In the last decades the False Belief Task (FBT) has occupied a central position in the investigation of social understanding. It has become a litmus test in research into children’s Theory-of-Mind (ToM) ability, i.e. the ability to attribute beliefs to others and predict their actions accordingly.Footnote 1 The explicit FBT, which requires responding to a direct question with a verbal response to the task, has traditionally been considered as a reliable indicator that children acquire an understanding of false belief at around 4 years of age: in the original ‘unexpected location’ version of the task used by Wimmer and Perner (1983) children see a doll, Maxi, place her chocolate into a blue cupboard. Maxi then leaves and while she is gone her mother moves the chocolate from the blue cupboard to a green box. Maxi returns and the child is asked “Where will Maxi look for the chocolate?” Children typically only pass this task at the age of 4 (Baron-Cohen et al. 1985; Wimmer and Perner 1983). To give the correct answer, namely that Maxi will search in the blue cupboard, presupposes that the child can distinguish her own knowledge (i.e. that the chocolate is in the green box) from Maxi’s false belief. This change in children’s performance at age 4 was replicated across a variety of paradigms including the ‘unexpected identity’ test (Moses and Flavell 1990; Perner et al. 1987; Wellman 1990) or the ‘unexpected contents’ (Gopnik and Astington 1988) test. Thus, many researchers concluded that false belief understanding does not emerge until 4 years of age (Flavell 2004; Sodian 2005; see Wellman 2002 and Wellman et al. 2001 for a review). This picture was challenged when the implicit FBT task, requiring only non-linguistic responses, entered the scene.Footnote 2 The implicit FBT, first carried out by Clements and Perner (1994), became established with the influential study from Onishi and Baillargeon (2005) which provided evidence that 15 month old infants already had some sensitivity for other people’s (false) beliefs. Since then three main types of implicit FBT have been employed (which we illustrate using the example of the Maxi unexpected location FBT): 1. violation of expectation FBT (where does Maxi look longer?), 2. anticipatory looking FBT (where does Maxi look first?), 3. helping behaviour FBT (how does the child help Maxi, does it account for his false belief?).
Concerns have recently been raised about the replicability of implicit FBTs (Dörrenberg et al. 2018; Kammermeier and Paulus 2018; Kulke and Rakoczy 2018; Kulke et al. 2017, 2018). Nonetheless, there are also responses to these challenges (Baillargeon et al. 2018; Roby and Scott 2018; Rubio-Fernández 2018). In addition, there is also evidence of implicit false belief understanding in animals using the anticipatory looking (Kano et al. 2017) as well as the helping behaviour paradigm (Buttelmann et al. 2017). This indicates that despite the difficulty in replicating some of the exact results with infants it seems that we do not entirely lose the phenomenon as we also find it in non-verbal animals. More research to clarify this issue is needed, but for the purposes of this paper we will take for granted that while some versions of the FBT might be considered ‘fragile paradigms’ (Rubio-Fernández 2018) the key phenomena can nonetheless be assumed. Given that we take seriously the evidence that children pass different versions of the implicit FBT much earlier than 4 years of age (overview see De Bruin and Newen 2014, 301), we are faced with what might be considered the developmental ‘paradox’ of false belief understanding (De Bruin and Newen 2012): if infants pass the implicit FBT with nonverbal behavioural responses like looking or helping behaviour why do they nonetheless typically fail to give the correct verbal response in the explicit FBT till they are 4 years old?
The challenge, therefore, is how a proposed theory can describe the complex developmental changes from the ability to pass different versions of implicit FBT (starting with early violation of expectation FBT at 15 months, Onishi and Baillargeon 2005) to the ability to pass the explicit FBT (4 years, Wellman et al. 2001). In this paper we will begin by providing an overview of the previously proposed solutions and emphasise the need for an account which considers both the role of internal cognitive development as well as situational influences and their interaction. We then highlight the demand to integrate the helping behaviour FBT (Buttelmann et al. 2009, 2015; 18 months) as a distinct stage in an account of these developmental changes. Having outlined these desiderata we make use of mental files as a useful tool for thinking about cognitive development (Perner et al. 2015) and suggest the Situational Mental File (SMF) account as a new and adequate answer to these challenges. In doing so we leave aside the closely related questions of when concept of belief emerges and whether it is the same concept of belief which underlies implicit and explicit false belief understanding (Apperly and Butterfill 2009; Rakoczy 2012). We will only touch upon these issues in the conclusion of the paper.
