g.: [King & Shanker, 2003]), and the scheme of intuitive parenting [Papousek & Papousek, 1987] in which chimpanzee mothers nurture their infants’ integrative capacities [Bard, 1994; 2002; Bard et al., 2005; van Lawick-Goodall, 1968]. Emotionally meaningful communicative repertoires developed through interaction [Adamson, 1995; Bard, 1996]. Due to the cross-context consistency in the developmental pathways (from mutual engagement, initiations,

Fig. 2. The Responsive Care nursery staff encourage slightly older chimpanzees, like Lucas who is 14 mo, to engage in gentle play with younger chimpanzees, like Lindsey who is 4 mo using species-typical behaviours. The RC staff monitors and intervenes, as chimpanzee mothers would, to cradle Lindsey only if the play becomes too rough. In this way, Lucas will

learn to manage his emotion and behaviour, to maintain harmony in playful interactions. Photographic credit to KA Bard

Fig. 1. The Responsive Care nursery staff, like Kathy Gardner pictured here, encouraged the development of multimodal signals to initiate play in young chimpanzees. Lucas, who is 1 year-old, leans into Kathy, with a chimpanzee smile and a ‘tickle me here’ gestural request. Photographic credit

to Enrico Ferorelli

101Bard K. A. Development of emotional expressions in chimpanzee and human infants

to communicative requests), it appear that communicative skills in chimpanzees are based importantly in intersubjective processes. These processes may well be the foundation for cultural differences in social behaviours, such as grooming [McGrew & Tutin, 1978; Nakamura et al., 2000]. This reinforces the notion that intersubjectivity is critically involved in developmental processes of ape and human (e. g.: [Bard, 1998; 2007, Bard et al., 2005; Brinck, 2008; King & Shanker, 2003; Reddy, 2005; Trevarthen & Aitken, 2003; Zlatev et al., 2008].

The study of emotion in animal behaviour is important for numerous reasons. Emotion is an underlying cause of behaviour [Panksepp, 1998], and emotional responses vary in systematic ways with different rearing experiences. For example, neonatal chimpanzees in Responsive Care, more often those raised in the Standard Care nursery, responded with anger to a standard test manoeuvre (cloth covering the eyes: [Bard et al., 2001; Bard, 2003]). In a standardized test situation, given once a month, we found that RC chimpanzees were increasingly happy, and increasingly cooperative in the give & take of objects with the examiner, whereas chimpanzees raised under ST nursery rearing were merely content across the months of testing [Bard & Gardner, 1996]. The responsiveness of the caregivers, and their socialization practices, appear to have significant and long-lasting effects on emotion and emotional expressions in chimpanzees.

Emotion plays an important role in cognitive performance in chimpanzees. The RC nursery chimpanzees outperformed on cognitive outcomes [Bard & Gardner, 1996], and we have recently demonstrated significant, positive correlations between affect and joint attention (Bard & Leavens, in press). It is clear that emotionally based responses to caregivers, to examiners, and to objects influence a chimpanzees’ motivation to engage, their pleasure (or fear) in cooperation, and their ability to perform cognitively complex activities (e. g.: [Bard, 1998; 2005; de Waal, 2001; Fouts & Mills, 1997; Russell et al., 1997; Savage-Rumbaugh et al., 1993]).

Here I presented some results from a unique emotionally-based program designed to optimize social skills and social manners in nursery-reared chimpanzees. The adult interactants, while not conspecifics, were specially trained to nurture and support chimpanzee species-typical communication

on a moment to moment basis. With this participant observer methodology, we are able to describe chimpanzee gestural development in a manner that we believe is consistent with how their communication system develops in interaction with their biological mothers and group members, in the wild and in other settings (e. g.: [van Lawick-Goodall, 1968; Plooij, 1978]).

