Abstrak: Makala berikut ini membicarakan masalah bahasa nonverbal pada anak yang diekspresikan terutama lewat wajah mereka. Perdebatan tentang apakah bahasa nonverbal pada anak merupakan suatu ekspresi yang sifatnya alami atau bentukan dari kehidupan anak setelah lahir, dapat ditelusuri mulai sejak Darwin. Pembahasan mengenai masalah ini mengetengahkan bagaimana binatang (sebagai pembanding), bayi dan anak-anak mengembangkan komunikasi ekspresi wajah mereka. Namun demikian sampai sekarang nampaknya belum ada jawaban yang pasti dari hasil temuan ini. CHILDREN’S NONVERBAL BEHAVIOR: THE NATURE AND NURTURE OF FACIAL EXPRESSION By: Esther Kuntjata Petra Christian University, Surabaya, Indonesia. Introduction Studies in linguistics, language development, and language communication have mostly been concerned with how verbal language is used in communication. Studies in first and second language acquisition discuss more in the acquisition of verbal language in children and second language learners. Furthermore many studies in child language acquisition have by far been more intensively conducted in exploring children’s verbal language development and less in their nonverbal development. Yet we know that before children learn to talk they have learned to communicate with their arms, their faces and their entire bodies. Julius Fast in his book Body Language maintains that children rely heavily on their bodies in discovering the world around them. With their touch they can learn joy, security, feelings of hot, cold, smooth and scratchy. (1970, pp.79-80) As children grow older and become adept in their verbal ability, Barbara Wood (1976, p.182) argues, that we assume they rely less and less on nonverbal communication. She 2 maintains, however, that the fact that children become more verbal should not suggest to us that nonverbal channels of communication become either nonexistent or unimportant. On the contrary, even as adult speakers, we are constantly engage in body motion communication some way or another. Another interesting pursue on the studies of language is the notion of the nature and nurture of language use in human lives. The nature refers to the possibility that all humans have the innate knowledge about language, while the nurture refers to the possibility that language development is inspired and conditioned by the environment and human social interaction. This notion has led many linguistic researchers to explore the ways young children acquire their language, including their nonverbal language, such as what have been done by the behaviorists, the innatists, and the cognitivists. This paper will try to probe the studies of children’s nonverbal communication that have been conducted so far, while looking for some answers as to how far the nature and nurture of nonverbal language use can be traced in the development of nonverbal language in human especially in infants and children. Like the studies done in verbal language development, linguists have so far been pulling back and forth in this continuum of nature and nurture, I believe that such notion can also be found in nonverbal development as well. Hence this study of human’s nonverbal communication may give some light to this issue and open for some further investigation in this topic. Researches on the nature and nurture of nonverbal communication have drawn my attention to the studies of emotion in children’s early lives. The earliest literature on this topic can be traced back in the study of emotion and facial expression by Charles Darwin in his book The expression of the emotions in man and animals that he wrote in 3 1872. Paul Harris (1989) recounts Darwin’s book by stating that Darwin was first struck by the similarity in the facial expressions of various nations. Darwin argued that there must be an innate, universal basis to human’s emotional expressions. With this hypothesis he studied his own son who was then over six months old. Here is what Harris quotes from Darwin’s experiment: His nurse pretended to cry, and I saw that his face instantly assumed a melancholy expression, with the corners of the mouth strongly depressed; now this child could rarely have seen any other child crying, and never a grown up person crying, and I doubt at so early an age he could have reasoned on the subject. Therefore it seems to me that an innate feeling must have told him that the pretended crying of his nurse expressed grief; and this through the instinct of sympathy excited grief in him. (Harris, 1989, p.6) Besides suggesting that human may have been provided with an innate feeling, Darwin also argued that there is a possibility that nature has also equipped the infant with foreknowledge of how to interprete some particular expression. Hence, Darwin made two claims here. First he argued that human beings have a universal, innate repertoire of discrete facial expressions. Second, such expressions are endowed with meaning for the infant by an innate recognition devise.(p.25) Darwin also claimed that we cannot understand human emotional expression without understanding the emotional expressions of animals. Here his argument was based on his theory of evolution and his studies were conducted on infants, children, adults from various cultures, the mentally ill, and in animals. 