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Inquiry Article

The Phylogeny of Little Carmine Riding Hood

The Phylogeny of Fiddling Cherry-red Riding Hood

• Jamshid J. Tehrani

ten

• Published: November 13, 2013
• https://doi.org/x.1371/journal.pone.0078871

Figures

Abstract

Researchers have long been fascinated by the potent continuities evident in the oral traditions associated with different cultures. According to the 'celebrated-geographic' school, information technology is possible to allocate similar tales into "international types" and trace them back to their original archetypes. However, critics argue that folktale traditions are fundamentally fluid, and that most international types are artificial constructs. Here, these bug are addressed using phylogenetic methods that were originally developed to reconstruct evolutionary relationships among biological species, and which have been recently applied to a range of cultural phenomena. The study focuses on one of the most debated international types in the literature: ATU 333, 'Fiddling Ruby-red Riding Hood'. A number of variants of ATU 333 have been recorded in European oral traditions, and it has been suggested that the group may include tales from other regions, including Africa and Eastern asia. Even so, in many of these cases, information technology is difficult to differentiate ATU 333 from another widespread international folktale, ATU 123, 'The Wolf and the Kids'. To shed more lite on these relationships, data on 58 folktales were analysed using cladistic, Bayesian and phylogenetic network-based methods. The results demonstrate that, contrary to the claims fabricated by critics of the historic-geographic approach, it is possible to identify ATU 333 and ATU 123 as distinct international types. They farther suggest that most of the African tales can be classified every bit variants of ATU 123, while the East Asian tales probably evolved by blending together elements of both ATU 333 and ATU 123. These findings demonstrate that phylogenetic methods provide a powerful set of tools for testing hypotheses about cross-cultural relationships amidst folktales, and signal towards exciting new directions for research into the transmission and evolution of oral narratives.

Citation: Tehrani JJ (2013) The Phylogeny of Petty Red Riding Hood. PLoS ONE eight(11): e78871. https://doi.org/ten.1371/periodical.pone.0078871

Editor: R. Alexander Bentley, Bristol University, Great britain

Received: July xxx, 2013; Accepted: September 20, 2013; Published: Nov 13, 2013

Copyright: © 2013 Jamshid J. Tehrani. This is an open up-access article distributed nether the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.

Funding: The author was supported by an RCUK Fellowship during a role of the fourth dimension in which the research was carried out. The funders had no function in study design, data drove and assay, decision to publish, or training of the manuscript

Competing interests: The author has alleged that no competing interests exist.

Introduction

The publication of Jacob and Wilhelm Grimm'southward Children's and Household Tales (1812–1814) [1] two hundred years ago sparked enormous public and academic interest in traditional stories told amid "the common people", and helped establish folklore as a field for serious academic research. Inspired past the Grimms' methods, a new generation of researchers ventured exterior the library and into the villages and households of the rural peasantry to collect colourful tales of magical beasts, wicked stepmothers, enchanted objects, and indefatigable heroes [ii]. One of the most unexpected and exciting discoveries to emerge from these studies was the recurrence of many of the same plots in the oral traditions associated with dissimilar – and oft widely separated – societies and ethnic groups. Thus, the Brothers Grimm noted that many of the ostensibly "German language" folktales which they compiled are recognisably related to stories recorded in Slavonic, Indian, Persian and Arabic oral traditions [iii]. These similarities have attracted the attention of folklorists, literary scholars, anthropologists, cognitive scientists and others for a variety of reasons: For instance, cognate tales in other cultures take been studied to try and reconstruct the origins and forms of classic western fairy tales earlier they were first written downward [2] [4]. Other researchers have examined the distributions of common plot elements within and across regions to make inferences about past migration, cross-cultural contact, and the impact of geographical distance and language barriers on cultural diffusion [5] [6]. Last, it has been suggested that patterns of stability and modify in stories tin replenish rich insights into universal and variable aspects of the homo experience, and reveal how psychological, social and ecological processes interact with one another to shape cultural continuity and variety [seven] [8] [9].

Unfortunately, since folktales are mainly transmitted via oral rather than written means, reconstructing their history and evolution across cultures has proven to exist a complex claiming. To date, the most ambitious and sustained effort in this area has been carried out by folklorists associated with the so-called "historic-geographic" school, which was established toward the end of the nineteenth century [10]. These researchers have sought to allocate similar folktales from different oral literatures into distinct "international types" based on consistencies in their themes, plots and characters. The most comprehensive and upwardly-to-appointment reference work in this field, the Aarne-Uther-Thompson (ATU) index, identifies more two grand international types distributed beyond three hundred cultures worldwide [eleven]. Exponents of the historic-geographic school believed that each international type could exist traced back to an original "classic" tale that was inherited from a common ancestral population, or spread across societies through trade, migration and conquest. Over time, the tales' original forms were and then adapted to suit different cultural norms and preferences, giving rise to locally distinct "ecotypes" [5]. The celebrated-geographic method sought to reconstruct this procedure past assembling all the known variants of the international blazon and sorting them by region and chronology. Rare or highly localised forms were considered to be of likely recent origin, whereas widespread forms were believed to be probably ancient, especially when they were consistent with the earliest recorded versions of the tale [2] [iv].