Conclusion

In conclusion, the human and chimpanzee infants’ socio-emotional system develops in synchrony with caregivers’ parenting, and as a function of cultural influences [Bard, 2004; Greenfield, Keller, Fuligni & Maynard, 2003; Keller et al., 2004; Rogoff & Morelli, 1989]. The RC nursery was designed to nurture and support the development of species-typical emotional communication of young chimpanzees. In each context, age-appropriate skills were reinforced, by responding to the intended ‘emotional meaning’ of the chimpanzees’ behaviour. Across multiple contexts, chimpanzee infants were fully engaged in an activity at younger ages than they were when initiating the activity. All chimpanzees used gestures, beginning from 7 to 9 months of age, although these initial gestures were tentative, brief, or only partially formed. It is through emotional engagement with competent adults that young infants develop their gestural repertoire [Bard et al., in prep; Reddy, 2005]. Emotionally-based rearing of young chimpanzees resulted in chimpanzees learning socio-emotional skills, including appropriate rank-related submissive behaviours. Some socio-emotional skills, evident in adult chimpanzees, may be akin to ‘social manners’, requiring emotional intelligence, i.e., the ability to perceive, appraise, and manage the emotions of self and others (e. g.: [Fouts & Mills, 1997; Goodall, 1986; de Waal, 1982; 2001].

Acknowledgements

The research was supported, in part, by NIH Grants (RR-00165, RR-03951, RR-01658, HD-21013, HD-07105, and NICHD Intramural Research Program), and by FP6 IST-045169. The Yerkes Regional Primate Research Center of Emory University is fully accredited by the American Association of Laboratory Animal Care. Grateful appreciation is extended to

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Kelly McDonald, Carolyn Fort, Josh Schneider, & Kathy Gardner, to the Veterinary Staff of the Yerkes Center, and numerous students of Emory University, Oxford College, and Georgia State University for their support of the research program at the Yerkes Centre. Dr. David Leavens, Vanessa Maguire-Herring, and Sophie Bulbrook offered many constructive comments.

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К. А. бард

рАЗвИтИе вырАЖенИя ЭМОцИй У МлАденцев ШИМПАнЗе И челОвеКА

В статье рассматривается развитие выра-жения эмоций на примере серии исследова-ний молодых шимпанзе и детей. Существуют серьезные причины для использования этоло-гического подхода и применения принципов сравнительной психологии развития в иссле-довании эволюции эмоций. Новорожденные шимпанзе и люди, по-видимому, пережива-ют схожие эмоции в схожих контекстах: на-пример, они улыбаются, когда видят знакомое лицо и слышат знакомый голос того, кто забо-тится о них, или смеются, когда их щекочут. В этой статье подчеркивается ценность сравни-тельной точки зрения на развитие и сравнения видов с точки зрения развития. Этот комбини-рованный подход важен для понимания плас-тичности, присущей эмоциональному разви-тию людей и шимпанзе.

Этология и сравнительная психология развития

Интерес к эмоциональному развитию свя-зан с теорией интерсубъективности [Тревар-тен, 1979] и эмоциональной основой многих важных событий раннего детства (например, социальные реакции улыбки и смеха, насторо-женность по отношению к незнакомым людям, довербальное общение). Панксеп (1998) убе-

дительно доказал, что эмоциональное поведе-ние возникает из врожденных биологических систем. Как психолог, изучающий развитие, я задаю вопросы о том, как развиваются эмоци-ональные системы во взаимодействии с соци-ально-культурным окружением.

Как сравнительный психолог, я заинтере-сован в определении сходств и различий среди приматов. Последний общий предок (ПОП) человека, шимпанзе и обезьян жил прибли-зительно 30 млн лет назад. ПОП человека и шимпанзе жил приблизительно 7 млн лет на-зад, а это значит, что у людей и шимпанзе 23 млн лет совместной эволюционной истории. Как сравнительный психолог, я задаю вопросы о том, чем похожи люди и шимпанзе, ведь нас объединяет 23 млн лет общей истории, и чем мы различаемся, ведь 7 млн лет мы эволюци-онировали независимо друг от друга.

Сравнительная психология развития созда-ет уникальную перспективу. Сравнительный подход объединяется с изучением развития для того, чтобы определить те характеристики, которые свойствены или только человеку, или только шимпанзе, а также характеристики, ко-торые объединяют человека и шимпанзе.

Изучение младенцев облегчает понимание вклада природы и воспитания в формирова-ние общего рисунка поведения.

