Theories of Emotion

Appraisal Theory of Emotion

According to appraisal theory, our interpretation of a situation causes an emotional

response that is based on that interpretation.

Key Points

 The appraisal theory of emotion proposes that emotions are extracted from our
“appraisals” (i.e., our evaluations, interpretations, and explanations) of events.
These appraisals lead to different specific reactions in different people.
 Psychologist Magda Arnold made early advancements in appraisal theory,
proposing that an initial appraisal begins the emotional sequence by arousing both
the appropriate physiological reactions and the emotional experience itself.
 In 1991, psychologist Richard Lazarus built on appraisal theory to develop
cognitive -mediational theory. This theory still asserts that our emotions are
determined by our appraisal of the stimulus, but it suggests that immediate,
unconscious appraisals mediate between the stimulus and the emotional
response.
 Lazarus also distinguished between primary appraisal, which seeks to establish
the significance or meaning of an event, and secondary appraisal, which assesses
the ability of the individual to cope with the consequences of the event.

Key Terms

 appraisal: The act or process of developing an opinion, judgment, or

assessment of the value of something.

Researchers have developed several theories of how human emotions arise and are
represented in the brain. The mechanisms behind our experience of emotions and our
cognitive processing of them remains a central topic of research and debate. The
appraisal theory of emotion, developed primarily through the work of prominent
researchers Magda Arnold and Richard Lazarus, proposes that emotions are extracted
from our “appraisals” (i.e., our evaluations, interpretations, and explanations) of events.
The central question that the appraisal theory seeks to answer is why different people
have different perceptions of and emotional reactions to the same situations.

For example, if a person goes on a romantic date and perceives this date as positive,
they might feel happiness, joy, giddiness, excitement, or anticipation because they have
appraised this event as one that could have positive effects. On the other hand, if the
date is perceived negatively, the person’s resulting emotions might include dejection,
sadness, emptiness, or fear (Scherer et al., 2001).

Magda B. Arnold

Magda Arnold (1903–2002) was an American psychologist who coined the

term appraisal to refer to the cognitive processes preceding the elicitation of emotion.
She developed her “cognitive theory” in the 1960s, which specified that the first step in
experiencing an emotion is an appraisal of the situation. According to Arnold, an initial
appraisal begins the emotional sequence by arousing both the appropriate physiological
reactions and the emotional experience itself. In this way, she identified physiological
changes as important to the process but not as the initiator of people’s reactions and
experiences.

Richard Lazarus

Psychologist Richard Lazarus (1991) adapted Arnold’s work slightly in the development
of his cognitive-mediational theory, which asserts our emotions are determined by our
appraisals of stimuli. This appraisal mediates between the stimulus and the emotional
response, and it is immediate and often unconscious. In contrast to the Schachter–
Singer theory of emotions, which views emotion as an outcome of the interaction
between physiological arousal and cognition, Lazarus argued that the
appraisal precedes cognitive labeling, simultaneously stimulating both the physiological
arousal and the emotional experience itself.
Comparing the theories of emotion: This figure illustrates how Lazarus’ appraisal theory differentiates from
the James–Lange, Cannon–Bard, and Schachter–Singer theories of emotion.

Lazarus argued that the cognitive activity involved in interpreting emotional context
could be conscious or unconscious and may or may not take the form of conceptual
processing. He stressed that the quality and intensity of emotions are controlled through
cognitive processes, which mediate the relationship between the person and the
environment through coping strategies, which in turn are the basis of the emotional
reaction.

In his research, Lazarus specified two major types of appraisal methods: 1) primary
appraisal, which seeks to establish the significance or meaning of an event, and
2) secondary appraisal, which assesses the ability of the individual to cope with the
consequences of the event. In the specific context of emotion and stress, Lazarus
described primary appraisals as judgments about the degree of potential harm or threat
to well-being that a stressor might introduce. The perception of a threat then triggers the
secondary appraisal—judgment of the options available to cope with the stressor—as
well as perceptions of how effective such options will be.

Lazarus: Primary and secondary appraisal: According to Lazarus’ cognitive-mediational theory, upon
encountering a stressor, a person judges its potential threat (via primary appraisal) and then determines if
effective options are available to manage the situation (via secondary appraisal). Stress is likely to result if a
stressor is perceived as threatening and few or no effective coping options are available.

James–Lange Theory of Emotion

According to the James–Lange theory of emotion, emotions arise from physiological

arousal.

LEARNING OBJECTIVES

Describe the relationship between emotion and arousal according to the James–Lange theory

KEY TAKEAWAYS

Key Points

 The James–Lange theory of emotion asserts that emotions arise as a result of

physiological arousal —i.e., that the self-perception of changes in the body
produces an emotional experience.
 According to the James–Lange theory, we experience emotions (such as fear,
sadness, and happiness) only after physiological arousal (such as the fight-or-
flight response) has occurred.
 One limitation of the James–Lange theory is that it is not known exactly what
causes the changes in the body, so it is unclear whether they should be
considered part of the emotion itself.
 Critics of the James–Lange theory doubt that there is sufficient variation in
physiological arousal to lead to the wide variety of emotions that we experience.