The historic-geographic method has been criticised for a number of reasons [iv]. First, it has been suggested that the criteria on which international types are based are arbitrary and ethnocentric. Most types are defined by the presence of just i or two plot features ("motifs"), and gloss over dissimilarities among tales within the aforementioned group too as their resemblances to tales belonging to other groups [12]. Since the majority of international types were originally defined in relation to the western corpus, tales from other regions are often difficult to classify according to the ATU index considering they lack one or more of the fundamental diagnostic motifs, or autumn between supposedly distinct international types [12] [thirteen]. A second, related problem with the celebrated-geographic method is sampling bias. Given that European folklore traditions accept been studied far more intensively than any others, reconstructions based on the frequency and chronologies of variants are likely to be heavily skewed. Last of all, some researchers have suggested orally transmitted tales are too fluid and unstable to be classified into distinct groups based on common descent, and that the classification of international types is often superficial [13] [14]. According to this view, the aims of the historic-geographic schoolhouse are at best unrealistic, if not entirely misconceived.

This written report proposes a novel arroyo to studying cantankerous-cultural relationships amongst folktales that employs powerful, quantitative methods of phylogenetic analysis. Phylogenetics was originally developed to investigate the evolutionary relationships among biological species, and has go increasingly popular in studies of cultural phenomena (dubbed "phylomemetics" [xv]), including languages [xvi] [17] [18] [19] [20] [twenty], manuscript traditions [21] [22] [23] and textile culture assemblages [24] [25] [26] [27] [28] [29] [30] [25] [31]. In each case, the aim of a phylogenetic assay is to construct a tree or graph that represents relationships of mutual ancestry inferred from shared inherited traits (homologies). Folktales represent an excellent target for phylogenetic analysis considering they are, almost past definition, products of descent with modification: Rather than being composed by a unmarried writer, a folktale typically evolves gradually over time, with new parts of the story added and others lost equally information technology gets passed down from generation to generation. Contempo case studies of the urban legend 'Bloody Mary' [32], the 'Pygmalion' family of myths in Africa [33], and western European variants of the folktale 'The Kind and the Unkind Girls' [half-dozen] take demonstrated the utility of phylogenetic techniques for reconstructing relationships among variants inside a given tale type. The present study aims to establish whether these methods tin also exist used to differentiate the tale types themselves, and test the empirical validity of the international type arrangement.

In addressing this question, phylogenetics has several advantages over traditional historic-geographic methods. First, rather than basing the classification of related tales on just a few privileged motifs, phylogenetic analysis can take into business relationship all the features that a researcher believes might be relevant. 2d, phylogenetic reconstruction does non assume a-priori that the most common grade of a trait, or the form exhibited by the oldest recorded variant, is necessarily ancestral. It is therefore likely to be less vulnerable to the potent European bias in the folktale record than traditional celebrated-geographic methods. Third, phylogenetics provides useful tools for quantifying the relative roles of descent versus other processes, such as convergence and contamination, in generating similarities among taxa. These include statistical techniques for measuring how well patterns in a dataset fit a tree-like model of descent [34], and network-based phylogenetic methods that have been designed to capture alien relationships [35], [36]. Such methods make it possible to evaluate the coherence and degree of overlap between international types indicated past the analyses.

The study focuses on 1 of the well-nigh famous and controversial international types in the folktale literature, ATU 333 – 'Piffling Carmine Riding Hood' [37] [38]. Most versions of the story in modern pop culture are derived from the classic literary tale published past Charles Perrault in seventeenth century French republic [39], which recounts the misadventures of a young daughter who visits her grandmother'due south house, where she is eaten by a wolf disguised as the quondam woman. It is widely believed that Perrault based his text on an old folktale known simply equally 'The Story of Grandmother', versions of which have survived in the oral traditions of rural French republic, Republic of austria and northern Italian republic [38]. In many of these tales, the girl lacks her characteristic carmine hood and nickname, and manages to outwit the wolf before he can swallow her: After finally seeing through the villain'southward disguise, the girl asks to get outside to the toilet. The wolf reluctantly agrees, but ties a rope to her ankle to forbid her from escaping. When she gets out, the girl cuts the rope, ties the end to a tree, and flees into the forest before the villain realises his mistake. Another variant of the plot has the young girl – unremarkably named Catterinella – taking a handbasket of cakes to her aunt/uncle, who turns out to be a witch or werewolf. On the way at that place, she eats the cakes and replaces them with donkey dung. When the aunt/uncle discovers her deception, (s) he comes to her firm at night and devours her in bed. Although these tales were recorded long later on Perrault published his version, a rediscovered xi^th century poem written in Latin by a priest in Liège provides intriguing show that a story similar to Piddling Scarlet Riding Hood was circulating in parts of western Europe in medieval times [twoscore]. The poem, which purports to exist based on a local folktale, tells of a girl who wanders into the forest wearing a ruddy baptism tunic given to her past her godfather. She encounters a wolf, who takes her back to its lair, merely the girl manages to escape by taming the wolf'south cubs.

