This study examined the role of attention and trait empathy within the production of neural facial mimicry responses that have been previously found to be associated with the experience of empathy. More specifically, do people who have high trait empathy levels require less attention to emotional information in order to still exhibit these physiological responses than people who have lower trait empathy levels? It has previously been demonstrated that responses in the zygomaticus and corrugator muscles have been associated with the experience of empathy. College aged participants were shown series of happy, angry, and neutral faces with the amount of attention allocated to the emotional information of the faces manipulated. It was predicted that the level of attention directed at the emotional faces would affect the level of these physiological empathetic responses. Attention directed at the emotional content of the photos was shown to elicit higher activations of these physiological responses than when participants’ attention was directed at another characteristic of the stimuli, gender, but trait empathy was not shown to significantly moderate the relationship between these physiological responses and the level of attention directed at the emotional information.

This thesis examines the validity of polyvagal theory as a model of normal socio-emotional responding (Porges, 1995, 2001, 2003a). Polyvagal theory makes several claims, and to date many of its predictions lack empirical testing. In the current research, five main hypotheses stemming from polyvagal theory were identified and tested using healthy participants. The initial empirical study examined the influence of laboratory stressors on autonomic function. The findings revealed that social evaluative threat increases activation of the sympathetic nervous system more than a virtual reality maze, and that arousal remains elevated for longer during anticipation of social evaluative threat in comparison to recovery from social evaluative threat. The second study investigated the effects of emotion regulation strategies on autonomic function, and highlighted the effectiveness of two meditation practices in reducing defensive physiological arousal and increasing subjective positive emotion. These studies were followed with a set of studies designed to evaluate the effects of defensive physiological arousal on socio-emotional functioning, as a direct test of polyvagal theory. The first study examined the effects of a laboratory stressor on facial expressivity, revealing that social evaluative threat had little impact on expressive regulation. A second study investigated the effects of a laboratory stressor on emotional sensitivity and spontaneous facial mimicry. Some limited support was found for polyvagal theory, although neither emotional sensitivity nor facial mimicry was significantly affected by laboratory stress. A final empirical study investigated the effects of a laboratory stressor on affiliation tendencies. The laboratory stressor did not influence participants’ willingness to spend time with others, however the experiment did reveal significant relationships between markers of social safeness and affiliation. The overall conclusion of this thesis is that polyvagal may not be a representative model of socio-emotional functioning in healthy participants. The implications of these findings are discussed in relation to the validity of polyvagal theory as a universal model of socio-emotional responding.

The current research project aimed to investigate facial emotion processing from especially developed and validated video stimuli of facial emotional expressions including varying levels of intensity. Therefore, videos were developed showing real people expressing emotions in real time (anger, disgust, fear, sadness, surprise, happiness, contempt, embarrassment, contempt, and neutral) at different expression intensity levels (low, intermediate, high) called the Amsterdam Dynamic Facial Expression Set – Bath Intensity Variations (ADFES-BIV). The ADFES-BIV was validated on all its emotion and intensity categories. Sex differences in facial emotion recognition were investigated and a female advantage in facial emotion recognition was found compared to males. This demonstrates that the ADFES-BIV is suitable for investigating group comparisons in facial emotion recognition in the general population. Facial emotion recognition from the ADFES-BIV was further investigated in a sample of individuals that is characterised by deficits in social functioning; individuals with an Autism Spectrum Disorder (ASD). A deficit in facial emotion recognition was found in ASD compared to controls and error analysis revealed emotion-specific deficits in detecting emotional content from faces (sensitivity) next to deficits in differentiating between emotions from faces (specificity). The ADFES-BIV was combined with face electromyogram (EMG) to investigate facial mimicry and the effects of proprioceptive feedback (from explicit imitation and blocked facial mimicry) on facial emotion recognition. Based on the reverse simulation model it was predicted that facial mimicry would be an active component of the facial emotion recognition process. Experimental manipulations of face movements did not reveal an advantage of facial mimicry compared to the blocked facial mimicry condition. Whereas no support was found for the reverse simulation model, enhanced proprioceptive feedback can facilitate or hinder recognition of facial emotions in line with embodied cognition accounts.