4 Among the present day followers of Darwin’s claims is Paul Ekman. In commemorating Darwin’s one hundred year of his book, Ekman published an edited book entitled Darwin and facial expression in 1973. Together with other researchers he review a century of studies on facial expression that had been conducted since Darwin. Overall Ekman et.al. still believed that Darwin’s work of 1872 was still the most encompassing work on this subject. Since the earliest issue on nonverbal communication has been concentrated on the facial expression of emotion, in this paper I will be discussing three major topics on the facial expression of nonverbal communication in which the nature-nurture of language development has been disputed, i.e. Facial expression of emotion in nonhuman primates as compared to human’s; facial expressions of infant and children; and social factors in facial expression. By probing these three major subjects that have been discussed by some major researchers in the studies of nonverbal communication I hope I can see the early development of nonverbal communication and see how far the nature-nurture side of it has been investigated. Facial expression in nonhuman primates Since Darwin, people have been obsessed to see how far human beings share some similarities with their so called “ancestors.” This has led many researchers to study the lives of primates that may disclose any similarities with the lives of human. Chevalier-Skolnikoff in Ekman (1973) discussed the evolution of the nervous system that is related to facial expressions in different species. Her finding shows that there are differences in the brain of the primates and of human. She argues that these differences 5 may be responsible for human facial expressions being more subject to voluntary or habitual control than are those of other animals. Chevalier-Skolnikoff’s studied the facial expressions of some primates that are influenced by external factors like social stimuli from other animals within the social group and environmental factors like day or night, warm or cold, rainy or dry and other situations; and internal factors like the hormones, the nervous system, and the muscular anatomy. She found that those factors are important determinants that can greatly influence whether a particular behavior will occur or not. She concluded that “facial expression cannot be characterized as inherited or “innate.” Only the genes are inherited, and complex interactions between the organism and its environment are always involved in the production of any behavior, including facial expression.” (p.49) With regard to Darwin’s hypothesis of the innateness of facial expression, she stated that: Special attention should again be directed to the nervous system and the manner in which it functions in the production of facial expression. Darwin considered facial expressions of emotion “innate” or determined by heredity rather than learned because of the stereotyped nature of these behaviors and because of their universality throughout the races of man. The stereotypy and universality of facial expressions of emotion are due to their mediation by the basal area of the forebrain, which produces stereotype behavior, rather than to environmental immunity. (p.49-50) Even when Chevalier-Skolnikoff’s explanation of the evolution of facial expression is still within Darwin’s tradition, her scientific finding on differences in musculature and 6 the evolution of the nervous system have expanded the knowledge of how facial expressions in different species are related and what may be considered as innate. Another intensive study on the differences of facial expression between animals and human was conducted by Ross Buck in 1984 and was published in his book entitled The communication of emotion. He also admits that one of the great contributions in the study of nonverbal communication is that it has shown how human communication is based upon and influenced by the same motivational / emotional systems and fundamental learning experiences as is animal communication.(p.viii) Buck studied on rhesus monkeys’ emotional behavior particularly the development of affection, fear, and aggression and compared them to the development in infants. He found that although affectionate behavior is normally present in the infant monkey virtually from birth, there is little evidence of aggression and fear. After a few weeks, fearful responses begin to appear, and by 6 months they are well established (p.126). Meanwhile human infants also show a similar absence of fearful and aggressive responses during the early months of life, while affectionate behavior like smiling is shown with both familiar and unfamiliar adults. By six months, a fear of strangers and distress at separation often appear (p.129). Buck suggests that there is a maturation of the system underlying fear and aggression, creating a “critical period” in the early months in which social attachment can easily occur. He suggests that the evidence in monkeys is analogous to what occurs in humans. Other studies on primates are presented by Exline (1974) on eye contact in different primates and Harlows (1971) in tactile stimulation in monkeys. These studies suggest that behavior in eye contact as found in the primates may be used as a ground work in the study of human’s eye engagement. His studies concerning the development 7 of eye engagement seem to offer promise for understanding the development of affiliative and dominance tendencies. From the study of eye contact between man and monkey, there are some suggestions that response to eye contact may be innate. While Harlows’ studies which show that monkeys clung to cloth “ surrogate mothers” who did not provide food in preference to wire ones which provided nourishment, seems to show similarity with children who seek tactile comfort and stimulation (in Buck, 1984, p.122123). Although the studies on primates’ emotional communication are still limited, researchers