Cognitive and Situational Accounts of False Belief Understanding
How can we solve the paradox? In the literature we find two prominent opposing views. On the one hand, ‘nativists’ argue for an early ToM-ability based on an inborn module (or module-like structure) which allows infants to pass the implicit FBT (e.g. Baron-Cohen 1995; Baillargeon et al. 2010Footnote 3; Carruthers 2013, 2016; Helming et al. 2016; Leslie et al. 2004; Westra 2016). Broadly, this is the view that infants have an early understanding of other people’s beliefs which allows them to pass the implicit FBT. The challenge for these views, therefore, lies in explaining why children nonetheless fail the explicit FBT. On the other hand, ‘empiricists’ argue that ToM-ability is not based on an inborn module but is based on later developing abilities and it is this development which is responsible for the shift in performance on the explicit FBT at four years old (Apperly and Butterfill 2009Footnote 4; De Bruin and Newen 2012; Gopnik 1993; Gopnik and Wellman 1992, 2012; Heyes 2014, 2018; Perner 1991; Perner and Ruffman 2005; Perner et al. 2015; Perner and Leahy 2016; Wellman 2014). The challenge for these views then lies in explaining why much younger infants are nonetheless able to pass the implicit FBT.
There is a further important distinction, however, which cuts across the debate between ‘nativists’ and ‘empiricists’, namely between situational and cognitive factors. That is to say between those who explain the development from success in the implicit FBT to success in the explicit FBT primarily by an intense development in the cognitive organisation (cognitive accounts) and those who argue that this difference in performance is primarily a product of situational factors pertaining to the various tasks (e.g. whether the child’s focus on the other person is maintained or interrupted (Rubio-Fernández and Geurts 2013) or how many seekers there are (Lewis et al. 2012) -situational accounts). These situational accounts presuppose minimal cognitive conditions of adequate working memory and/or linguistic understanding as a background condition. This makes clear that the dialectic here is different to that in the debate between nativists and empiricists in that cognitive and situational accounts are not mutually exclusive. Rather they differ in their focus, focusing more on situational or internal cognitive factors respectively. There are both empiricist and nativist variants of cognitive and situational accounts. For an overview of these distinctions in the literature, see Table 1.
Table 1 Systematic overview of theoretical accounts of the development of false belief understanding The traditional view amongst the nativists is that infants have an innate ToM module which enables early belief understanding, and the reason why children do not pass the explicit FBT till the age of 4 lies in the executive function and working memory demands the task places on the child (Baron-Cohen 1995; Baillargeon et al. 2010; Carruthers 2013, 2016; Leslie 1987; Leslie et al. 2004). That is to say they argue that it is a development in general cognitive skills which underlies the developmental shift in performance at 4 years of age. Recently, however, there has been a move towards integrating the role of situational factors within a nativist framework in the form of ‘pragmatic accounts’. These accounts form a subset of situational accounts which restrict the influence of situational factor to the understanding of the explicit question. In more detail, this is the view that although children have an early false belief understanding, there are additional external contextual factors in the specific setup of the explicit FBT which lead children to systematically misinterpret the explicit question posed and thereby prevents early success in the explicit FBT.