Positive Interaktionen zwischen jüngeren und älteren Erwachsenen scheinen gefährdet, da Untersuchungen einen Mangel an Einfühlungsvermögen gegenüber älteren Menschen nahelegen. Eine Reihe von Faktoren könnte für die Verringerung oder Abwesenheit von Empathie von jüngere Erwachsenen verantwortlich sein: Studie 1 betrachtete die Wirkung von Gesichtsfalten und Stereotypen auf die Dekodierung und Imitation von emotionalen Gesichtsausdrücken und fand heraus, dass Imitationsreaktionen für ältere Erwachsene auftraten, trotz des Einflusses von Falten und Stereotypen auf die Dekodierung. Studie 2 untersuchte den Einfluss des affiliativen Kontextes in Interaktionen zwischen jungen und alten Erwachsenen und nahm an, dass der Emotionsausdruck per se (freudig vs. ärgerlich) sowie die Beziehung zwischen Beobachter und Darsteller (Eigengruppe vs. Fremdgruppe) sich auf Gesichtsmimikry in lebensechten Interaktionen auswirken. Es konnte gezeigt werden, dass Mimikry für freudige Ausdrücke älterer Erwachsener während der beiden emotionalen Ereignisse (freudig vs. ärgerlich) stattfand. Allerdings war Mimikry im freudigen Ereignis stärker gegenüber jungen Erwachsenen im Vergleich zu älteren Erwachsenen ausgeprägt, wohingegen keine Unterschiede in Mimikry im ärgerlichen Ereignis auftraten. Studie 3 untersuchte empathischen Fähigkeiten von älteren im Vergleich zu jüngeren Erwachsenen und fand keine Unterschiede in der affektiven Empathie, obwohl die Dekodierung einiger Emotionen bei den älteren Teilnehmern reduziert war. Insgesamt zeigen die Ergebnisse, dass affektive empathische Reaktionen gegenüber älteren Menschen unabhängig von der reduzierten Akkuratheit der Emotionseinschätzung sowie vom affiliativen Kontext im Wesentlichen intakt sind und dass ältere Erwachsene die über gleichen affektiven Fähigkeiten verfügen. Somit liefert diese Arbeit einen positiveren Ausblick für intergenerationale Interaktionen als bisher gedacht. / Positive interactions between younger and older adults seem to be at risk as previous research suggests a lack of empathy to the elderly. A number of elements might be accountable for the reduction or absence of empathy by younger adults: Study 1 focused on the effect of wrinkles and stereotypes on decoding accuracy and facial mimicry of emotional facial expressions. It revealed that wrinkles and stereotypes have an impact on decoding accuracy, however facial mimicry reactions to the emotion expressions of older adults were present regardless of those decoding biases. Study 2 focused on the affiliative context of interactions between younger and older adults, and suggested that the type of emotion display (happy vs. angry) as well as the observer’s relationship to the expresser (in-group vs. out-group member) impacted on facial mimicry in real-life interactions. It revealed that mimicry of happy expressions of older adults was present during the two emotional events (happy and angry). However, mimicry of younger compared to older adults was stronger in the happy event, whereas no difference occurred in mimicry in the angry event. Study 3 investigated empathic capabilities of older compared to younger adults and found no differences in affective empathy, although decoding accuracy was reduced for some emotions in the older participant sample. Collectively, these results indicate that affective empathic responding via facial mimicry toward the elderly is essentially intact regardless of reduced decoding accuracy for older faces and affiliative context. They further indicate that older adults possess the same affective capabilities as younger adults. In sum, this work provides a more positive outlook for intergenerational interactions than previously suggested.