have intensively used the “animal model” of emotional development in trying to explain human emotion. The overall picture suggests that there are neurochemical systems underlying emotion that are innately given in primates and human. But there is a gradual evolution and maturation of the mechanism that is complex enough to provide human with symbolic communication ability. Thus the animal model represents an incomplete view of human emotion, due to the emergence of language in human. The invention of language provides for humans a new and powerful vehicle for the control of behavior which is functionally independent of its biological roots (Buck, 1984, p.165). Facial expression in infants and children The studies of facial expression in infants and children should again owe to Darwin who then believed that through studying young human infants’ uninhibited expression they may have the opportunity to see the innateness of human behavior (Ekman, 1973, p.93). There have been more rigorous studies on facial expression on 8 infants and children since then, although child psychologists might not have the same purpose as Darwin’s in their studies. There are six common emotional states which are accompanied by distinctive facial expressions described by many researchers: happiness, sadness, anger, fear, surprise, and disgust. Happiness may include affection, smiling and laughing; sadness includes crying and distress. As children grow older, a wider variety of facial expressions occurs. So it is during this period that many researchers usually see how emotion develops and how cognitive factors play important roles. The earliest study on facial expression by Darwin (in Charlesworth et.al., 1973, pp.93-102)) is worth reviewing even though the later researchers found Darwin’s study to be annecdotal rather than systematic. From his observation, Darwin found that affection was probably arouse very early in life before two months old. Smiles occur as early as 45 days. A pleasurable sensation occurred at about 3 ½ months. Anger was noted in his infant son when he was four months old. Unpleasurable sensations caused by pain or hunger were observable at birth. Charlesworth & Kreutzer recount that “for him [Darwin] the fact that the majority of complex facial expressions observed in adults are already present in the infant or young child suggested strongly that their acquisition was less dependent upon learning than it was on the actualization of innate tendency.” (p. 102) This innate tendency in the facial expressions of infants was discussed by the later researchers as well. Among the most often cited are Bridges, Ekman, Buck, and DePaulo, although they are not as simplistic as Darwin because of the more complicated findings they found in their researches. 9 In 1932 Dr. Katherine Bridges studied the development of emotion in infants and children from birth to two years by keeping records of their daily behavior during feeding, dressing, bathing, and sleeping. She found that as early as 4 or 5 months of age babies attended to crying children and by 7 or 8 months they would smile and reach out to another baby nearby in response to its sound, and by 13 – 14 months laughed and smiled a lot.(in Jones, 1972, p.273). Her findings here apparently differ from Darwin’s. Bridges also stated that: 1. The excitement emotion appears first in all infants, regardless of their culture, home environment, or sex. 2. With maturation, excitement is differentiated into distress and delight, that is, the one emotion “splits” into the two different and distinct emotions, one positive and the other negative. 3. With age, each emotion (for instance, delight) splits further, into more specific emotions; at two years of age, the child is capable of communicating nearly a dozen different emotions (in Wood, 1976, pp. 193-194). Her first statement shows that she seemed to agree that some facial expressions are innate. However, what is considered as innate in the first place is undergoing some development / maturation to becoming more complicated emotions. Hence, she seems to believe that once emotions are established in infancy, the form of expressive behaviors changes little by little over the years and becomes more complex. Ekman (1973) agrees with Chevalier-Skolnikoff ‘s argument that Darwin’s claim that facial expressions must be inherited is something that needs to be disputed. According to Ekman, “universality increases the likelihood that inheritance determines 10 the form and appearance of facial expressions, but it does not prove an innate basis of facial expression since there are other explanations available.” (p.171). Universality, Ekman maintains, must be constant, not variable for humankind. Inheritance is one such source, but other human experiences in their interactions with their environment may be the source of universal facial expressions too. However, Ekman himself admits that until then there had been no incontrovertible evidence, free of bias, to settle the question of universality (p.174). An interesting distinction on what can be seen as innate and what may be socially or culturally affected is given by Ross Buck (1984) under the terms spontaneous and symbolic communication. Here is the characteristics of the two types of communication he suggested (p.8): Characteristics Spontaneous communication Symbolic communication Basis of signal system Biologically shared Socially shared Intentionality Spontaneous: Communicative behavior Voluntary: Sender intends to is an automatic or reflex response. send a specific message. Signs: Natural externally visible aspects Symbols: Arbitrary