Key Terms

 visceral: Having to do with the response of the body as opposed to the intellect
and rational thinking.
 autonomic: Acting or occurring involuntarily, outside of conscious control.
 epinephrine: A hormone, and a neurotransmitter, that regulates heart rate, blood
vessel and air passage diameters, and metabolic shifts and that is a crucial
component of the fight-or-flight response of the sympathetic nervous system.
 proprioceptive: The sense of the positions of body parts relative to other
neighboring body parts.

Researchers have developed several theories of how human emotions arise and are
represented in the brain. The James–Lange theory of emotion, for instance, asserts that
emotions arise from physiological arousal: in essence, that the self-perception of
changes in the body produce emotional experiences. According to this theory, we laugh
(a physiological response to a stimulus), and consequently we feel happy (an emotion);
we cry, and consequently we feel sad.

For example, if you were to encounter a venomous snake in your backyard, your
sympathetic nervous system (responsible for activating your fight-or-flight response)
would initiate physiological arousal, making your heart race and increasing your
breathing rate. According to the James–Lange theory of emotion, you would experience
a feeling of fear only after this physiological arousal had taken place. Different arousal
patterns would be associated with different feelings.

James–Lange theory: The James–Lange theory of emotion states that emotions arise as a result of
physiological arousal.

One limitation of this theory is that it is not known exactly what causes the changes in
the body, so it is unclear whether those changes should be considered part of the
emotion itself. Critics of the James–Lange theory also doubt that there is sufficient
variation in physiological arousal to lead to the wide variety of emotions that we
experience. To address these limitations, other theories—such as the Cannon–Bard
theory—have been developed.

Cannon–Bard Theory of Emotion

The Cannon–Bard theory of emotion argues that physiological arousal and emotional
experience occur simultaneously but independently.

LEARNING OBJECTIVES

Compare the Cannon–Bard theory with the James–Lange theory of emotion

KEY TAKEAWAYS

Key Points

 The Cannon–Bard theory of emotion was developed in response to the James-

Lange theory, which proposes that emotions arise from physical arousal.
  In contrast, the Cannon–Bard theory argues that physiological arousal and
emotional experience occur simultaneously, yet independently.
 According to the Cannon–Bard theory, when you see a venomous snake, you
feel fear at exactly the same time that your autonomic nervous system responds.
 According to this theory, emotional expression results from activation of the
subcortical centers of the brain.

Key Terms

 subcortical: Of or pertaining to the portion of the brain located below the

cerebral cortex.
 thalamus: Either of two large, ovoid structures of grey matter within the forebrain
that relay sensory impulses to the cerebral cortex.

Researchers have developed several theories of how human emotions arise and are
represented in the brain. The Cannon–Bard theory of emotion was developed by
researchers who criticized the James–Lange theory for its limited ability to account for
the wide variety of emotions experienced by human beings. While the James–Lange
theory proposes that emotions arise from physical arousal the Cannon–Bard theory
argues that physiological arousal and emotional experience occur simultaneously, yet
independently (Lang, 1994).

Cannon–Bard theory of emotion: The Cannon–Bard theory states that physiological arousal and emotional
experience occur simultaneously, yet independently.

This theory posits that when you see a venomous snake in your backyard, you feel fear
at exactly the same time that your body initiates its physiological fight-or-flight response.
Even though they occur at the same time, your emotional reaction and your
physiological reaction would be separate and independent.

According to the Cannon–Bard theory, emotional expression results from activation of

the subcortical centers of the brain. The optic thalamus, in particular, is a region that
contains the neural organizations for different emotional expressions. An individual’s
sensory organs take in an emotional stimulus, and then information about that stimulus
is relayed to the cerebral cortex. It is in the cortex where such information is associated
with conditioned processes, which in turn determine the direction of the response and
stimulate the thalamic processes.

Schachter–Singer Theory of Emotion (Two-Factor Theory)

The Schachter–Singer theory views emotion as the result of the interaction between two
factors: physiological arousal and cognition.

LEARNING OBJECTIVES

Describe the relationship between the “two factors” of two-factor theory, also known as
Schachter–Singer theory

KEY TAKEAWAYS

Key Points

 According to the Schachter–Singer theory of emotion (also known as two-factor

theory), emotions are the result of the interaction between two factors:
physiological arousal and cognition.
 According to the Schacter–Singer theory, physiological arousal is cognitively
interpreted based on environmental context; this process culminates in emotional
experience.
 For example, if you were to see a venomous snake in your backyard, the
Schachter–Singer theory argues that the snake would elicit a physiological
response that would be cognitively labeled as fear based on the context.

Key Terms

 autonomic: Acting or occurring involuntarily, outside of conscious control.

 cognition: The process of thinking or knowing.