We find a similar distinction within the empiricist camp. As we saw above, the defining feature of the empiricists is the view that there is a development in children’s understanding of beliefs, usually in terms of a developing concept of belief (Apperly and Butterfill 2009; Perner and Ruffman 2005; Gopnik and Wellman 1992). Most accounts are purely cached in terms of an internal cognitive development or reorganization which leads to a full-blown representation of beliefs (e.g. Perner 1991; Perner et al. 2015; Perner and Leahy 2016; Apperly and Butterfill 2009; Perner and Ruffman 2005; De Bruin and Newen 2012). There are, however, also accounts such as Heyes’ (2014, 2018) which consider the role of situational factors in development. Similarly, Gopnik is committed to the idea that children’s ToM develops in the form of theory revision as a consequence of the evidence encountered. Therefore, it can be argued that there is also consideration of situational components in Gopnik’s account (Gopnik 1993, see also Gopnik and Wellman 1992) given the role of experience on cognitive development in the form of theory revision.
For the purposes of this paper, we want to remain neutral concerning the nativist/empiricist debate.Footnote 5 Although we will be making use of the mental files framework from Perner et al. (2015) and Perner and Leahy (2016) who do not advocate a nativist position, it is not clear whether the development of the ability to link mental files has to be a domain specific development in terms of a specifically developing understanding of belief, or whether this is also something which can be cashed out in terms of the development of domain general processes (e.g. working memory, executive function, or even a ‘decoupling mechanism’ as advocated by Leslie 1987). Instead, we want to focus on the distinction between cognitive and situational factors which, as we have argued, runs orthogonal to the nativist/empiricist divide. Concerning this debate will argue that both factors – cognitive and situational - play a crucial role, i.e. we need to account for a change in the internal cognitive organisation as well as of the triggering and supporting role of specific situational features and their interaction to adequately describe the development of the false-belief understanding. Only accounting cognitive and situational aspects might appear trivial. If pressed most accounts detailed above would accept a claim like this. Some even do so explicitly (e.g. Helming et al. 2016; Westra 2016). These accounts, however, still have a focus on one factor and fail to adequately integrate the dominant factor with the other factor. The critical element of our account, therefore, is that we not only argue that both cognitive and situational factors play a role in development, but that we illustrate which aspects are relevant and clarify how they interrelate. It is this which has not been done in the literature. In this regard, our account may be thought to be similar to that of Gopnik, who also considers a combination of cognitive and situational factors. As we will make clear in the next section, however, we will be making use of the mental files framework in order to put forward a more detailed alternative to Gopnik’s account of theory revision, which is also not subject to the strong Theory Theory commitments.
The Relevance of Situational Factors; Limits and the New Direction
There has been increased interest in the role of situational factors on development over the past years, in particular in the form of ‘pragmatic accounts’ (Helming et al. 2016; Westra 2016; Westra and Carruthers 2017). This is partly due to the open challenge to provide an explanation of the paradox of false belief that does justice to the competence displayed by children across a variety of implicit FBTs. Westra (2016), for example, has recently put forward the idea that children’s failure in the explicit FBT is due to misunderstanding the question they are being asked (see also Westra and Carruthers 2017): As belief talk is infrequent, children systematically misinterpret the question as being about where the chocolate actually is as opposed to the other’s belief. Providing support for these types of accounts, there has been increasing evidence that situational factors such as the way in which the question is posed to children in the explicit FBT have an influence on children’s performance (Hansen 2010; Rubio-Fernández and Geurts 2013. We will be considering this evidence in more detail below, see section 4.1). The idea that children may fail the FBT because they are systematically confused by the question they are being asked is not a new one (see for example Siegal and Beattie 1991). But, while we agree that situational factors do play a role in the change in children’s ToM performance, we do not think that this can give a full account of their development. Firstly, there are by now many variations of the explicit FBT in which the questions posed range widely from questions concerning behaviour (e.g. “where will Maxi look for her chocolate”) to questions explicitly about the other person’s beliefs (e.g. “where does Maxi believe the chocolate is?”). This, however, has only a limited effect on children’s performance (Psouni et al. 2018; Wellman et al. 2001). Secondly, in those studies where changing the question posed did have an effect (Hansen 2010; Rubio-Fernández and Geurts 2013), this effect was primarily achieved in 3 years olds, that is to say in children who were on the cusp of being able to pass the explicit FBT already. This seems to indicate that while situational factors such as the type of question being posed can have an effect, this is limited to children who are quite close to passing the explicit FBT already. In other words, performance can be somewhat improved due to situational factors, but this cannot provide a full explanation of the paradox of the FBT. Lastly, 3 year old children who still fail normal versions of the FBT are already pretty well linguistically developed and use belief terms in conversation (Bartsch and Wellman 1995). This makes it implausible to argue that children fail the explicit FBT primarily because they systematically misinterpret the question they are being asked. While this plays a role, further cognitive factors are needed to provide a full account of the development.