Empathische Reaktionen auf emotionale Gesichtsausdrücke werden vom Alter beeinflusst. In Bezug auf die kognitive Komponente der Empathie wurde eine Einschränkung bei der Erkennung emotionaler Gesichtsausdrücke sowohl für ältere Beobachter als auch für ältere Gesichter berichtet. Manche Studien berichten auch einen Effekt der Alterskongruenz, d.h. eine bessere Erkennung von Emotionen bei der eigenen Altersgruppe. Das erste Ziel der vorliegenden Dissertation war es, Mechanismen, die diesen Effekten zugrunde liegen könnten, zu untersuchen. Das zweite Ziel war es, zu untersuchen, ob auch die affektive Komponente der Empathie vom Alter beeinflusst wird. Studie 1 gibt einen Überblick über frühere Forschungsarbeiten. Studie 2 beschäftigte sich mit der Rolle von altersbezogenen Antwortverzerrungen, d.h. Altersunterschieden bei der Attribuierung bestimmter Emotionen. Effekte des Alters der Beobachter und der Gesichter auf die Erkennung von Trauer waren auf Antwortverzerrungen zurückzuführen. Allerdings trat eine bessere Erkennung von Trauer bei der eigenen Altersgruppe auf, die unabhängig von Antwortverzerrungen war. Studie 3 untersuchte neuronale Prozesse, die diesem Effekt der Alterskongruenz zugrunde liegen könnten. Bei traurigen Gesichtern wurde ein Effekt der Alterskongruenz für späte Verarbeitungsstadien gefunden, der möglicherweise eine höhere Relevanz trauriger Gesichter der eigenen Altersgruppe widerspiegelt. Studie 4 untersuchte, ob auch affektive Reaktionen, gemessen mit Gesichtsmimikry, vom Alter beeinflusst werden. Ältere Beobachter zeigten eine Beeinträchtigung in der Emotionserkennung, nicht jedoch in den affektiven Reaktionen. Insgesamt weisen diese Ergebnisse auf altersbezogene Defizite bei kognitiven und neuronalen Reaktionen hin; allerdings gab es kaum Alterseffekte auf affektive Reaktionen. Also lassen die Ergebnisse insgesamt trotz Schwierigkeiten bei der Emotionserkennung Optimismus bezüglich der intergenerationalen Empathie zu. / Empathic reactions to emotional facial expressions differ according to age. Concerning the cognitive component of empathy, decoding of emotional facial expressions was reported to be impaired both for older observers and older faces. Some studies also reported an own-age advantage, i.e., higher decoding accuracy for the own compared with other age groups. The first aim of the present dissertation was to explore possible mechanisms underlying these age effects. The second aim was to explore whether the affective component of empathy is affected by age as well. Study 1 summarizes previous research. Study 2 explored the role of age-related response bias, that is, age differences in the attribution of specific emotions. It showed that effects of the observers'' and the faces'' ages on decoding sadness were due to age-related response bias. However, an own-age advantage on decoding sadness occurred, which was independent of response bias. Study 3 explored the neurofunctional processes underlying this own-age advantage. It revealed an own-age effect on late processing stages for sadness, which may be due to an enhanced relevance of sad own-age faces. Study 4 explored whether affective responding in terms of facial mimicry is affected by age as well. It revealed an age-related decline in decoding accuracy, but not in affective responding. Taken together, these results suggest age-related deficits in cognitive and neural responses to emotional facial expressions. However, age had little influence on affective responding. Thus, despite difficulties in emotion decoding, these results allow for some optimism regarding intergenerational empathy.