Highly similar stories to Trivial Red Riding Hood have been recorded in various non-western oral literatures. These include a folktale that is popular in Japan, Red china, Korea and other parts of East asia known every bit 'The Tiger Grandmother' [41] [42], in which a group of siblings spend the night in bed with a tiger or monster who poses equally their grandmother. When the children hear the audio of their youngest sibling being eaten, they trick the villain into letting them outside to go to the toilet, where, similar the heroine of The Story of Grandmother, they manage to escape. Another tale, found in central and southern Africa [43] [44], tells of a girl who is attacked by an ogre later he imitates the vox of her brother. In some cases, the victim is cut out of the ogre's abdomen alive – an ending that echoes some variants of Little Reddish Riding Hood recorded in Europe, including a famous text published by the Brothers Grimm in nineteenth century Germany [1].

Despite these similarities, it is not clear whether these tales can in fact exist classified equally ATU 333. Some writers [44] [45] [46] advise they may belong to some other international tale blazon, ATU 123, The Wolf and the Kids, which is popular throughout Europe and the Middle East. In this tale, a nanny caprine animal warns her kids non to open the door while she is out in the fields, but is overheard by a wolf. When she leaves, the wolf impersonates her and tricks the kids into letting him in, whereupon he devours them. Versions of the tale occur in collections of Aesop's fables, in which the goat kid avoids being eaten by heeding the mother'due south teaching not to open the door, or seeks further proof of the wolf'south identity before turning him away. In an Indian cognate of The Wolf and the Kids, known every bit 'The Sparrow and the Crow', the villain tricks the mother into letting her into the firm, and eats her hatchlings during the dark. Although ATU 123 is believed to exist closely related to ATU 333, it is classified as a separate international tale type on the basis of 2 distinguishing features. First, ATU 333 features a single victim who is a human girl, whereas ATU 123 features multiple victims (a group of siblings) who are animals. 2nd, in ATU 333 the victim is attacked in her grandmother's firm, while in ATU 123 the victims are attacked in their ain home. However, the awarding of these criteria to non-western oral traditions is highly problematic: Thus, in most of the African tales the victim is a human girl (group them with ATU 333), merely she is attacked in her own home rather than a relative'south (grouping them with ATU 123). The Due east Asian tales likewise feature homo protagonists (ATU 333), merely they are usually a group of siblings rather than a unmarried child (ATU 123). In most variants of the tale, they are attacked afterwards being left at home past their female parent (ATU 123), just in some cases they see the villain en route to their grandmother's house (equally per ATU 333).

The ambiguities surrounding the classification of the East Asian and African tales exemplify the problems of current folklore taxonomy. While ATU 333 and ATU 123 are easy to discriminate betwixt in a western context, tales from other regions share characteristics with both types and practise non comfortably fit the definitions of either. With that in mind, the present study addresses ii primal questions: Tin the tales described above be divided into phylogenetically distinct international types? If so, should the African and E Asian tales be classified as variants of ATU 333 or ATU 123?

Data for the study were fatigued from 58 variants of ATU 333/123 available in English translation from 33 populations (listed in Tabular array S1). The tales comprise a representative sample of the geographic distribution of ATU 333/123 blazon tales (Figure i), and the plot variations described in regional tale-type and motif indicies [xi] [41] [42] [44]. Relationships among the tales were reconstructed using 3 methods of phylogenetic analysis: cladistics, Bayesian inference and NeighbourNet (see Methods for a full clarification). The analyses focused on 72 plot variables, such as graphic symbol of the protagonist (single kid versus grouping of siblings; male versus female), the grapheme of the villain (wolf, ogre, tiger, etc.), the tricks used past the villain to deceive the victim (faux voice, disguised paws, etc.), whether the victim is devoured, escapes or is rescued, and then on. A full listing of characters and explanation of the coding scheme is provided in the Supporting Information (File S1), together with the grapheme matrix (File S2).

Results

The cladistic assay returned 5740 equally most parsimonious trees (MPTs). The fit between the data and the trees was measured with the Retention Index, which was calculated equally 0.72. Effigy ii shows a consensus tree representing relationships that were nowadays in the bulk of the MPTs and levels of support for them returned in a bootstrap analysis. The tree, which is unrooted, splits the tales into three primary groups. The showtime group corresponds to international type ATU 333, which was present in 62% of the cladograms generated from the bootstrap replicates. The group comprises the 11th century Liège tale and 3 recognised sub-types of ATU 333: variants of Catterinella (with bootstrap support of 84%), variants of The Story of Grandmother (61% bootstrap support), and variants of the familiar tale Little Red Riding Hood (20% bootstrap support). The latter include two non-European tales, one from Iran, the other collected from the Ibo of Nigeria. The analyses separated Catterinella from the other tales, and propose that the 11th century Liège tale diverged from the lineage leading to Little Red Riding Hood before the latter split from the oral tale The Story of Grandmother. The Little Red Riding Hood clade separates Perrault's archetype version from more recent versions, including the Grimms' 18^th century German text. Still, the low levels of boostrap support indicate a substantial degree of conflicting signal surrounding these relationships. The second major group tin be identified as international type ATU 123. This group is less well supported than the ATU 333 group, being present in but 49% of the cladograms generated from the bootstrap analysis (although it was present in all of the MPTs returned by the original analysis). The first split (with bootstrap back up of 59%) in this lineage separates the Indian tale of the Sparrow and the Crow from the others. The remaining tales split into 2 lineages, ane leading to a pair of Aesopic fables (53% bootstrap support), the other leading to the folktale The Wolf and the Kids (59% boostrap support). The latter includes a clade comprising the African tales, together with a tale recorded in Antigua (24% boostrap back up). The third major grouping is formed by the Due east Asian tales. This group was the to the lowest degree well supported in the bootstrap assay (35%), and does non appear to comprise any robust sub-groups larger than two taxa.