10�Bard K. A. Development of emotional expressions in chimpanzee and human infants

развитие эмоций и их выражения

Мой тезис состоит в том, что способность к интерсубъективности, или взаимному контакту, является частью эволюционной истории, об-щей для человека и шимпанзе. С самого рож-дения младенцы участвуют в эмоциональном обмене с теми, кто о них заботится, в основ-ном при взаимодействии лицом к лицу. Этот феномен Тревартен назвал первичной интер-субъективностью. Раннее взаимодействие ли-цом к лицу является контекстом, в котором развиваются социо-эмоциональные навыки. Признаки первичной интерсубъективности у шимпанзе те же, что и у человека: младен-цы шимпанзе играют в игры; младенцы шим-панзе демонстрируют эмоциональное поведе-ние, которое предполагает коммуникативный смысл; новорожденные шимпанзе подражают выражению эмоций. Вторичная интерсубъек-тивность – это способность ребенка включать различные объекты во взаимодействие с дру-гими людьми. Эта способность лежит в ос-нове совместного внимания (joint attention) и интенциональной коммуникации. Она также обнаруживается у юных шимпанзе.

Начиная с периода новорожденности, мла-денцы шимпанзе, как и человеческие младенцы, улыбаются знакомым, которые о них забоятся, при контакте лицом к лицу. На эмоциональное развитие оказывает большое влияние инкуль-турация, или ранняя социализация. К 30 дням шимпанзе, которые воспитывались людьми в питомнике, улыбаются значительно чаще, чем шимпанзе, воспитываемые матерями, ког-да их тестирует человек. К 3 месяцам у шим-панзе, которые играют со своими матерями, уровень физических контактов высокий, а уро-вень взаимного контакта взглядами – низкий. У шимпанзе, которые все это время играли с людьми-воспитателями, соотношение этих ха-рактеристик обратное (гипотеза взаимозаме-няемости [Бард и др., 2005]).

Игры в щекотку и в догонялки, которые на-блюдаются у совсем юных шимпанзе, могут быть гораздо проще, чем игры-потасовки шим-панзе подросткового возраста. Игры-потасовки могут выполнять важные функции в установле-нии социо-эмоциональных взаимоотношений у юных приматов. Чтобы «хорошо» играть с дру-гими, подрастающие шимпанзе должны уметь «считывать» приглашения поиграть и использо-

вать подходящие модели поведения в игре (на-пример, покусывать в шутку, а не кусать всерь-ез). Социо-эмоциональные навыки шимпанзе имеют много общего с тем, что у человека оп-ределяется как эмоциональный интеллект.

Изучение эмоций у животных важно по мно-гим причинам. Эмоции лежат в основе пове-дения, и эмоциональные реакции варьируют в зависимости от среды воспитания. Например, новорожденные шимпанзе в питомнике «чут-кой заботы» (Responsive Care) демонстрируют гнев в ответ на стандартный тест, когда гла-за закрывают повязкой, чаще тех, кто воспи-тывался в обычных условиях (Standard Care). Эмоции играют важную роль в когнитивной деятельности шимпанзе. Шимпанзе в RC пи-томнике лучше справляются с когнитивными задачами, и недавно нами было показано нали-чие значимых позитивных взаимосвязей меж-ду аффектом и совместным вниманием.

Заключение

Социо-эмоциональная система младенцев шимпанзе и человека развивается синхронно с их воспитанием, и большое значение имеют условия воспитания (культурные влияния). RC питомники были созданы для воспитания и поддержки развития видотипической эмоцио-нальной коммуникации молодых шимпанзе. В каждом контексте подкреплялись соответству-ющие возрасту навыки. Все шимпанзе исполь-зовали жесты начиная с возраста 7–9 месяцев, хотя эти начальные жесты и были неуверен-ными, ограниченными или сформированными только частично. Из работ возрастных психоло-гов известно, что дети развивают свой репер-туар жестов, взаимодействуя с компетентными взрослыми. Воспитание молодых шимпанзе и наблюдение за развитием их эмоций показало, что шимпанзе обучаются социо-эмоциональ-ным навыкам. Это включает соответствующее подчиненное поведение, связанное с социаль-ным рангом. Некоторые социо-эмоциональные навыки, легко наблюдаемые у взрослых шим-панзе, могут развиваться как «социальные ма-неры», требующие эмоционального интеллек-та, т. е. способности воспринимать, оценивать и управлять эмоциями, как своими, так и дру-гих членов социума.

Материал поступил в редколлегию 04.09.2008