La maladie de Parkinson est une affection neurodégénérative principalement associée à la dégénérescence progressive des neurones dopaminergiques du mésencéphale provoquant un dysfonctionnement des noyaux gris centraux. En parallèle de symptômes moteurs bien connus, cette affection entraîne également l’émergence de déficits émotionnels impactant en outre l’expression et la reconnaissance des émotions. Ici, se pose la question d’un déficit de reconnaissance des émotions faciales chez les patients parkinsoniens lié au moins en partie aux troubles moteurs. En effet, selon les théories de simulation des émotions, copier les émotions de l’autre nous permettrait de mieux les reconnaître. Ce serait le rôle du mimétisme facial. Automatique et inconscient, ce phénomène est caractérisé par des réactions musculaires congruentes à l’émotion exprimée par autrui. Dans ce contexte, une perturbation des capacités motrices pourrait conduire à une altération des capacités de reconnaissance des émotions. Or, l’un des symptômes moteurs les plus fréquents dans la maladie de Parkinson, l’amimie faciale, consiste en une perte de la mobilité des muscles du visage. Ainsi, nous avons examiné l’efficience du mimétisme facial dans la maladie de Parkinson, son influence sur la qualité du processus de reconnaissance des émotions, ainsi que l’effet du traitement dopaminergique antiparkinsonien sur ces processus. Pour cela, nous avons développé un paradigme permettant l’évaluation simultanée des capacités de reconnaissance et de mimétisme (corrugator supercilii, zygomaticus major et orbicularis oculi) d’émotions exprimées sur des visages dynamiques (joie, colère, neutre). Cette expérience a été proposée à un groupe de patients parkinsoniens comparé à un groupe de sujets sains témoins. Nos résultats supportent l’hypothèse selon laquelle le déficit de reconnaissance des émotions chez le patient parkinsonien pourrait résulter d’un système « bruité » au sein duquel le mimétisme facial participerait. Cependant, l’altération du mimétisme facial dans la maladie de Parkinson et son influence sur la reconnaissance des émotions dépendraient des muscles impliqués dans l’expression à reconnaître. En effet, ce serait davantage le relâchement du corrugateur plutôt que les contractions du zygomatique ou de l’orbiculaire de l’œil qui nous aiderait à bien reconnaître les expressions de joie. D’un autre côté, rien ne nous permet ici de confirmer l’influence du mimétisme facial sur la reconnaissance des expressions de colère. Enfin, nous avons proposé cette expérience à des patients en condition de traitement habituel et après une interruption temporaire de traitement. Les résultats préliminaires de cette étude apportent des éléments en faveur d’un effet bénéfique du traitement dopaminergique tant sur la reconnaissance des émotions que sur les capacités de mimétisme. L’hypothèse d’un effet bénéfique dit « périphérique » sur la reconnaissance des émotions par restauration du mimétisme facial reste à tester à ce jour. Nous discutons l’ensemble de ces résultats selon les conceptions récentes sur le rôle des noyaux gris centraux et sous l’angle de l’hypothèse de feedback facial. / Parkinson’s disease is a neurodegenerative condition primarily resulting from a dysfunction of the basal ganglia following a progressive loss of midbrain dopamine neurons. Alongside the well-known motor symptoms, PD patients also suffer from emotional disorders including difficulties to recognize and to produce facial emotions. Here, there is a question whether the emotion recognition impairments in Parkinson’s disease could be in part related to motor symptoms. Indeed, according to embodied simulation theory, understanding other people’s emotions would be fostered by facial mimicry. Automatic and non-conscious, facial mimicry is characterized by congruent valence-related facial responses to the emotion expressed by others. In this context, disturbed motor processing could lead to impairments in emotion recognition. Yet, one of the most distinctive clinical features in Parkinson’s disease is facial amimia, a reduction in facial expressiveness. Thus, we studied the ability to mimic facial expression in Parkinson’s disease, its effective influence on emotion recognition as well as the effect of dopamine replacement therapy both on emotion recognition and facial mimicry. For these purposes, we investigated electromyographic responses (corrugator supercilii, zygomaticus major and orbicularis oculi) to facial emotion among patients suffering from Parkinson’s disease and healthy participants in a facial emotion recognition paradigm (joy, anger, neutral). Our results showed that the facial emotion processing in Parkinson’s disease could be swung from a normal to a pathological, noisy, functioning because of a weaker signal-to-noise ratio. Besides, facial mimicry could have a beneficial effect on the recognition of emotion. Nevertheless, the negative impact of Parkinson’s disease on facial mimicry and its influence on emotion recognition would depend on the muscles involved in the production of the emotional expression to decode. Indeed, the corrugator relaxation would be a stronger predictor of the recognition of joy expressions than the zygomatic or orbicularis contractions. On the other hand, we cannot conclude here that the corrugator reactions foster the recognition of anger. Furthermore, we proposed this experiment to a group of patients under dopamine replacement therapy but also during a temporary withdrawal from treatment. The preliminary results are in favour of a beneficial effect of dopaminergic medication on both emotion recognition and facial mimicry. The potential positive “peripheral” impact of dopamine replacement therapy on emotion recognition through restoration of facial mimicry has still to be tested. We discussed these findings in the light of recent considerations about the role of basal ganglia-based circuits and embodied simulation theory ending with the results’ clinical significances.