relationship of referent. with referent. Nonpropositional motivational / Propositions: Expressions capable emotional states. of logical analysis (test of truth or Elements Content falsity) Cerebral processing Related to right hemisphere Related to left hemisphere. Level of knowledge Knowledge by acquaintance. Knowledge by description. necessary. ______________________________________________________________________________________ 11 Buck suggests that spontaneous communication (more toward nature) and symbolic communication (more toward nurture) are not logically related in a simple way, but they are biologically related in ways that cannot be precisely defined until the biological systems and their relationship with one another are more fully understood. (p.11) I believe that this is what makes the results of the researches that have been carried out so far so various and so difficult to conclude because the biological system and the relationship have not yet been fully understood. Buck also discussed the ritualization, similar to Bridges’ maturation, i.e. the process by which displays of behavior patterns evolve. The ritualization is often accompanied by the evolution of physical characteristics that serve to increase the accessibility of the display. Buck then argues that if human facial expression evolved for this reason, then the basic facial expressions of emotion must be universal to the human species (pp. 36-37). Similar notion on the universality of facial expression is also suggested by DePaulo (1991). She argues that when certain basic emotions such as happiness, sadness, fear, anger, and surprise are elicited, such non-verbal behaviors are difficult to produce at will, even for adults (pp. 352-353). One example is one’s facial expression when the person is afraid. The raising and pulling together of the eyebrows cannot be produced deliberately, “there are constraints on people’s abilities to feign fear successfully, and most adults are just as disadvantaged in this respect as are children."(p. 356). In conjunction with human’s spontaneous expressiveness, she maintains that the links between internal states and overt expressions seem to be strong, therefore it is not easy to work against one’s internal states by expressing something at odds with his/her internal states. Like Bridges and Buck, DePaulo also looks at the developmental changes in 12 human’s spontaneous expressiveness. In infancy, expressiveness is conceptualized as an uninhibited style of behaving. For preschoolers, there are striking individual differences in the accuracy of their spontaneous expressions. Following Buck’s finding, DePaulo admits that preschoolers’ spontaneous facial expressions typically convey the relevant affect at the level that is just slightly better than chance. By first grade, the accuracy is above chance, although certain internal states other than the basic emotions can still be read accurately from children’s spontaneous expressions. She concludes that “spontaneous expressiveness may follow a curvilinear path.” It is during the preschool years and later adulthood years the correspondence between internal states and their spontaneous nonverbal expression may be somewhat confused. There may be a process of deliberately regulating one’s facial expression (pp.373-375). Studies in facial expressions were not only carried out in noticing infants’ facial expression, but that infant behavior also includes the infant’s ability to recognize emotional expression like Darwin also claimed. He stated that to a certain extend at an early age, for example his 6-month-old son, would understand a compassionate expression and would respond in an appropriate way. When his nurse pretended to cry, the baby showed a melancholy expression. Thus it also led him to conclude that babies not only produce facial expressions on an innate basis, but also recognize and react to them on an innate basis as well (Harris, 1989, p.14). This finding was in fact supported by other researchers like Buhler (1930) who reported that from five months and possibly earlier the infant will respond appropriately to different facial expressions, especially if these expressions are accompanied by variations in tone and voice (in Harris, 1989, p.18). More recent researchers, Haviland and Lelwica (1987) filmed mothers making dialogues 13 with their ten-week-old babies by adopting the appropriate facial expression and talked in the relevant tone of voice. The babies can clearly distinguished three emotions, happiness, sadness, or anger, in their reactions. This evidence seems to support Darwin’s claims that babies recognize and respond to the meaning of caretaker’s expression. The ability of infants to recognize emotional expression of other people has also undergone some heated debate. Charlesworth & Kreutzer (1973, p.120) acknowledged that research in this area was so difficult. They maintain that relatively little has been done to determine the nature of stimuli that play a major role in the infant’s world. Watson, the behaviorist, for instance claimed that smiling can be elicited immediately after birth by tickling, shaking, and patting.