Figure 2. Bulk-rules consensus of the most parsimonious trees returned by the cladistic analysis of the tales.

Major groupings are labelled by region or ATU international blazon and indicated by the coloured nodes. Sub-types are indicated in the taxa labels (RH  =  Little Ruby-red Riding Hood; GM  =  Story of Grandmother; Catt  =  Catterinella; WK  =  The Wolf and the Kids; TG  =  Tiger Grandmother). Variants by particular authors, or from countries/ethnic groups that are discussed in the text have individual labels. Numbers beside the edges represent the level of support for individual clades returned past the bootstrap analysis.

https://doi.org/10.1371/journal.pone.0078871.g002

The Bayesian analysis returned a very similar set up of results. Effigy 3 shows an unrooted maximum clade credibility tree obtained from the posterior distribution. It represents the same 3 major groupings, with varying levels of support in the posterior distribution of trees. The ATU 333 grouping is once again the almost strongly supported, being present in 87% of the tree sample. Tales inside this group cluster into the same recognised sub-types of ATU 333 that were returned in the cladistic analysis, including Catterinella (with posterior support of 94%), The Story of Grandmother (94%) and Footling Red Riding Hood (54%), with the Liège tale forming a separate co-operative. Compared to the ATU 333 group, support for the ATU 123 group is relatively modest at 55%. Relationships within the group separate variants of the Aesopic fable from the other narratives. The latter clade (51% posterior probability) includes European and Centre Eastern variants of The Wolf and the Kids, the Indian tale of the Sparrow and the Crow, and a clade comprising the African tales (55% posterior probability). The final major grouping consists of the East Asian tales, which has a posterior probability of 64%. Relationships within this group generally lack resolution, except for one clade that clusters two tales from Korea (TG12 and TG13) with ane from Myanmar (TG14) (71% posterior probability).

Figure iii. Maximum clade credibility tree returned by the Bayesian phylogenetic analysis of the tales.

Major groupings are labelled by region and/or ATU international type and indicated by the coloured nodes. Numbers abreast the edges represent the per centum of trees in the Bayesian posterior distribution of trees in which a given node occurred. The scale bar indicates the average number of changes per character along a given edge.

https://doi.org/10.1371/journal.pone.0078871.g003

The NeighbourNet graph is shown in Figure 4. Once over again, the tales are divided into the aforementioned three main groups, except the Indian tale, which does not cluster with any of them. Although the groups are clearly discernible, the overlapping boxes demonstrate conflicting splits in the data. This is especially clear in the E Asian clade, which exhibits a highly reticulated structure. Similarly, overlapping boxes obscure the phylogenetic structure inside the ATU 123 group, although it is possible to place a split between the fable and folktale versions of the story, with the latter again including a clade of African tales (plus the Antiguan variant). The ATU 333 group, meanwhile, divides into two relatively well defined branches, i comprising variants of Catterinella and the medieval Liège tale, the other variants of Little Cherry-red Riding Hood and The Story of Grandmother (which each forming a distinct clade). Estimates of the overall tree-likeness/boxiness of the network yielded an average delta score of 0.3 and Q-rest score of 0.03.

Effigy four. Dissever graph returned by the NeighbourNet analysis of the tales.

Major groupings are labelled past region and/or ATU international blazon and indicated by the coloured nodes. Overlapping box-similar structures indicate conflicting indicate in the data. The calibration bar indicates the proportion of characters in which states differ among the tales being compared.

https://doi.org/x.1371/journal.pone.0078871.g004

Discussion

Comparative cross-cultural studies of folklore have long been indomitable past debates apropos the durability and integrity of oral traditions. While proponents of the historic-geographic approach take suggested that similar tales from unlike cultures tin exist grouped into singled-out "international types" based on common origins, critics have insisted that folktales are too fluid and unstable to be classified into groups based on descent [14]. To address this problem, the present report employed three methods of phylogenetic reconstruction together with several techniques for quantifying the relative contributions of descent versus other processes in generating relationships between Piddling Red Riding Hood and other like tales from around the world.