Researchers have developed several theories of how human emotions arise and are
represented in the brain. Like the James–Lange and Cannon–Bard theories, the
Schachter–Singer theory of emotion (also known as the two-factor theory) attempts to
explain emotion as it relates to physiological arousal.

According to the Schacter–Singer theory, emotion results from the interaction between
two factors: physiological arousal and cognition. More specifically, this theory claims
that physiological arousal is cognitively interpreted within the context of each situation,
which ultimately produces the emotional experience. These cognitive interpretations —
how a person labels and understands what they are experiencing—are formed based
on the person’s past experiences.

The Schachter–Singer two-factor theory: The Schachter–Singer theory views emotion as resulting from the
interaction of two factors: physiological arousal and cognition.

For example, if you were to see a venomous snake in your backyard, the Schachter–
Singer theory argues that the snake would elicit sympathetic nervous system activation
(physiological arousal) that would be cognitively labeled as fear (cognition) based on the
context. What you would actually experience, then, would be the feeling of fear.

In their research, Singer and Schachter injected participants with adrenaline

(epinephrine), which causes a number of physiological effects, such as increased blood
flow to the muscles and increased heart rate. They found that injecting the drug did not
lead participants to experience any given emotion. Contrary to the James–Lange
theory, therefore, which asserts that emotions arise from physiological arousal, this
theory argues that bodily changes can support conscious emotional experiences but do
not necessarily cause them. Rather, the interpretation of a certain emotion depends on
both the individual’s physiological state as well as their circumstances, a relationship
mediated by cognitive processing.

The Facial Feedback Hypothesis

The facial feedback hypothesis asserts that facial expressions are capable of
influencing our emotions.

LEARNING OBJECTIVES

Explain the facial feedback hypothesis

KEY TAKEAWAYS
Key Points

 According to the facial feedback hypothesis, facial expressions are not only the
results of our emotions but are also capable of influencing our emotions. In other
words, the act of smiling can itself actually make you feel happier.
 Research investigating the facial feedback hypothesis has found that
suppressing facial expressions of emotion may decrease how intensely those
emotions are experienced.
 Emotion is displayed not only through facial expression but also through tone of
voice, behavior, and body language.
 Children who have autism spectrum disorder have difficulty recognizing the
emotional states of others. Research has shown that this may stem from an
inability to identify facial expressions and other nonverbal expressions of emotion.

Key Terms

 modulate: To regulate, adjust, or adapt.

 neurodevelopmental: Of or pertaining to the development of neurological
pathways in the brain.

Does smiling make you happy, or does being happy make you smile? The facial
feedback hypothesis asserts facial expressions are not only the results of our emotions
but are also capable of influencing our emotions. In other words, the act of
smiling can itself actually make you feel happier. (Buck, 1980; Soussignan, 2001;
Strack, Martin, & Stepper, 1988).
The impact of facial expressions: According to the facial feedback hypothesis, facial expressions aren’t
simply caused by emotions—they can influence our emotions as well. Smiling more frequently over a period of
time can, in fact, make you feel happier.

Research into the Facial Feedback Hypothesis

Research investigating the facial feedback hypothesis has found that suppressing facial
expressions of emotion may decrease how intensely those emotions are experienced
(Davis, Senghas, & Ochsner, 2009).

Recently, the use of Botox to temporarily paralyze facial muscles has also provided
strong experimental support for some kind of facial-feedback mechanism involved in
emotion. Havas, Glenberg, Gutowski, Lucarelli, and Davidson (2010) discovered that
individuals with depression reported lessened depressive symptoms after paralysis of
their frowning muscles with Botox injections. Findings from this and other studies
suggest that facial feedback modulates the neural processing of emotional content.

In an attempt to objectively assess the facial feedback hypothesis, Strack, Martin, and
Stepper (1988) devised an experiment that would hide their true goals from the
participants. Participants were simply told that they were taking part in a study to
determine the difficulty of accomplishing certain tasks for people who do not have the
use of their hands or arms. To this end, participants held a pen in their mouth in one of
three ways: the Lip position would contract the orbicularis oris muscle, resulting in a
frown; the Teeth position would contract the zygomaticus major or the risorius muscle,
resulting in a smile; and the control group would hold the pen in their non-dominant
hand. All participants had to complete a questionnaire while holding the pen and rate
the difficulty of doing so. The last task, which was the experiment’s real object of
interest, was for the participants to subjectively rate the the funniness of a cartoon. As
predicted, participants in the Teeth condition (who were, technically, smiling throughout
the exercise) reported significantly higher amusement ratings than those in
the Lips condition. This outcome supported   the facial feedback hypothesis.

Of course, emotion is displayed not only through facial expression but also through tone
of voice and behavior. Specifically, body language is the expression of emotion through
body position and movement. Research suggests that we are quite sensitive to the
emotional information communicated through body language, even if we’re not
consciously aware of it (de Gelder, 2006; Tamietto et al., 2009).