(p.107) Thus emotions are learned. Spitz and Wolf (1946), however, argue that different expressions on the experimenter’s face or on a mask were not effective in producing different reactions in the infants. Wood (1976) also maintains that emotions cannot be explained totally on the basis of conditioning. Studies of nonverbal communication suggest that the patterns of development are so stable across cultural groups of children that aspects of body language may be preprogrammed in the child’s neurological system. Hence different argument on this topic is difficult to reach a firm conclusion. Some researchers argue that the difficulty in achieving a firm answer to how facial expressions are processed and displayed were due to the methodological problems. Charlesworth and Kreutzer for instance admit that expressive behavior of an infant is so rich that things are not quite simple and orderly. It is often “highly dependent upon stimulus and subject conditions that it virtually defies any straightforward classification or interpretation that would allow for easy schematizing of its development.”(1973, 14 p.112) The use of film in judging infant’s emotional states can also make some ambiguity that it was impossible to rate with any degree of consistency and certainty. The contextual cues to be included were also very minimum. They argued that the infant’s inability to tell the observer how he feels or even to express himself fully in nonverbal ways, other by his facial expressions which in themselves are often inadequate indicators of his emotions, makes the task of inferring infant emotion and cognition a very difficult undertaking.(pp.123-124) Buck (1984) who reported using more modern technique like slide viewing technique for an accuracy in receiving ability also admitted that the pictures only reveal facial expression from limited angles and a full understanding of nonverbal receiving ability will require much more expanded study. De Paulo (1991) also admits the difficulty to ascertain whether particular nonverbal behaviors are acted purposefully or the result of practise which then become a habit; and to determine when nonverbal behaviors are motivated by self-presentational goals. The answers to those questions are still far from definitive. Social factors in facial expression The fact that there are a set of facial expressions that are shared by all human being in many cultures is perhaps the reason why many researchers think that some facial expressions are innate and universal, since it is highly improbable that so many different cultures would have developed the same set of learned arbitrary conventions for each emotion (Ekman et.al, 1974, p.45). Especially with the most studied emotion expression: smiling, for instance, seems to be the naturalistic occurrence in infants all across cultures. 15 Yet from the studies in the facial expressions and emotion of infants and children many found that the smile of the infant seems to be social sometime during the second to fourth month (Charlesworth et.al., 1973, p.106). Darwin himself also noted the possibility that an infant’s cries, while at first instinctive like smiling, later might become employed as means of communicating its needs to others (p.98). It suggests that facial expression of emotion can be altered or developed in situationally specific ways by social learning, although it is difficult to generalize and come to any certain conclusion about what is going on in the development and what is considered as socially influenced. One of the interesting issues concerning the social factors that may have affected human’s facial expression is the differences of facial expression that is related to gender. Several studies have analyzed sex differences in expressiveness in young children, with the hope that such studies will also show the nature-nurture side of sex differences in facial expression. Darwin for instance observed some gender differences that he thought was innate, i.e. he noticed that throwing behavior occurred only in his sons but not his daughter. This led him to conclude that throwing objects might be a tendency inherited only by boys (in Charlesworth et.al. 1973, p.96). Harlow as reported by Wood (1976, p.200) examined chimpanzees and their acquisition of gender roles and it suggests that gender may be inborn. Others found that as boys get older they show less spontaneous facial/gestural expressiveness. A young boy will respond to anger-inducing situations with overt aggression. In preschoolers, posing ability increases with age among girls but decreases among boys. Males appeared to show their discomfort by bodily movements, females by smiling and laughing (Buck, 1984, pp. 141, 205, 319). Hence according to Buck, there appears to be qualitative as well as quantitative differences between males 16 and females with regard to the communicativeness of their facial expressions. And males and more likely than females to express emotion internally (p.245). Manstead (1991, p.297) examined some researchers’ findings on gender differences within type of emotional stimulus. He found that females are more expressive than males are in response to some stimuli but not others. Also that females are more expressive than males in response to positive (e.g. happy) slides, whereas males are in response to negative (e.g. injury) slides. Patterson (1991) refers to a sociobiological view that links the sex differences in nonverbal behavior more closely to a genetic basis: The behavior of males and females differs because of the selective advantage such differences offer to the survival of the species. Although most researchers support the learning interpretation of sex differences in nonverbal behavior, some genetic component may also be contributing to the contrasting patterns (p. 468). However, Patterson did not explain further how this genetic component works. Many other psychologists seem to believe that gender is a learned variable, based on the child’s experiences with parents and others he/she encounters. Wood argues that we cannot answer questions on the origin of human