Overall, the results demonstrate a high caste of consistency in the groupings returned past the cladistic, Bayesian and NeighbourNet analyses. The "treelikeness" of these traditions appears to be relatively potent compared to other datasets. The RI of the most parsimonious trees (0.72) returned past the cladistic analysis is higher than the hateful RI of both the cultural (n = 21, mean  = 0.59) and biological (n = 21, mean  = 0.61) datasets analysed by Collard et al. [47]. Simulations of cultural evolutionary processes carried out by Nunn et al. [48] suggest that datasets that render RIs of 0.60 and above are likely to have been mainly generated by branching phylogenesis. The average delta score (0.iii) and Q-residual (0.03) of conflicting signal among taxa measured on the NeighbourNet graph as well advise that the data are quite tree-like. These figures are inside the range of values obtained from linguistic cognate vocabulary sets reported in Grayness et al. [36], and are actually lower (i.e. more than tree-like) than typological features. Even so, information technology is worth noting that it is possible to obtain lower values than the ones reported here from datasets that include known borrowings and even hybrid languages. For case, Gray et al. report that a splits graph of 12 Indo-European languages based on data including loan words and the creole language Srnan yielded an average delta score of 0.23 and a Q-remainder of 0.03. In other words, while relationships among the folktales fit a branching model of descent quite well, borrowing and blending could accept potentially played a more significant role than indicated by the RI of the MPTs. This would exist consistent with the low bootstrap support and posterior probabilities for some of the clades returned past the cladistic and Bayesian analyses. Like the NeighbourNet graph, both these analyses indicate conflicting betoken surrounding the Eastward Asian group, as well as amidst geographically proximate variants of ATU 333 and ATU 123.

However, it is important to emphasise that even when in that location is a substantial caste of blending and/or convergence amongst lineages, it is still possible to reconstruct robust cultural phylogenies [48], [49]. In this case, the accuracy of the relationships depicted in Figures 2, 3, and four is supported by qualitative evidence regarding the historiography of the tales. Thus, all three analyses identified Footling Red Riding Hood, The Story of Grandmother and Catterinella as a single tale type that is distinct from The Wolf and the Kids, which folklorists believe to exist a more distantly related tale [11]. In accordance with the chronological tape, relationships within the ATU 333 group betoken that Little Red Riding Hood and the Story of Grandmother are descended from a mutual ancestor that existed more than recently than the last antecedent they share with the 11^th century Liège poem, [twoscore]. The position of the Grimms' version of Little Cherry Riding Hood supports historiographical evidence that it is directly descended from Perrault's earlier tale (via a literate informant of French Huguenot extraction) [37]. The results of the analyses also concur with the literary record on The Wolf and the Kids, which suggests the tale evolved from an Aesopic fable which was first recorded around 400 Advert [46]. All 3 analyses signal that Aesopic versions of the tale – in which the victim sees through the villain'south disguise before letting him through the door – diverged at an early point in the history of the lineage, prior to the existence of the concluding common antecedent shared past other variants of The Wolf and the Kids. In sum, the consistency of the relationships returned by different phylogenetic methods, their fit to the data, and their compatibilities with contained lines of folklore research provide compelling evidence that – opposite to the claim that the vagaries of oral manual are bound to wipe out all traces of descent in folktales – it is possible to establish coherent narrative traditions over large geographical distances and historical periods.

While these findings broadly support the goals of historic-geographic approaches to folklore, they also demonstrate that phylogenetic assay tin help resolve some the bug arising from more than traditional methods. As mentioned previously, one of the key issues with existing folklore taxonomy is that it defines international types in reference to European type specimens on the basis of just a few traits. In this case, African and East Asian tales are grouped with Fiddling Crimson Riding Hood considering they feature human protagonists, and with The Wolf and the Kids because the villain attacks the victims in their own domicile, rather than their grandmother's. The phylogenetic approach used here, on the other hand, defines types in reference to the tales' inferred mutual ancestors rather than whatever existing variants, and uses all the traits they showroom every bit potential bear witness for their relationships. This arroyo yielded articulate show that the African tales are more than closely related to The Wolf and the Kids than they are to Little Cerise Riding Hood. All the analyses clustered the African stories with ATU 123. The sole exception was an Ibo tale, which grouped with European variants of Little Red Riding Hood, thus endorsing the collector's belief that the story is not of local origin, but an Ibo oral translation of the western fairy tale [l]. The other African tales, on the other hand, seem to have been derived from the European/Middle Eastern tale of The Wolf and the Kids, maybe as a event of trade or colonialism. The tale was subsequently modified to create a novel redaction that spread across primal and southern societies on the continent, and even every bit far every bit Antigua. Although bootstrap and posterior support for this clade was relatively modest, it is remarkable that the phylogenetic signal in this tradition was sufficiently potent to be detected by all three analyses, despite the massive cultural and human upheavals that occurred during the forced displacement of African populations during the slave trade.

The East Asian tales, meanwhile, did not cluster with ATU 333 or ATU 123, merely formed a separate group. Since there is no testify to suggest they share a more recent common ancestor with The Wolf and the Kids or Little Red Riding Hood, they cannot be classified as members of either international blazon. One intriguing possibility raised in the literature on this topic that would be consistent with these results is that the East Asian tales stand for a sis lineage that diverged from ATU 333 and ATU 123 before they evolved into two distinct groups. Thus, Dundes has proposed that the Eastward Asian tradition represents a crucial "missing link" between ATU 333 and ATU 123 that has retained features from their original archetype [38]. A more detailed exposition of this theory has been set out by the Sinologist Barend J. ter Haar [51]. Noting that the The Tiger Grandmother encompasses a spectrum of more ATU 333-like variants and more than ATU 123-like variants, Haar argues that the E Asian tales correspond an ancient autochthonous tale type that is ancestral to the other two. On the basis of qualitative comparisons amidst these and other Asian tales, he conjectures that the tale originated in China and spread westwards to the Middle Due east and Europe between the twelfth and fourteenth century, a period during which there were extensive trade and cultural exchanges betwixt east and west. At some unspecified later point, the tale type split up into the lineages that gave rise to Piffling Red Riding Hood and the Wolf and the Kids.