The role of situational factors can extend beyond influencing the child’s understanding of the question posed. For example, Helming et al. (2016) argue that young children struggle in dealing with different perspectives. While they are able to compute the other person’s belief, when the experimenter asks the test question the child is forced to adopt the perspective of the experimenter in order to understand the question and answers this based on the shared knowledge with the experimenter as opposed to the false belief of the other agent. The explicit FBT therefore poses an extra perspective problem in virtue of the set-up which, jointly with the cooperation bias, explains children’s systematic errors. On this account, however, we need some story of how children are able to overcome this problem, and this seems to require some reference to cognitive development which allows children to overcome the perspective problem they face. Therefore, this account too depends on both situational and cognitive factors. While Helming et al. (2016) explicitly do allow for the role of a cognitive factor in terms of a processing load account, they do not provide a detailed account of how the situational factors and cognitive development interrelate.
In light of this, while we think that situational factors play an important role in explaining the paradox of the FBT, they do not provide a full explanation of the paradox. Instead the role of situational factors has to be seen in conjunction with a systematic cognitive development. We agree that, given a certain level of cognitive development, situational factors can improve performance. Nonetheless, in order to fully explain the paradox of the FBT, we require a specific internal cognitive reorganisation which we will describe using mental files. Thus, we are arguing for an account in terms of both situational and cognitive factors and their interaction. This, as a first step, might not be so controversial. As noted above, Helming et al. (2016) acknowledge that there is likely to be some cognitive development in children’s executive function which allows children to overcome the additional situational demands of the explicit FBT. Similarly, our claim is not that the accounts which we have described as ‘pure’ cognitivist are incompatible with the pragmatist picture. Rather, what we want to stress is that these accounts, while compatible with each other have usually focused only on one component to explain the development of false belief understanding (with the exception of Gopnik and Wellman) and this seems to be a systematic deficit. We argue that cognitive and situational factors interrelate in development and therefore need to be considered in conjunction in order to provide an account of development. This is similar to an idea found in Gopnik and Wellman’s (1992, 2012) work. They account for the role of situational factors in development by considering the role of the child’s systematic learning experiences in shaping theory development. We, however, do not want to take on such a strong commitment to theory formation in young children. Therefore our aim in this paper is to work out a mental file account as a less demanding and cognitively more convincing alternative to the strong Theory-Theory proposal defended by Gopnik. Thus, we aim to demonstrate that making use of the mental files framework provides us with a more detailed and adequate way of spelling out the development of the performances. Furthermore, we want to be much more specific in our account of how cognitive and situational factors interact in development. We will outline how the cognitive organisation develops using the framework of mental files and how this cognitive organisation is triggered by situational features for both its development and its application. These comprise the core aspects of the new SMF account.
To unfold the new account we proceed in two steps: (i) we argue that we need a three-stage account to adequately describe ToM development (section 2) and (ii) we introduce the mental file account (section 3) and use it to describe this three stage development (section 4 and 5).
Given these lines of debate, our contribution can be summarized as follows: firstly, we aim to show that the rich data of the FBTs can only be explained: 1. by accepting a crucial role of both internal cognitive reorganisation of tools to deal with the FBT (cognitive factors) and situational contextual features (situational factors) triggering this development. 2. by explaining the cognitive development in terms of a three-stage theory. Secondly, we argue that these requirements can be met by describing the changes of the cognitive structure and organisation in terms of mental files and taking into account the role of situational factors in triggering the activation of mental files. The result we are aiming for is a new SMF framework which is supposed to provide a new explanation of the paradox of the FBT which accounts for the main empirical findings from developmental studies.