gender behavior with monkey studies (1976, p.200). Buck (1984) suggests sex differences in expressiveness, differential tendencies to express different emotions, physiological responsiveness and overt expression in children, are based upon temperament and social learning. Manstead (1991, p.297) himself maintains that gender differences in spontaneous facial expressiveness typically observed in adults is not reliably found in infants and children and that there was no difference between girls’ and boys’ sending accuracy. Hence “the failures to find reliable gender differences among children suggest that the differences observed in adults 17 are acquired relatively late in childhood and may therefore be mediated by sex role socialization.” Haberstadt (1991) maintains that gender differences need to be investigated across context. From her studies she found that developmental research on facial expressiveness indicates very few gender differences in early childhood. Hence it suggests that such differences emerged after preschool years may be the result of parental and peer socialization of appropriate gender role behaviors and that children would adopt them as they learn the rules of their culture (p.133). A later study by Garner et.al. (1997) confirm that the ways in which children learn to control the expression of emotion is by modeling their parents’ emotional expressiveness and by responding to parental attitudes about acceptability of certain emotional expressions. They show that when girls express more sadness and boys more anger are related to how parents treat them. For instance, anger responses in girls are more followed by negative emotional reactions from mothers whereas the anger responses of boys receive more emphatic maternal reactions. That’s why girls showed more positive emotion in the play situation than boys, and girls tend to encourage positive affect and discourage negative affect whereas boys maximize the opportunities for conflict and negative emotion. In sum, development of sex differences in expression, especially spontaneous communication still needs to be studied further. Another difficulty to be considered in coming to a firm conclusion regarding the communication of emotion is the problem of deception. So far there has been very little investigation as to the differences between spontaneous expressions and the expressions the child has just learned to exhibit to disguise its real motives. According to Buck (1984, p.215), the concept of deception has been conceptualized in most recent research as 18 involving highly intentional dissimulation, in which a sender consciously attempts to present a false “image” to a receiver who is attempting to detect this deception. Thus it involves the influence of symbolic rules. When this is applied in the facial expressions of young children, many researchers found them not easy to distinguish which may be innate or acquired, deceptive or non-deceptive. DePaulo (1991) suggests that by the age of 6 or even earlier, children seem to know that people’s expressive behaviors do not always correspond to their internal states. One reason is that people can deliberately control their expressive behavior so as to convey misleading impression. She also suggests that these intricacies of expressive control become more and more sophisticated between the ages of 6 and 11, then appear to level off (p.365). What is interesting, however, many researchers learn that one’s effort at expressive control is not always successful especially with children. Even older children have difficulty producing facial expressions that are associated with fear, sadness, and anger. Third grade children still have trouble controlling their facial expressions so as to convey a false impression (DePaulo, 1991, p.369, 380). However, DePaulo found most of the researches on expressive control are conducted on adults such as the studies of successful poker players and experienced salespersons, but no research on the role of experience in children’s expressive control. Conclusion Studies in nonverbal communication, particularly in the facial expressions and the communication of emotion do not seem to yield firm results. The studies in nonhuman primates did reveal the differences in the brain system of primates and human, and those 19 differences have been counted as what make human be able to use language and learn. Here is where the cognitive factors have a major role. Yet, many researchers seem to still acknowledge Darwin’s notion of the innateness in human communication of emotion, especially when their studies were conducted on infants. What has not been confirmed and fully understood is how far the social influence, or the cognitive factors take place during the period where maturation of the brain in an infant starts. The difficulty to reach to a firm conclusion may be due to several reasons: Human brain cannot be easily investigated. Humans are also highly dependent on their environment, so there are many variables to be considered. Individual differences also make it difficult to generalize. The use of modern techniques so far have not yielded firm results either. In my own observation of young children playing, I saw boys and girls use almost the same facial expressions for certain behaviors like smiling and laughing when they were happy. A girl cried when her boy friends teased her. An even younger girl looked moody when she did not want to play with her friends. Their facial expressions looked so natural and spontaneous just like the children I saw in many other countries. 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