Although it is tempting to interpret the results of the analyses in this lite, in that location are several problems with this theory. First, the earliest known version of the East Asian tale was recorded sometime in the early eighteenth century by the Chinese writer Huang Zhijun [52], thirteen hundred years after the publication of the primeval Aesopic version of ATU 123 [46], and eight centuries after the medieval variant of ATU 333 was written in Liège [40]. Of class, as mentioned previously, literary bear witness about the origins of oral tales tin be unreliable and biased toward Europe. However, at the very least, the existence of ATU 123 in first century Europe ways that the putative Asian bequeathed tale type would have to had to accept spread w long earlier the opening of trade routes in the twelfth to fourteenth centuries, equally suggested past Haar [51]. Second, if ATU 333 and ATU 123 are more closely related to each other than they are to the East Asian tales, they would be expected to share derived characters (i.due east. novel story traits) that would have evolved after they diverged from the Eastward Asian tradition. However, there is not a unmarried characteristic shared by these ii tale types that does non likewise occur in the East Asian group. 3rd, there is little evidence to support the contention that resemblances betwixt the Eastward Asian tales and ATU 333 and ATU 123 are primitive. If that were the case, we would expect earlier versions of ATU 123 and ATU 333 to be more similar to the Eastward Asian tales than after variants, as original elements of the story would be lost or substituted as each tradition evolved. However, this prediction is contradicted by the available chronological data on the tales' histories. For case, some Chinese tales feature an episode that occurs in many versions of The Wolf and the Kids in which the children, suspecting that the villain may not really be their mother/grandmother, ask him to prove them his hand through the door earlier letting him in. In ATU 123, this test first appears in a version of the fable recorded in the fourteenth century [46], and is lacking in the original version. Similarly, in Japanese, Korean and some Chinese tales the villain drinks oil/leap h2o to clear his pharynx after his initial attempts to impersonate the children's mother'southward voice failed. An almost identical episode occurs in variants of The Wolf and the Kids (and is also present in the African tales), in which the wolf drinks something or cuts his tongue to polish out his vocalism. However, it does non appear in any recorded versions prior to the publication of the Grimms' Children and Household Tales in 1812 [i]. Similarities between the East Asian tales and ATU 333 are similarly defective in the primeval variant, the medieval poem from Liège. They include the famous dialogue in which the victim (south) questions the "grandmother" nigh her foreign appearance ("What big optics you accept!"), the rescue by a passing woodcutter, and the victim's escape, in which she tricks the villain into letting her go exterior to go to the toilet. The latter trait has excited item interest among folklorists, since information technology occurs in the oral tale The Story of Grandmother and not in Little Red Riding Hood (where the daughter gets eaten). The presence of this aforementioned episode in the East Asian tradition has been cited as one of the main pieces of show that The Story of Grandmother is a more archaic version of the tale than Perrault'southward, making its absence in the Liège tale all the more conspicuous.

Bearing in mind the limitations of relying on chronological evidence near the evolution of folktales, nosotros should consider the possibility that neither the Liège tale, nor the Aesopic fable, provide accurate representations of the early forms of ATU 333 and ATU 123, exit alone their last common ancestor. To investigate the evolution of these similarities more than rigorously, the ancestral states of the traits discussed above were reconstructed on the tale phylogenies (meet Methods for details). The results are shown in Table ane below. The analyses signal that the aforementioned similarities between the East Asian tales and ATU 333 and ATU 123 were highly unlikely to have been present in the putative archetype shared by the latter two groups, contradicting the hypothesis that the E Asian tales provide a "missing link" between the two traditions.

An alternative – and, to the best of this author's knowledge, novel – explanation for the relationship of the East Asian tales to ATU 333 and ATU 123 is that the erstwhile is derived from the latter 2, rather than vice versa. This would mean that The Tiger Grandmother represents a "hybrid" tale type, which evolved by blending together elements from ATU 333 and ATU 123 type tales. This hypothesis would account for the finding that important traits shared by the East Asian tales and Trivial Ruddy Riding Hood and The Wolf and the Kids are not bequeathed, suggesting that they were borrowed instead. Given the number and striking nature of these resemblances, it seems unlikely that they could have evolved independently. Borrowing is also consistent with patterns of conflicting signal in the NeighbourNet graph, which appear to be especially prevalent around the Due east Asian group. This impression is confirmed by a comparison of taxon-specific delta scores and Q-residuals, which are higher on average for the East Asian tales than other tales. The average delta score of the Eastward Asian tales is 0.31 compared to an average of 0.28 for the other taxa, while their average Q-residuum is 0.04 compared to 0.02. To investigate this hypothesis further, another set of analyses were carried out in which the East Asian tales were removed from the data (along with the characters that were simply nowadays in this grouping). It was reasoned that if these tales evolved past blending together elements of ATU 333 and ATU 123 then their removal should event in a more phylogenetically robust distinction between these two groups. This prediction was tested by maximum parsimony bootstrapping and Bayesian inference. For reference, consensus trees derived from both analyses are presented in the Supporting Information, together with a NeighbourNet graph excluding the East Asian tales (Figures S1, S2 and S3). Bootstrap support for the clade separating ATU 333 from ATU 123 increased from 62% to 83%, while the Bayesian posterior probability rose from 87% to 98%. Thus, both analyses indicate that the Eastward Asian tales are a source of conflicting signal in the information, in line with the hybridisation hypothesis.