Diese kumulative Dissertation umfasst zwei Veröffentlichungen zu drei Bereichen der Emotionskommunikation. Ziel war es, zu untersuchen, ob OP-Masken die Emotionswahrnehmung, die Affiliation und die emotionale Mimikry (d.h. die automatische, aber zielabhängige Imitation des emotionalen Ausdrucks von Interaktionspartner:innen) reduzieren. In zwei Online-Experimenten (Studie 1: N=200, britische Stichprobe; Studie 2: N=235, deutsche Stichprobe) wurden subjektive Bewertungen und die emotionale Mimikry als Reaktion auf maskierte und unmaskierte Gesichter untersucht. Die wahrgenommene Emotionsintensität und die Genauigkeit der Emotionserkennung dienten als Indikatoren für die Emotionswahrnehmung. Die wahrgenommene zwischenmenschliche Nähe diente als Indikator für die Affiliation. Die emotionale Mimikry wurde mit Hilfe einer Gesichtsaktivitätserkennungstechnologie gemessen. In der ersten Studie sahen erwachsene Proband:innen erwachsene Zielpersonen, die Freude und Trauer ausdrückten, eingebettet in Innen- und Außenszenen. In der zweiten Studie sahen erwachsene Proband:innen Erwachsene und Kinder, die Freude, Trauer oder Ärger ausdrückten. Die Freudemimikry wurde durch Masken reduziert, insbesondere wenn die Zielpersonen Kinder waren. Im Gegensatz dazu war die Trauermimikry bei Kindergesichtern stärker und wurde, wie auch die Ärgermimikry, durch Masken nicht beeinträchtigt. Wir konnten auch zeigen, dass durch Gesichtsmasken verringerte Freudewahrnehmung und Nähe mit einer verringerten Freudemimikry verbunden waren. Die Studien zeigen somit, wie erwartet wurde, eine maskenbedingte Verringerung der Emotionswahrnehmung, der Affiliation, und der emotionalen Mimikry. Insgesamt trägt die vorliegende Arbeit zu unserem Verständnis der sozio-affektiven Auswirkungen der partiellen Gesichtsverdeckung bei und stützt die Theorie der emotionalen Mimikry im sozialen Kontext von Hess und Fischer, nach der Emotionswahrnehmung und Affiliation die emotionale Mimikry beeinflussen. / This cumulative doctoral dissertation encompasses two publications on three domains of emotion communication. The goal of the dissertation was to assess if surgical face masks reduce emotion perception, affiliation, and emotional mimicry (i.e., automatic but goal-dependent imitation of an interaction partner's emotional display). We conducted two online experiments (Study 1: N=200, U.K. sample; Study 2: N=235, German sample) that assessed subjective ratings and emotional mimicry in response to masked and unmasked faces. Perceived emotion intensity and emotion recognition accuracy served as indicators of emotion perception. Perceived interpersonal closeness (via the Inclusion of Other in the Self Scale) served as an indicator of affiliation. Emotional mimicry was measured using facial activity recognition technology. We also took into account socio-spatial context effects. In the first study, adult perceivers saw adult targets who expressed happiness and sadness embedded into indoor and outdoor scenes. In the second study, adult perceivers saw adult and child targets who expressed happiness, sadness, and anger. We found that happiness mimicry was reduced by masks, particularly when expressers were children. In contrast, sadness mimicry was stronger for children and, like anger mimicry, unaffected by masks. We also found that reduced emotion perception and closeness due to masks were associated with reduced happiness mimicry. The studies support evidence from before and during the COVID-19 pandemic for mask-related reductions of emotion perception and affiliation. Moreover, the studies provide unprecedented evidence on reductions of emotional mimicry in response to masked faces and child targets. Overall, the present work contributes to our understanding of the socio-affective effects of partial face occlusion and supports emotional mimicry in social context theory by Hess and Fischer, according to which emotion perception and affiliation influence emotional mimicry.