While on current testify this appears to be the best available caption for the relationships between the East Asian group and ATU 333 and ATU 123, questions remain most how, where and when the latter ii tale types were adopted and combined. Based on the similarities described above, it seems likely to have occurred sometime between the origin of the lineage leading to Lilliputian Ruby Riding Hood and The Story of Grandmother, but before the publication of Perrault'south archetype tale in 1697. Soon later this, Huang Zhijun published the first known version of The Tiger Grandmother [52], which shares elements in mutual with The Story of Grandmother (such as the "toilet alibi" to escape the villain), merely lacks any of the features specifically associated with Fiddling Ruddy Riding Hood (e.g. the girl with the cherry hood, her existence devoured by the villain, etc.), suggesting he is unlikely to have been influenced by Perrault. Given the antiquity and broad geographic improvidence of The Wolf and the Kids, information technology is certainly plausible that ATU 123 would take too reached Prc past this time, perchance betwixt the twelfth and fourteenth centuries, i.due east. period of east-west cultural exchanges discussed by Haar [51]. Given the current land of the evidence, such scenarios are necessarily speculative. However, the digitisation and translation of an always increasing number of folklore collections from Asia, besides as other regions, promise to yield a wealth of new data with which to investigate these questions more than thoroughly in the hereafter.

In the meantime, this instance study has shown that phylogenetic methods provide powerful tools for analysing cross-cultural relationships amid folktales that can be used to classify groups based on common ancestry, reconstruct their evolutionary histories, and identify patterns of contamination and hybridisation across traditions. While these goals are clearly of crucial importance to comparative studies of folklore, they also have potentially exciting applications in other fields too. As previous researchers take pointed out, the faithful transmission of narratives over many generations and across cultural and linguistic barriers is a rich source of prove about the kinds of data that we find memorable and motivated to laissez passer on to others [9] [53] [54]. In the nowadays example, stories like Little Red Riding Hood, The Tiger Grandmother and The Wolf and the Kids would seem to embody several features identified in experimental studies equally important cognitive attractors in cultural evolution. These include "minimally counterintuitive concepts" (e.g. talking animals) [54], "survival relevant information" (e.g. the danger presented by predators, both literal and metaphorical; the importance of post-obit a parent's instructions, etc.) [9] [55], and "social information bias" (due east.g. trust, kinship relationships, charade and fake belief, etc.) [56]. Phylogenetic inference and ancestral state reconstruction methods, such as those used here, provide valuable techniques for investigating the magnitude of these biases in preserving and/or distorting narratives over long periods of time using real-world data. Equally, these methods could be applied to explore how tales are influenced by cultural, rather than psychological, selection pressures. Such an assay might address whether local modifications of different tale-types exhibit consistent patterns, and meet if they covary with specific ecological, political or religious variables. Future work on these questions promises to generate of import insights into the evolution of oral traditions, and open up new lines of communication between anthropologists, psychologists, biologists and literary scholars.

Methods

Phylogenetic Reconstruction

Cladistic analysis employs a branching model of evolution that clusters taxa on the basis of shared derived (evolutionarily novel) traits. Using the principle of parsimony, it involves finding the tree that minimises the full number of character land changes required to explain the distribution of character states among the taxa, known as the "shortest length tree" or "nearly parsimonious tree". To search for the most parsimonious tree (MPT), the present assay employed an efficient tree-bisection-reconnection algorithm implemented by the heuristic search option in PAUP four [57], carrying out i,000 replications to ensure a thorough exploration of tree-infinite. The fit between the information and the MPTs was assessed using the Retention Index (RI) and maximum parsimony bootstrapping. The RI is a measure of how well similarities among a grouping of taxa tin be explained by the memory of shared derived traits on a given tree [34]. A maximum RI of 1 indicates that all similarities tin be interpreted equally shared derived traits, without requiring additional explanations, such equally losses, independent evolution or borrowing. Equally the contribution of these latter processes increase, generating similarities that conflict with the tree, the RI volition approach 0. Maximum parsimony bootstrapping is a technique for measuring back up for private clades [58]. It involves carrying out cladistic analyses of pseudoreplicate datasets generated by randomly resampling characters with replacement from the original matrix. Back up for the clades returned past the original assay is then estimated by calculating the frequency with which they occur in the most parsimonious trees obtained from the pseudoreplicates. The bootstrap analyses reported here were carried out in PAUP 4 [57] using heuristic searches of i,000 replicates.

Bayesian inference proceeds by calculating the likelihood of the data given an initially random tree topology, set of co-operative lengths and model of grapheme evolution, and iteratively modifies each of these parameters in a Markov Chain Monte Carlo (MCMC) simulation. Moves that ameliorate the likelihood of the data are always accepted, while those that do not are commonly rejected (although some may occasionally exist accepted within a certain threshold so as to avert getting trapped in local optima). Post-obit an initial "burn in" catamenia, the likelihood scores will aeroplane out and parameters volition fluctuate between similar values, at which point copse are sampled at regular intervals to generate the "posterior distribution". Dissimilar the trees output past a cladistic analysis, which are based on a unmarried optimality criterion (i.eastward. parsimony), the posterior distribution of trees represents a prepare of phylogenetic hypotheses that explicate the distribution of character states amongst the taxa under a range of plausible evolutionary assumptions. The posterior distribution of trees can exist summarised by a consensus tree or "maximum clade credibility tree", while posterior probabilities for private clades are calculated based on their frequency in the tree sample. The Bayesian approach has been found to be particularly constructive when there is wide variance in the amount of evolution that has occurred in different regions of the character data or tree, since it explicitly incorporates these parameters (i.e. branch lengths and commutation model) into the analysis [59]. The Bayesian analyses reported here were carried out in MrBayes 3.ii [60] using the model settings for "standard" (morphological) information, with the character coding ready to "variable" and variance in rates of character evolution estimated under a gamma distribution. Two analyses were carried out simultaneously, each using four MCMC chains that were run for 1 million generations. Trees were sampled every 1000 generations to avert autocorrelation, with the first 25% of the sample discarded as burnin. Log likelihood values for the remaining trees in each sample were and then graphed as a scatterplot to bank check that the two runs had converged.

As with the other two methods, NeighbourNet clusters taxa into hierarchically nested sets. Even so, unlike cladistics and Bayesian inference, it does non employ a strict branching model of descent with modification, and as such these sets tin can overlap and intersect with one another. Appropriately, it is claimed that NeighbourNet is meliorate able to capture conflicting betoken in a dataset resulting from borrowing and blending amongst evolutionary lineages [35]. The method involves computing pairwise distances between the taxa based on the character information, and generating a series of weighted splits that are successively combined using an agglomerative clustering algorithm. Relationships among the taxa are represented past a network diagram, or "splits graph", which shows groupings in the information and distances separating them. Where the splits are highly consistent, the diagram will resemble a branching tree-like structure. Incompatible splits, on the other hand, produce box-like structures that lend a more latticed advent to the network. The extent of reticulation in the folktale network was quantified using the delta-score and Q-residual score [36], [61]. Both measures calculate conflicting signal by comparison path lengths among pairs of taxa on "quartets" (subsets of four taxa) selected from the network. Quartets are scored from 0 to one according to how resolved the splits betwixt each pair of taxa are, with values closer to 0 being more tree-like and values closer to 1 more reticulate. The estimation of the delta score includes a normalisation abiding, whereas Q-residuals had to be normalised past rescaling all between-taxa distances in the network so that they average 1. The NeighbourNet analysis and adding of d-scores and Q-residulas were carried out in SplitsTree v4.13 [35].

Ancestral state reconstruction

Character states were reconstructed in the putative last common ancestor of ATU 123 and ATU 333 tales through parsimony analysis and Bayesian inference. In the parsimony analysis, the most parsimonious copse (MPTs) from the cladistic assay were re-rooted then as to make ATU 123 and ATU 333 monophyletic, with the East Asian group forming a sis clade. Next, the evolutionary history of each character was reconstructed on the MPTs by minimising the total number of changes required past each tree. The ancestral state inferred for the last mutual ancestor of ATU 123/333 tales was and then recorded for each tree. The parsimony analyses were carried out in the software plan Mesquite, using the Graphic symbol Trace module [62]. In the Bayesian analysis, phylogenetic relationships among the taxa were reconstructed using a topological prior that forced ATU 333 and ATU 123 to be monophyletic (making the clade present in 100% of the posterior distribution of trees). The analysis was carried out in MrBayes 3.2 [sixty], with the other model settings beingness the same as those used in the original analysis, in which the evolutionary rate across characters was allowed to vary under a gamma distribution. Estimated ancestral states in the terminal common ancestor of ATU 123/333 were sampled every 1000 generations to avoid autocorrelation, with the first 25% of the sample discarded as burnin. The average probabilities for each state were summarised using the Study Ancestral State command (report ancstates  =  yes), integrating uncertainty in the topological structure of the balance of the tree as well every bit other model parameters.

Supporting Data

Figure S1.

Bulk rules consensus of the most parsimonious trees returned by cladistic analyses of the information with East Asian tales removed. The numbers beside the nodes stand for bootstrap support values for each clade. The MPTs returned from the data had Retention Indices of 0.76.

https://doi.org/10.1371/journal.pone.0078871.s001

(EPS)

Acknowledgments

The author thanks Jeremy Kendal, Robert Barton, Fiona Jordan, Mark Collard, Luke Matthews, Stephen Lycett, Jack Zipes, Joseph Carroll, Michael O'Brien, Simon Greenhill and two anonymous reviewers for their valuable comments on this study.

Author Contributions

Conceived and designed the experiments: JT. Performed the experiments: JT. Analyzed the information: JT. Contributed reagents/materials/analysis tools: JT. Wrote the newspaper: JT.

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